LAZARD ASSET MANAGEMENT LLC
CIK 1207017 · View on SEC EDGAR ↗
Insider
First SEC filing: Nov. 14, 2016 · Latest: Nov. 14, 2016
On this page
- Institution The 13F filer entity this person is associated with.
- Insider transactions Every share this person bought or sold, from Form 4 filings.
- Derivatives Options and other derivative holdings reported by this person.
- Initial holdings The stakes this person held when they first started reporting.
Institution
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 3 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
3 other filings hidden
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Aug. 23, 2011 | 1207017 | P | 701,120 | $0.14 | $98,157 | 0 Indirect | — | Acquired |
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 |
|---|---|---|---|---|---|---|---|
| Nov. 14, 2016 | 1207017 | 8% Senior Convertible Notes due 2024 | Common Stock (737,883) | — | June 15, 2024 | — | Acquired |
| Nov. 14, 2016 | 1207017 | Preferred Stock | Common Stock (1,463,594) | — | — | 1,463,594 | Acquired |
| Nov. 14, 2016 | 1207017 | 8% Senior Convertible Notes due 2019 | Common Stock, $0.0001 par value ("Common Stock") (776,953) | — | — | — | Disposed |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 1 holding
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| April 28, 2004 | LGI | Common Stock | 5,237 | Direct |