ELLIOTT ASSOCIATES, L.P.
Insider
First SEC filing: Dec. 13, 2019 · Latest: Dec. 13, 2019
Institution
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net: $0
Price change vs the latest weekly close (updated to the current quote in your browser when available), split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Dec. 6, 2019 | 1326428 | D | 5,225,017 | · | · | 0 Indirect | -100.00% | Disposed | |
| Aug. 28, 2019 | HWM | S | 228,415 | $25.05 | $5,721,796 | 13,435,039 Direct | -1.67% | Disposed | 642.2% (price as of ) |
| Aug. 28, 2019 | HWM | J | 1 | · | · | 1 Direct | · | Acquired | |
| Aug. 27, 2019 | HWM | S | 851,021 | $25.17 | $21,420,199 | 13,663,454 Direct | -5.86% | Disposed | 638.6% (price as of ) |
| Aug. 27, 2019 | HWM | J | 1 | · | · | 1 Direct | · | Acquired | |
| Aug. 27, 2019 | HWM | J | 1 | · | · | 1 Indirect | · | Acquired | |
| Aug. 26, 2019 | HWM | S | 811,348 | $24.94 | $20,235,019 | 14,514,475 Indirect | -5.29% | Disposed | 645.4% (price as of ) |
| Aug. 26, 2019 | HWM | J | 1 | · | · | 1 Direct | · | Acquired | |
| Aug. 26, 2019 | HWM | J | 1 | · | · | 1 Indirect | · | Acquired | |
| Aug. 23, 2019 | HWM | S | 1,282,860 | $24.51 | $31,442,899 | 15,325,823 Direct | -7.72% | Disposed | 658.5% (price as of ) |
| Aug. 23, 2019 | HWM | J | 1 | · | · | 1 Direct | · | Acquired | |
| Aug. 23, 2019 | HWM | J | 1 | · | · | 1 Indirect | · | Acquired | |
| June 26, 2019 | 1326428 | P | 170,844 | · | · | 5,225,017 Indirect | +3.38% | Acquired | |
| April 10, 2019 | 1404624 | J | 795,965 | · | · | 0 Direct | -100.00% | Disposed | |
| April 10, 2019 | 1404624 | J | 22,222 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 28, 2019 | 1404624 | X | 659,965 | $0.01 | $6,600 | 795,965 Direct | +485.27% | Acquired | |
| Feb. 28, 2019 | 1404624 | X | 659,965 | · | · | 22,222 Direct | -96.74% | Disposed | |
| Feb. 26, 2019 | 1440024 | X | 38,818,886 | $0.50 | $19,409,443 | 40,496,601 Direct | +2313.80% | Acquired | |
| Feb. 26, 2019 | 1440024 | P | 231,143,609 | $0.50 | $115,571,804 | 271,640,210 Direct | +570.77% | Acquired | |
| Feb. 26, 2019 | 1440024 | J | 49,600 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 26, 2019 | 1440024 | J | 17,600 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 26, 2019 | 1440024 | J | 32 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 26, 2019 | 1440024 | J | 12,000 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 26, 2019 | 1440024 | J | 11,433 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 26, 2019 | 1440024 | X | 1,677,715 | · | · | 0 Direct | -100.00% | Disposed | |
| Nov. 14, 2018 | 1440024 | P | 277,611 | $0.70 | $194,328 | 1,677,715 Direct | +19.83% | Acquired | |
| Aug. 14, 2018 | BTU | S | 489,926 | $41.82 | $20,488,705 | 10,818,761 Direct | -4.33% | Disposed | -45.3% (price as of ) |
| Aug. 14, 2018 | BTU | S | 1,805,626 | $41.82 | $75,511,279 | 9,013,135 Indirect | -16.69% | Disposed | -45.3% (price as of ) |
| May 15, 2018 | HWM | P | 256,000 | $17.96 | $4,597,760 | 16,608,683 Direct | +1.57% | Acquired | 935.1% (price as of ) |
| May 15, 2018 | HWM | X | 256,000 | · | · | 16,864,683 Indirect | +1.54% | Acquired | |
| May 15, 2018 | HWM | J | 256,000 | $17.93 | $4,590,080 | 16,608,683 Indirect | -1.52% | Disposed | 936.9% (price as of ) |
| May 15, 2018 | HWM | J | 1 | · | · | 0 Indirect | -100.00% | Disposed | |
| Jan. 31, 2018 | BTU | C | 4,526,600 | · | · | 11,308,687 Indirect | +66.74% | Acquired | |
| Jan. 31, 2018 | BTU | C | 2,404,192 | · | · | 0 Indirect | · | Acquired | |
| Sept. 27, 2017 | 1170534 | S | 198,504 | $8.26 | $1,639,643 | 3,800,553 Direct | -4.96% | Disposed | |
| Sept. 27, 2017 | 1170534 | S | 63,354 | $8.25 | $522,670 | 3,737,199 Direct | -1.67% | Disposed | |
| Sept. 26, 2017 | 1170534 | S | 88,617 | $8.25 | $731,090 | 3,999,057 Indirect | -2.17% | Disposed | |
| Sept. 15, 2017 | 1170534 | S | 150,000 | $8.25 | $1,237,500 | 4,088,474 Indirect | -3.54% | Disposed | |
| Sept. 15, 2017 | 1170534 | S | 800 | $8.30 | $6,640 | 4,087,674 Indirect | -0.02% | Disposed | |
| Sept. 12, 2017 | 1170534 | S | 25,000 | $8.15 | $203,750 | 3,976,106 Indirect | -0.62% | Disposed | |
| Sept. 1, 2017 | 1170534 | S | 50,000 | $8.26 | $413,000 | 4,001,106 Indirect | -1.23% | Disposed | |
| Aug. 28, 2017 | 1170534 | S | 1,000 | $8.25 | $8,250 | 4,051,106 Indirect | -0.02% | Disposed | |
| Aug. 25, 2017 | 1170534 | S | 26,000 | $8.25 | $214,500 | 4,052,106 Indirect | -0.64% | Disposed | |
| Aug. 23, 2017 | 1170534 | S | 120,000 | $8.30 | $996,000 | 4,086,290 Direct | -2.85% | Disposed | |
| Aug. 23, 2017 | 1170534 | S | 7,264 | $8.30 | $60,291 | 4,079,026 Direct | -0.18% | Disposed | |
| Aug. 23, 2017 | 1170534 | S | 920 | $8.31 | $7,645 | 4,078,106 Direct | -0.02% | Disposed | |
| July 17, 2017 | 1404624 | X | 56,157 | · | · | 682,187 Direct | +8.97% | Acquired | |
| June 2, 2017 | BTU | P | 12,000 | $23.18 | $278,160 | 3,669,389 Indirect | +0.33% | Acquired | -1.3% (price as of ) |
| June 2, 2017 | BTU | P | 2,903 | $23.62 | $68,569 | 3,672,292 Indirect | +0.08% | Acquired | -3.1% (price as of ) |
| June 1, 2017 | BTU | P | 5,097 | $23.74 | $121,003 | 3,657,389 Indirect | +0.14% | Acquired | -3.6% (price as of ) |
| May 31, 2017 | BTU | P | 4,045 | $24.00 | $97,080 | 3,652,292 Indirect | +0.11% | Acquired | -4.6% (price as of ) |
| May 25, 2017 | BTU | P | 992 | $23.87 | $23,679 | 3,648,247 Indirect | +0.03% | Acquired | -4.1% (price as of ) |
| May 23, 2017 | BTU | P | 8,436 | $23.35 | $196,981 | 3,647,255 Indirect | +0.23% | Acquired | -2.0% (price as of ) |
| May 16, 2017 | BTU | P | 83,405 | $24.25 | $2,022,571 | 3,638,819 Indirect | +2.35% | Acquired | -5.6% (price as of ) |
| May 15, 2017 | BTU | P | 64,000 | $25.01 | $1,600,640 | 3,555,414 Indirect | +1.83% | Acquired | -8.5% (price as of ) |
| May 12, 2017 | BTU | P | 29,017 | $24.70 | $716,720 | 3,491,414 Indirect | +0.84% | Acquired | -7.3% (price as of ) |
| May 11, 2017 | BTU | P | 56,000 | $25.00 | $1,400,000 | 3,462,397 Indirect | +1.64% | Acquired | -8.4% (price as of ) |
| May 10, 2017 | BTU | P | 13,280 | $24.97 | $331,602 | 3,406,397 Indirect | +0.39% | Acquired | -8.3% (price as of ) |
| May 9, 2017 | BTU | P | 32,000 | $24.58 | $786,560 | 3,393,117 Indirect | +0.95% | Acquired | -6.9% (price as of ) |
| May 8, 2017 | BTU | P | 80,000 | $24.17 | $1,933,600 | 3,345,468 Indirect | +2.45% | Acquired | -5.3% (price as of ) |
| May 8, 2017 | BTU | P | 15,649 | $24.14 | $377,767 | 3,361,117 Indirect | +0.47% | Acquired | -5.2% (price as of ) |
| May 5, 2017 | BTU | P | 85,883 | $23.90 | $2,052,604 | 3,249,468 Indirect | +2.71% | Acquired | -4.2% (price as of ) |
| May 5, 2017 | BTU | P | 16,000 | $23.77 | $380,320 | 3,265,468 Indirect | +0.49% | Acquired | -3.7% (price as of ) |
| May 4, 2017 | BTU | P | 4,512 | $24.29 | $109,596 | 2,170,104 Indirect | +0.21% | Acquired | -5.8% (price as of ) |
| May 4, 2017 | BTU | P | 24,000 | $24.70 | $592,800 | 2,194,104 Indirect | +1.11% | Acquired | -7.3% (price as of ) |
| May 4, 2017 | BTU | P | 525,513 | $23.50 | $12,349,556 | 2,719,617 Indirect | +23.95% | Acquired | -2.6% (price as of ) |
| May 4, 2017 | BTU | P | 443,968 | $24.01 | $10,659,672 | 3,163,585 Indirect | +16.32% | Acquired | -4.7% (price as of ) |
| May 3, 2017 | BTU | P | 236,329 | $25.31 | $5,981,487 | 2,165,592 Indirect | +12.25% | Acquired | -9.6% (price as of ) |
| May 2, 2017 | BTU | P | 60,999 | $26.10 | $1,592,074 | 1,929,263 Indirect | +3.27% | Acquired | -12.3% (price as of ) |
| May 1, 2017 | BTU | P | 25,335 | $25.78 | $653,136 | 1,868,264 Indirect | +1.37% | Acquired | -11.2% (price as of ) |
| April 28, 2017 | BTU | P | 53,571 | $25.74 | $1,378,918 | 1,842,929 Direct | +2.99% | Acquired | -11.1% (price as of ) |
| April 27, 2017 | BTU | P | 16,000 | $26.45 | $423,200 | 1,727,990 Direct | +0.93% | Acquired | -13.5% (price as of ) |
| April 27, 2017 | BTU | P | 61,368 | $26.28 | $1,612,751 | 1,789,358 Direct | +3.55% | Acquired | -12.9% (price as of ) |
| April 26, 2017 | BTU | P | 1,920 | $26.50 | $50,880 | 1,672,567 Direct | +0.11% | Acquired | -13.6% (price as of ) |
| April 26, 2017 | BTU | P | 39,423 | $26.48 | $1,043,921 | 1,711,990 Direct | +2.36% | Acquired | -13.6% (price as of ) |
| April 25, 2017 | BTU | P | 2,708 | $26.07 | $70,598 | 1,638,157 Direct | +0.17% | Acquired | -12.2% (price as of ) |
| April 25, 2017 | BTU | P | 32,490 | $26.27 | $853,512 | 1,670,647 Direct | +1.98% | Acquired | -12.9% (price as of ) |
| April 24, 2017 | BTU | P | 11,680 | $26.26 | $306,717 | 1,635,449 Direct | +0.72% | Acquired | -12.8% (price as of ) |
| April 21, 2017 | BTU | P | 48,000 | $25.33 | $1,215,840 | 1,623,769 Direct | +3.05% | Acquired | -9.6% (price as of ) |
| April 20, 2017 | BTU | P | 8,000 | $25.11 | $200,880 | 1,575,769 Direct | +0.51% | Acquired | -8.8% (price as of ) |
| April 19, 2017 | BTU | P | 74,016 | $24.92 | $1,844,479 | 1,567,769 Direct | +4.96% | Acquired | -8.1% (price as of ) |
| April 18, 2017 | BTU | P | 172,055 | $24.07 | $4,141,364 | 1,477,659 Direct | +13.18% | Acquired | -4.9% (price as of ) |
| April 18, 2017 | BTU | P | 16,000 | $23.86 | $381,760 | 1,493,659 Direct | +1.08% | Acquired | -4.1% (price as of ) |
| April 18, 2017 | BTU | X | 94 | $0.01 | $1 | 1,493,753 Direct | +0.01% | Acquired | 228800.0% (price as of ) |
| April 18, 2017 | BTU | X | 94 | · | · | 0 Direct | -100.00% | Disposed | |
| April 13, 2017 | BTU | M | 52,721 | $0.01 | $527 | 1,301,335 Direct | +4.22% | Acquired | 228800.0% (price as of ) |
| April 13, 2017 | BTU | F | 18 | $0.01 | · | 1,301,317 Direct | 0.00% | Disposed | 228800.0% (price as of ) |
| April 13, 2017 | BTU | M | 908 | $0.01 | $9 | 3,112,082 Indirect | +0.03% | Acquired | 228800.0% (price as of ) |
| April 13, 2017 | BTU | J | 4,287 | · | · | 1,305,604 Direct | +0.33% | Acquired | |
| April 13, 2017 | BTU | X | 908 | · | · | 0 Indirect | -100.00% | Disposed | |
| April 13, 2017 | BTU | J | 94 | · | · | 94 Direct | · | Acquired | |
| April 12, 2017 | BTU | M | 51,446 | $0.01 | $514 | 1,248,633 Direct | +4.30% | Acquired | 228800.0% (price as of ) |
| April 12, 2017 | BTU | F | 19 | $0.01 | · | 1,248,614 Direct | 0.00% | Disposed | 228800.0% (price as of ) |
| April 12, 2017 | BTU | M | 282,344 | $0.01 | $2,823 | 3,111,267 Indirect | +9.98% | Acquired | 228800.0% (price as of ) |
| April 12, 2017 | BTU | F | 93 | $0.01 | $1 | 3,111,174 Indirect | 0.00% | Disposed | 228800.0% (price as of ) |
| April 12, 2017 | BTU | X | 51,446 | · | · | 52,721 Direct | -49.39% | Disposed | |
| April 12, 2017 | BTU | X | 282,344 | · | · | 908 Indirect | -99.68% | Disposed | |
| April 12, 2017 | BTU | X | 52,721 | · | · | 0 Direct | -100.00% | Disposed | |
| April 5, 2017 | BTU | P | 32,000 | $27.97 | $895,040 | 1,055,427 Direct | +3.13% | Acquired | -18.2% (price as of ) |
| April 5, 2017 | BTU | P | 51,200 | $27.99 | $1,433,088 | 1,106,627 Direct | +4.85% | Acquired | -18.2% (price as of ) |
Loaded 100 of 545 rows
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 |
|---|---|---|---|---|---|---|---|
| Aug. 28, 2019 | HWM | Notional Principal Amount Derivative Agreements | Common Stock | · | · | 1 | Acquired |
| Aug. 27, 2019 | HWM | Notional Principal Amount Derivative Agreements | Common Stock | · | · | 1 | Acquired |
| Aug. 27, 2019 | HWM | Notional Principal Amount Derivative Agreements | Common Stock | · | · | 1 | Acquired |
| Aug. 26, 2019 | HWM | Notional Principal Amount Derivative Agreements | Common Stock | · | · | 1 | Acquired |
| Aug. 26, 2019 | HWM | Notional Principal Amount Derivative Agreements | Common Stock | · | · | 1 | Acquired |
| Aug. 23, 2019 | HWM | Notional Principal Amount Derivative Agreements | Common Stock | · | · | 1 | Acquired |
| Aug. 23, 2019 | HWM | Notional Principal Amount Derivative Agreements | Common Stock | · | · | 1 | Acquired |
| April 10, 2019 | 1404624 | Warrant (Right to Buy) | Common Stock | $0.01 | Nov. 10, 2022 | 22,222 | Disposed |
| Feb. 28, 2019 | 1404624 | Warrant (Right to Buy) | Common Stock | $0.01 | Nov. 10, 2022 | 659,965 | Disposed |
| Feb. 26, 2019 | 1440024 | Subscription Rights (right to buy) [F5] | Common Stock | $0.50 | Feb. 19, 2019 | 1,677,715 | Disposed |
| May 15, 2018 | HWM | Notional Principal Amount Derivative Agreements [F2] | Common Stock | · | · | 1 | Disposed |
| Jan. 31, 2018 | BTU | Series A Convertible Preferred Stock [F1] | Common Stock | $40.30 | · | 2,404,192 | Acquired |
| July 17, 2017 | 1404624 | Warrant (Right to Buy) [F1,F2] | Common Stock | $0.01 | Nov. 10, 2022 | 56,157 | Acquired |
| April 18, 2017 | BTU | Common Stock Warrant (Right to Buy) | Common Stock | $0.01 | July 3, 2017 | 94 | Disposed |
| April 13, 2017 | BTU | Common Stock Warrant (Right to Buy) [F4] | Common Stock | $0.01 | July 3, 2017 | 908 | Disposed |
| April 13, 2017 | BTU | Common Stock Warrant (Right to Buy) [F4] | Common Stock | $0.01 | July 3, 2017 | 94 | Acquired |
| April 12, 2017 | BTU | Common Stock Warrant (Right to Buy) [F4] | Common Stock | $0.01 | July 3, 2017 | 51,446 | Disposed |
| April 12, 2017 | BTU | Common Stock Warrant (Right to Buy) [F4] | Common Stock | $0.01 | July 3, 2017 | 282,344 | Disposed |
| April 12, 2017 | BTU | Common Stock Warrant (Right to Buy) [F4] | Common Stock | $0.01 | July 3, 2017 | 52,721 | Disposed |
| Aug. 28, 2015 | 877890 | Notional Principal Amount Derivative Agreement [F1] | Common Stock, Par Value $.001 | · | June 1, 2016 | 1 | Acquired |
| Aug. 28, 2015 | 877890 | Notional Principal Amount Derivative Agreement [F1] | Common Stock, Par Value $.001 | · | March 30, 2016 | 1 | Acquired |
| April 8, 2015 | NBHC | Notional Principal Amount Derivative Agreement [F1] | Class A Common Stock, Par Value $0.01 | $18.57 | March 30, 2016 | 1 | Acquired |
| June 3, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| May 29, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| May 22, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| May 20, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| May 19, 2009 | 888693 | 9 1/2% Secured Convertible Note | Common Stock | $0.20 | Aug. 1, 2010 | · | Disposed |
| May 19, 2009 | 888693 | 7% Senior Secured Convertible Note | Common Stock | $0.18 | Aug. 1, 2009 | · | Disposed |
| April 9, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| March 10, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| March 6, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| March 5, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| March 4, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| March 2, 2009 | 891178 | 2-3/8% Convertible Bonds due May 15, 2027 | Common Stock | $8.02 | May 15, 2027 | · | Acquired |
| Aug. 22, 2008 | 888693 | 9 1/2% Secured Convertible Note Due August 1, 2010 | Common Stock | · | Aug. 1, 2010 | · | Acquired |
| June 26, 2007 | 888693 | Amended & Restated 7% Senior Secured Conv. Note (10/23/02) [F3] | Common Stock | · | Aug. 1, 2009 | · | Acquired |
| June 26, 2007 | 888693 | Amended & Restated 7% Senior Secured Conv. Note (10/24/03) [F3] | Common Stock | · | Aug. 1, 2009 | · | Acquired |
| June 26, 2007 | 888693 | Amended & Restated 7% Senior Secured Conv. Note (7/23/04) [F3] | Common Stock | · | Aug. 1, 2009 | · | Acquired |
| June 26, 2007 | 888693 | Amended & Restated 7% Senior Secured Conv. Note (11/10/04) [F3] | Common Stock | · | Aug. 1, 2009 | · | Acquired |
| June 29, 2006 | 888693 | 5% Senior Secured Convertible Note | Common Stock | $0.33 | June 29, 2010 | · | Acquired |
| Dec. 28, 2005 | 904495 | Subordinated Convertible Note Due March 31, 2010 | Common Stock | · | Feb. 28, 2006 | · | Disposed |
| Dec. 19, 2005 | 904495 | Subordinated Convertible Note Due March 31, 2010 | Common Stock | · | Feb. 28, 2006 | · | Acquired |
| Dec. 19, 2005 | 904495 | Subordinated Convertible Note Due March 31, 2010 | Common Stock | · | Feb. 28, 2006 | · | Acquired |
| Dec. 12, 2005 | 904495 | Series B Mandatorily Convertible Redeemable Preferred Stock | Common Stock | · | March 31, 2011 | 88,316 | Disposed |
| Dec. 12, 2005 | 904495 | Series B Mandatorily Convertible Redeemable Preferred Stock | Common Stock | · | March 31, 2011 | 150,147 | Disposed |
| Feb. 24, 2004 | 904495 | Warrants | Common Stock | $0.20 | April 15, 2004 | 2,809,500 | Disposed |
| Feb. 24, 2004 | 904495 | Warrants | Common Stock | $0.20 | April 15, 2004 | 2,809,500 | Disposed |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 14 holdings
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| April 13, 2017 | BTU | Common Stock, par value $0.01 per Share [F1] | 1,023,427 | Direct |
| April 13, 2017 | BTU | Common Stock, par value $0.01 per Share [F1] | 2,828,923 | Indirect |
| April 13, 2017 | BTU | Series A Convertible Preferred, par value $0.01 per share [F1] | 477,635 | Direct |
| April 13, 2017 | BTU | Series A Convertible Preferred, par value $0.01 per share [F1] | 1,813,939 | Indirect |
| April 13, 2017 | BTU | Warrant (Right to Buy) [F1] | 104,167 | Direct |
| April 13, 2017 | BTU | Warrant (Right to Buy) [F1] | 283,252 | Indirect |
| Jan. 25, 2017 | HWM | Common Stock, $1.00 par value [F1] | 14,176,682 | Direct |
| Jan. 25, 2017 | HWM | Notional Principal Amount Derivative Agreements [F1] | 2,324,005 | Direct |
| April 13, 2015 | NBHC | Class A Common Stock, Par Value $0.01 [F1] | 1,263,654 | Direct |
| April 13, 2015 | NBHC | Warrant (Right to Buy) [F1] | 42,000 | Direct |
| June 26, 2012 | FBIO | Common Stock | 792,328 | Direct |
| June 26, 2012 | FBIO | Common Stock | 1,284,053 | Indirect |
| Nov. 17, 2011 | APTV | Common Stock | 16,196,954 | Indirect |
| Sept. 29, 2010 | RILY | Common Stock | 1,413,520 | Indirect |
Holdings reported on Form 4 7 reported holdings
Positions listed on each Form 4 without a transaction in that filing (Table I and II holdings), newest filing first.
| Date | Ticker | Security | Shares | Exercise price | Expiration | Ownership |
|---|---|---|---|---|---|---|
| Sept. 28, 2017 | 1170534 | Notional Principal Amount Derivative Agreements [F1] | · | · | · | Indirect |
| Sept. 19, 2017 | 1170534 | Notional Principal Amount Derivative Agreements [F1] | · | · | · | Indirect |
| Sept. 14, 2017 | 1170534 | Notional Principal Amount Derivative Agreements [F1] | · | · | · | Indirect |
| Sept. 6, 2017 | 1170534 | Notional Principal Amount Derivative Agreements [F1] | · | · | · | Indirect |
| Aug. 30, 2017 | 1170534 | Notional Principal Amount Derivative Agreements [F1] | · | · | · | Indirect |
| Aug. 25, 2017 | 1170534 | Notional Principal Amount Derivative Agreements [F1] | · | · | · | Indirect |
| Aug. 22, 2017 | 1404624 | Common Stock, par value $0.01 per share [F1] | 136,000 | · | · | Direct |