Mark L. Baum

CIK 1274282 · View on SEC EDGAR ↗

Activist

First SEC filing: April 7, 2025 · Latest: April 7, 2025

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Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 14 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

14 other filings hidden
Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
Nov. 15, 2018 ETON P 10,000 $6.00 $60,000 10,000 Indirect — Acquired 947.5% (price as of 2026-08-19)
March 3, 2017 IPWR P 7,800 $2.54 $19,812 7,800 Indirect — Acquired -81.0% (price as of 2026-08-19)
March 3, 2017 IPWR P 7,800 $2.54 $19,812 33,698 Indirect +30.12% Acquired -81.0% (price as of 2026-08-19)
Nov. 13, 2015 IPWR S 29,063 $7.54 $219,135 25,898 Direct -52.88% Disposed -93.6% (price as of 2026-08-19)

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
Feb. 20, 2019 ETON Stock option (right to buy) Common Stock (12,500) $7.31 Feb. 19, 2029 12,500 Acquired
March 3, 2017 IPWR Common Stock Warrants Common Stock (7,800) $2.41 March 3, 2020 7,800 Acquired
Jan. 3, 2017 IPWR Option to Purchase Stock [F1,F2] Common Stock (27,875) $3.15 Jan. 3, 2027 27,875 Acquired
Jan. 4, 2016 IPWR Option to Purchase Stock [F1] Common Stock (12,646) $7.94 Jan. 4, 2026 12,646 Acquired
Jan. 2, 2015 IPWR Option to Purchase Stock [F1,F2] Common Stock (12,834) $7.32 Jan. 2, 2025 12,834 Acquired
Feb. 10, 2014 HROW Option - Right to Buy Common Stock (15,400) $7.71 Feb. 10, 2024 15,400 Acquired
Jan. 2, 2014 IPWR Option to Purchase Common Stock [F4,F5] Common Stock (17,042) $5.49 Jan. 2, 2024 17,042 Acquired
May 2, 2013 HROW Option - Right to Buy Common Stock (180,000) $8.99 May 2, 2023 180,000 Acquired
July 12, 2012 HROW Series A Convertible Preferred Stock Common Stock (7,498,500) $0.00 — 10 Disposed

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

Initial ownership (Form 3) 11 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date Ticker Security Shares Ownership
Nov. 13, 2018 ETON Common Stock 784,745 Direct
Nov. 13, 2018 ETON Restricted Stock Units→ Common Stock (25,000) 25,000 Direct
Nov. 21, 2013 IPWR Common Stock 52,432 Direct
Nov. 21, 2013 IPWR Senior Secured Convertible Promissory Note→ Common Stock (28,935) 28,935 Indirect
Nov. 21, 2013 IPWR Warrant→ Common Stock (14,383) 14,383 Indirect
April 27, 2012 HROW Common Stock 8,240,045 Indirect
April 27, 2012 HROW Series A Convertible Preferred Stock→ Common Stock (7,498,500) 7,498,500 Indirect
April 27, 2012 HROW Option (Right to Buy)→ Common Stock (625,000) 625,000 Direct
April 27, 2012 HROW Option (Right to Buy)→ Common Stock (300,000) 300,000 Direct
April 27, 2012 HROW Option (Right to Buy)→ Common Stock (125,000) 125,000 Direct
April 27, 2012 HROW Warrants→ Common Stock (241,308) 241,308 Indirect

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

HROW

Fiscal year Salary Bonus Stock awards Option awards Non-equity incentive Pension change Other Total
2016 $372,386 — $2,072,933 $544,860 $153,043 — $10,600 $3,153,822
2015 $338,870 — — $2,783,577 $114,369 — $10,600 $3,247,416
2014 $327,456 — — $94,718 $203,980 — $7,800 $633,954

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.