Carl H Pforzheimer II

CIK 1190987 · View on SEC EDGAR ↗

Insider

First SEC filing: July 26, 2022 · Latest: July 26, 2022

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Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.

Insider at

AP buying June 29, 2020

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 24 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

24 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
May 18, 2023	AP	A	12,728	—	—	141,383 Direct	+9.89%	Acquired	(price as of 2026-08-21)
July 22, 2022	AP	M	1,600	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-21)
July 22, 2022	AP	M	714	$4.00	$2,856	3,028 Indirect	+30.86%	Acquired	114.8% (price as of 2026-08-21)
July 22, 2022	AP	M	50,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
July 22, 2022	AP	M	22,320	$4.00	$89,280	128,655 Direct	+20.99%	Acquired	114.8% (price as of 2026-08-21)
May 5, 2022	AP	A	21,819	—	—	106,335 Direct	+25.82%	Acquired	(price as of 2026-08-21)
May 13, 2021	AP	A	12,196	$5.74	$70,005	84,516 Direct	+16.86%	Acquired	49.7% (price as of 2026-08-21)
Sept. 22, 2020	AP	X	1,600	—	—	1,600 Indirect	—	Acquired	(price as of 2026-08-21)
Sept. 22, 2020	AP	X	1,600	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-21)
Sept. 22, 2020	AP	X	714	$3.50	$2,499	2,314 Indirect	+44.62%	Acquired	145.4% (price as of 2026-08-21)
Sept. 22, 2020	AP	X	50,000	—	—	50,000 Direct	—	Acquired	(price as of 2026-08-21)
Sept. 22, 2020	AP	X	50,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Sept. 22, 2020	AP	X	22,320	$3.50	$78,120	72,320 Direct	+44.64%	Acquired	145.4% (price as of 2026-08-21)
June 29, 2020	AP	P	6,238	$2.90	$18,090	50,000 Direct	+14.25%	Acquired	196.2% (price as of 2026-08-21)
June 26, 2020	AP	P	13,762	$2.83	$38,946	43,762 Direct	+45.87%	Acquired	203.5% (price as of 2026-08-21)
May 7, 2020	AP	A	10,000	$3.08	$30,800	30,000 Direct	+50.00%	Acquired	178.9% (price as of 2026-08-21)
Dec. 19, 2019	AP	S	18,738	$3.09	$57,900	20,000 Direct	-48.37%	Disposed	178.0% (price as of 2026-08-21)
Dec. 18, 2019	AP	S	599	$3.05	$1,827	38,738 Direct	-1.52%	Disposed	181.6% (price as of 2026-08-21)
Dec. 3, 2019	AP	S	8,048	$3.25	$26,156	39,337 Direct	-16.98%	Disposed	164.3% (price as of 2026-08-21)
Dec. 2, 2019	AP	S	75	$3.42	$256	47,385 Direct	-0.16%	Disposed	151.2% (price as of 2026-08-21)
Nov. 15, 2019	AP	S	200	$3.75	$750	47,460 Direct	-0.42%	Disposed	129.1% (price as of 2026-08-21)
Nov. 14, 2019	AP	S	40	$3.75	$150	47,660 Direct	-0.08%	Disposed	129.1% (price as of 2026-08-21)
Nov. 12, 2019	AP	S	2,300	$3.75	$8,625	47,700 Direct	-4.60%	Disposed	129.1% (price as of 2026-08-21)
May 9, 2019	AP	A	10,000	$3.17	$31,700	50,000 Direct	+25.00%	Acquired	171.0% (price as of 2026-08-21)
May 9, 2019	AP	A	10,000	$7.00	$70,000	50,000 Direct	+25.00%	Acquired	22.7% (price as of 2026-08-21)
Dec. 31, 2018	AP	P	10,000	$3.14	$31,400	40,000 Direct	+33.33%	Acquired	173.6% (price as of 2026-08-21)
Aug. 15, 2018	AP	P	6,869	$7.41	$50,899	30,000 Direct	+29.70%	Acquired	15.9% (price as of 2026-08-21)
May 9, 2018	AP	A	7,217	$9.70	$70,005	23,131 Direct	+45.35%	Acquired	-11.4% (price as of 2026-08-21)
May 3, 2017	AP	A	5,000	$14.00	$70,000	15,914 Direct	+45.81%	Acquired	-38.6% (price as of 2026-08-21)
May 5, 2016	AP	A	3,209	$18.70	$60,008	10,914 Direct	+41.65%	Acquired	-54.1% (price as of 2026-08-21)
May 5, 2015	AP	A	1,590	$15.72	$24,995	7,705 Direct	+26.00%	Acquired	-45.4% (price as of 2026-08-21)
April 29, 2014	AP	A	1,250	$20.00	$25,000	6,115 Direct	+25.69%	Acquired	-57.1% (price as of 2026-08-21)
May 2, 2013	AP	A	1,457	$17.16	$25,002	4,865 Direct	+42.75%	Acquired	-49.9% (price as of 2026-08-21)
May 3, 2012	AP	A	1,415	$17.67	$25,003	3,408 Direct	+71.00%	Acquired	-51.4% (price as of 2026-08-21)
May 6, 2011	AP	A	993	$25.18	$25,004	1,993 Direct	+99.30%	Acquired	-65.9% (price as of 2026-08-21)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
July 22, 2022	AP	Series A Warrant (right to buy) [F5]	Common Stock (714)	—	Aug. 1, 2025	1,600	Disposed
July 22, 2022	AP	Series A Warrant (right to buy) [F3]	Common Stock (22,320)	—	Aug. 1, 2025	50,000	Disposed
Sept. 22, 2020	AP	Series A Warrant (right to buy) [F5]	Common Stock (714)	—	Aug. 1, 2025	1,600	Acquired
Sept. 22, 2020	AP	Subscription Rights (right to buy)	Units consisting of Common Stock and Series A Warrants [F2]	$1.56	Sept. 18, 2020	1,600	Disposed
Sept. 22, 2020	AP	Series A Warrant (right to buy) [F3]	Common Stock (22,320)	—	Aug. 1, 2025	50,000	Acquired
Sept. 22, 2020	AP	Subscription Rights (right to buy)	Units consisting of Common Stock and Series A Warrants [F1]	$1.56	Sept. 18, 2020	50,000	Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).