MARXE AUSTIN W & GREENHOUSE DAVID M
CIK 1044321 · View on SEC EDGAR ↗
Insider
First SEC filing: Aug. 27, 2015 · Latest: Aug. 27, 2015
On this page
- Institution The 13F filer entity this person is associated with.
- 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.
- Initial holdings The stakes this person held when they first started reporting.
Institution
Insider at
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. 25, 2015 | 1044321 | S | 1,000 | $13.00 | $13,000 | 1,991,258 Indirect | -0.05% | Disposed | |
| Jan. 9, 2015 | BWEN | S | 8,620 | $5.03 | $43,359 | 1,926,572 Indirect | -0.45% | Disposed | -11.3% (price as of 2026-08-21) |
| Jan. 8, 2015 | BWEN | S | 176,999 | $5.00 | $884,995 | 1,935,192 Indirect | -8.38% | Disposed | -10.8% (price as of 2026-08-21) |
| Jan. 7, 2015 | 1044321 | S | 500 | $12.07 | $6,035 | 2,290,036 Indirect | -0.02% | Disposed | |
| Jan. 6, 2015 | 1044321 | S | 3,696 | $12.17 | $44,980 | 2,290,536 Indirect | -0.16% | Disposed | |
| Jan. 5, 2015 | 1044321 | S | 4,723 | $12.48 | $58,943 | 2,294,232 Indirect | -0.21% | Disposed | |
| Dec. 15, 2014 | 1044321 | P | 400 | $2.48 | $992 | 1,341,837 Indirect | +0.03% | Acquired | |
| Dec. 11, 2014 | 1044321 | P | 100 | $2.44 | $244 | 1,341,437 Indirect | +0.01% | Acquired | |
| Dec. 10, 2014 | 1044321 | P | 2,000 | $2.58 | $5,160 | 1,341,337 Indirect | +0.15% | Acquired | |
| Dec. 8, 2014 | 1044321 | P | 2,000 | $2.62 | $5,240 | 1,339,337 Indirect | +0.15% | Acquired | |
| Dec. 1, 2014 | 1044321 | P | 15,442 | $2.84 | $43,855 | 1,337,337 Indirect | +1.17% | Acquired | |
| Nov. 26, 2014 | 1044321 | P | 10,800 | $2.98 | $32,184 | 1,321,895 Indirect | +0.82% | Acquired | |
| Nov. 25, 2014 | 1044321 | P | 14,343 | $3.02 | $43,316 | 1,311,095 Indirect | +1.11% | Acquired | |
| Nov. 24, 2014 | 1044321 | P | 5,100 | $3.06 | $15,606 | 1,296,752 Indirect | +0.39% | Acquired | |
| Nov. 19, 2014 | 1044321 | P | 200 | $3.15 | $630 | 1,291,652 Indirect | +0.02% | Acquired | |
| Nov. 18, 2014 | 1044321 | P | 1,311 | $3.11 | $4,077 | 1,291,452 Indirect | +0.10% | Acquired | |
| Nov. 17, 2014 | 1044321 | S | 2,900,000 | $0.26 | $754,000 | 881,946 Indirect | -76.68% | Disposed | |
| Nov. 17, 2014 | 1044321 | P | 13,623 | $3.15 | $42,912 | 1,290,141 Indirect | +1.07% | Acquired | |
| Nov. 13, 2014 | 1044321 | P | 100 | $3.15 | $315 | 1,276,518 Indirect | +0.01% | Acquired | |
| Nov. 12, 2014 | 1044321 | P | 200 | $3.15 | $630 | 1,276,418 Indirect | +0.02% | Acquired | |
| Nov. 11, 2014 | 1044321 | S | 17,000 | $11.22 | $190,740 | 2,298,955 Indirect | -0.73% | Disposed | |
| Nov. 10, 2014 | 1044321 | S | 17,700 | $11.39 | $201,603 | 2,315,955 Indirect | -0.76% | Disposed | |
| Nov. 6, 2014 | 1044321 | S | 6,500 | $12.04 | $78,260 | 2,333,655 Indirect | -0.28% | Disposed | |
| Nov. 5, 2014 | 1044321 | S | 8,800 | $12.03 | $105,864 | 2,340,155 Indirect | -0.37% | Disposed | |
| Oct. 29, 2014 | 1044321 | P | 2,700 | $3.15 | $8,505 | 1,276,218 Indirect | +0.21% | Acquired | |
| Oct. 27, 2014 | 1044321 | P | 3,810 | $3.10 | $11,811 | 1,273,518 Indirect | +0.30% | Acquired | |
| Oct. 24, 2014 | 1044321 | P | 200 | $3.10 | $620 | 1,269,708 Indirect | +0.02% | Acquired | |
| Oct. 23, 2014 | 1044321 | P | 27,161 | $3.10 | $84,199 | 1,269,508 Indirect | +2.19% | Acquired | |
| Oct. 22, 2014 | 1044321 | P | 119,302 | $3.10 | $369,836 | 1,242,347 Indirect | +10.62% | Acquired | |
| Sept. 8, 2014 | CLRB | P | 182 | $3.00 | $546 | 1,142,368 Indirect | +0.02% | Acquired | -100.0% (price as of 2026-08-21) |
| Aug. 27, 2014 | 1044321 | S | 176,892 | $4.44 | $785,400 | 370,754 Indirect | -32.30% | Disposed | |
| Aug. 26, 2014 | 1044321 | S | 312,000 | $3.40 | $1,060,800 | 547,646 Indirect | -36.29% | Disposed | |
| Aug. 22, 2014 | CLRB | P | 5,699 | $3.00 | $17,097 | 1,142,186 Indirect | +0.50% | Acquired | -100.0% (price as of 2026-08-21) |
| Aug. 19, 2014 | CLRB | P | 65,687 | $3.05 | $200,345 | 1,136,487 Indirect | +6.13% | Acquired | -100.0% (price as of 2026-08-21) |
| Aug. 18, 2014 | CLRB | P | 4,800 | $3.05 | $14,640 | 1,070,800 Indirect | +0.45% | Acquired | -100.0% (price as of 2026-08-21) |
| Aug. 12, 2014 | 1044321 | P | 17,100 | $0.42 | $7,182 | 6,018,600 Indirect | +0.28% | Acquired | |
| Aug. 11, 2014 | 1044321 | P | 1,500 | $0.42 | $630 | 6,001,500 Indirect | +0.03% | Acquired | |
| June 27, 2014 | 1044321 | S | 250,000 | $3.20 | $800,000 | 859,646 Indirect | -22.53% | Disposed | |
| April 2, 2014 | BWEN | S | 48,201 | $13.61 | $656,016 | 2,112,191 Indirect | -2.23% | Disposed | -67.2% (price as of 2026-08-21) |
| April 1, 2014 | BWEN | S | 30,551 | $12.52 | $382,499 | 2,160,392 Indirect | -1.39% | Disposed | -64.4% (price as of 2026-08-21) |
| March 31, 2014 | BWEN | S | 25,000 | $12.10 | $302,500 | 2,190,943 Indirect | -1.13% | Disposed | -63.1% (price as of 2026-08-21) |
| March 21, 2014 | 1044321 | S | 8,580 | $21.56 | $184,985 | 1,467,850 Indirect | -0.58% | Disposed | |
| March 20, 2014 | 1044321 | S | 48,900 | $20.99 | $1,026,411 | 1,487,530 Indirect | -3.18% | Disposed | |
| March 20, 2014 | 1044321 | S | 11,100 | $20.77 | $230,547 | 1,476,430 Indirect | -0.75% | Disposed | |
| March 19, 2014 | 1044321 | S | 13,570 | $20.04 | $271,943 | 1,536,430 Indirect | -0.88% | Disposed | |
| March 18, 2014 | 1044321 | S | 19,246 | $19.98 | $384,535 | 1,550,000 Indirect | -1.23% | Disposed | |
| March 3, 2014 | 1044321 | S | 14,821 | $23.90 | $354,222 | 324,000 Indirect | -4.37% | Disposed | |
| Feb. 28, 2014 | 1044321 | S | 1,500 | $24.13 | $36,195 | 338,821 Indirect | -0.44% | Disposed | |
| Feb. 27, 2014 | 1044321 | S | 5,200 | $24.72 | $128,544 | 340,321 Indirect | -1.50% | Disposed | |
| Feb. 26, 2014 | 1044321 | S | 4,032 | $24.43 | $98,502 | 345,521 Indirect | -1.15% | Disposed | |
| Feb. 21, 2014 | 1044321 | S | 900 | $24.44 | $21,996 | 349,553 Indirect | -0.26% | Disposed | |
| Feb. 20, 2014 | 1044321 | S | 2,024 | $24.59 | $49,770 | 350,453 Indirect | -0.57% | Disposed | |
| Feb. 18, 2014 | LTBR | S | 149,560 | $2.99 | $447,184 | 1,437,535 Indirect | -9.42% | Disposed | -95.5% (price as of 2026-08-21) |
| Feb. 14, 2014 | 1044321 | S | 50,000 | $5.76 | $288,000 | 1,616,667 Indirect | -3.00% | Disposed | |
| Feb. 3, 2014 | 1044321 | S | 25,234 | $18.11 | $456,988 | 1,569,246 Indirect | -1.58% | Disposed | |
| Jan. 30, 2014 | 1044321 | S | 100 | $25.00 | $2,500 | 352,477 Indirect | -0.03% | Disposed | |
| Jan. 23, 2014 | 1044321 | S | 325 | $25.10 | $8,158 | 352,577 Indirect | -0.09% | Disposed | |
| Jan. 22, 2014 | LTBR | S | 97,247 | $2.62 | $254,787 | 1,587,095 Indirect | -5.77% | Disposed | -94.9% (price as of 2026-08-21) |
| Jan. 22, 2014 | 1044321 | S | 700 | $24.78 | $17,346 | 352,902 Indirect | -0.20% | Disposed | |
| Jan. 21, 2014 | 1044321 | S | 1,000 | $24.88 | $24,880 | 353,602 Indirect | -0.28% | Disposed | |
| Jan. 15, 2014 | 1044321 | S | 1,690 | $24.85 | $41,996 | 354,602 Indirect | -0.47% | Disposed | |
| Jan. 14, 2014 | 1044321 | S | 3,100 | $17.50 | $54,250 | 1,594,480 Indirect | -0.19% | Disposed | |
| Jan. 14, 2014 | 1044321 | S | 1,202 | $24.72 | $29,713 | 356,292 Indirect | -0.34% | Disposed | |
| Jan. 13, 2014 | 1044321 | S | 1,501 | $24.77 | $37,180 | 357,494 Indirect | -0.42% | Disposed | |
| Jan. 10, 2014 | 1044321 | S | 4,252 | $24.88 | $105,790 | 358,995 Indirect | -1.17% | Disposed | |
| Jan. 9, 2014 | 1044321 | S | 2,413 | $24.79 | $59,818 | 363,247 Indirect | -0.66% | Disposed | |
| Jan. 9, 2014 | BWEN | S | 85,000 | $11.13 | $946,050 | 2,215,943 Indirect | -3.69% | Disposed | -59.9% (price as of 2026-08-21) |
| Jan. 8, 2014 | BWEN | S | 15,000 | $10.55 | $158,250 | 2,300,943 Indirect | -0.65% | Disposed | -57.7% (price as of 2026-08-21) |
| Jan. 8, 2014 | 1044321 | S | 1,799 | $24.86 | $44,723 | 365,660 Indirect | -0.49% | Disposed | |
| Jan. 7, 2014 | 1044321 | S | 160 | $25.00 | $4,000 | 367,459 Indirect | -0.04% | Disposed | |
| Jan. 3, 2014 | BWEN | S | 16,100 | $10.47 | $168,567 | 2,315,943 Indirect | -0.69% | Disposed | -57.4% (price as of 2026-08-21) |
| Jan. 3, 2014 | BWEN | S | 59,000 | $10.11 | $596,490 | 2,332,043 Indirect | -2.47% | Disposed | -55.9% (price as of 2026-08-21) |
| Jan. 3, 2014 | BWEN | S | 16,100 | $10.47 | $168,567 | 1,315,943 Indirect | -1.21% | Disposed | -57.4% (price as of 2026-08-21) |
| Jan. 3, 2014 | BWEN | S | 59,000 | $10.11 | $596,490 | 1,332,043 Indirect | -4.24% | Disposed | -55.9% (price as of 2026-08-21) |
| Jan. 3, 2014 | 1044321 | S | 76,600 | $16.74 | $1,282,284 | 1,597,580 Indirect | -4.58% | Disposed | |
| Jan. 2, 2014 | 1044321 | S | 23,400 | $17.14 | $401,076 | 1,674,180 Indirect | -1.38% | Disposed | |
| Dec. 31, 2013 | LTBR | S | 140,193 | $1.49 | $208,888 | 1,684,342 Indirect | -7.68% | Disposed | -91.0% (price as of 2026-08-21) |
| Dec. 30, 2013 | LTBR | S | 19,607 | $1.57 | $30,783 | 1,824,535 Indirect | -1.06% | Disposed | -91.5% (price as of 2026-08-21) |
| Dec. 27, 2013 | LTBR | S | 16,613 | $1.57 | $26,082 | 1,844,142 Indirect | -0.89% | Disposed | -91.5% (price as of 2026-08-21) |
| Dec. 26, 2013 | LTBR | S | 30,000 | $1.58 | $47,400 | 1,860,755 Indirect | -1.59% | Disposed | -91.6% (price as of 2026-08-21) |
| Dec. 24, 2013 | LTBR | S | 43,308 | $1.59 | $68,860 | 1,890,755 Indirect | -2.24% | Disposed | -91.6% (price as of 2026-08-21) |
| Dec. 24, 2013 | 1044321 | S | 20,000 | $14.85 | $297,000 | 1,697,580 Indirect | -1.16% | Disposed | |
| Dec. 23, 2013 | LTBR | S | 170,302 | $1.44 | $245,235 | 1,934,063 Indirect | -8.09% | Disposed | -90.7% (price as of 2026-08-21) |
| Dec. 23, 2013 | 1044321 | S | 128,291 | $1.11 | $142,403 | 2,679,179 Indirect | -4.57% | Disposed | |
| Dec. 23, 2013 | 1044321 | S | 38,811 | $13.85 | $537,532 | 1,717,580 Indirect | -2.21% | Disposed | |
| Dec. 21, 2013 | BWEN | S | 23,000 | $10.02 | $230,460 | 2,391,043 Indirect | -0.95% | Disposed | -55.5% (price as of 2026-08-21) |
| Dec. 20, 2013 | 1044321 | S | 2,000 | $9.05 | $18,100 | 2,348,955 Indirect | -0.09% | Disposed | |
| Dec. 20, 2013 | 1044321 | S | 6,700 | $1.17 | $7,839 | 2,807,470 Indirect | -0.24% | Disposed | |
| Dec. 20, 2013 | 1044321 | S | 20,000 | $13.12 | $262,400 | 1,756,391 Indirect | -1.13% | Disposed | |
| Dec. 20, 2013 | BWEN | S | 40,830 | $9.00 | $367,470 | 2,414,043 Indirect | -1.66% | Disposed | -50.4% (price as of 2026-08-21) |
| Dec. 20, 2013 | LTBR | S | 84,881 | $1.40 | $118,833 | 2,104,365 Indirect | -3.88% | Disposed | -90.5% (price as of 2026-08-21) |
| Dec. 20, 2013 | LTBR | S | 14,000 | $1.42 | $19,880 | 2,189,246 Indirect | -0.64% | Disposed | -90.6% (price as of 2026-08-21) |
| Dec. 19, 2013 | LTBR | S | 147,100 | $1.60 | $235,360 | 2,203,246 Indirect | -6.26% | Disposed | -91.7% (price as of 2026-08-21) |
| Dec. 19, 2013 | 1044321 | S | 17,436 | $1.17 | $20,400 | 2,814,170 Indirect | -0.62% | Disposed | |
| Dec. 18, 2013 | BWEN | S | 8,300 | $9.00 | $74,700 | 2,454,873 Indirect | -0.34% | Disposed | -50.4% (price as of 2026-08-21) |
| Dec. 18, 2013 | 1044321 | S | 118,230 | $1.18 | $139,511 | 2,831,606 Indirect | -4.01% | Disposed | |
| Dec. 17, 2013 | LTBR | S | 27,966 | $1.43 | $39,991 | 2,350,346 Indirect | -1.18% | Disposed | -90.7% (price as of 2026-08-21) |
Showing latest 100 of 2577 transactions
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 |
|---|---|---|---|---|---|---|---|
| Dec. 1, 2014 | 1044321 | Warrants | Common Stock (0) | $8.13 | Feb. 22, 2015 | 1,443,373 | Disposed |
| Aug. 29, 2014 | 1044321 | Warrants | Common Stock | $0.54 | Aug. 6, 2019 | 6,000,000 | Acquired |
| Aug. 29, 2014 | 1044321 | Warrants | Common Stock | $0.54 | Aug. 6, 2019 | 6,000,000 | Disposed |
| Aug. 27, 2013 | 1044321 | Warrants | Common Stock | $2.48 | Aug. 27, 2013 | 562,510 | Disposed |
| Feb. 12, 2013 | POCI | Warrants | Common Stock | $1.18 | May 11, 2017 | 7,260,000 | Acquired |
| Feb. 12, 2013 | POCI | Warrants | Common Stock | $1.50 | Feb. 12, 2016 | 350,000 | Acquired |
| Feb. 6, 2013 | 1044321 | Warrants [F1] | Common Stock | — | Nov. 30, 2017 | 4,222,148 | Acquired |
| Oct. 31, 2012 | 1044321 | Warrants | Common Stock (0) | $0.38 | Oct. 31, 2012 | 384,000 | Disposed |
| Oct. 31, 2012 | 1044321 | Warrants | Common Stock (0) | $0.32 | Oct. 31, 2012 | 518,000 | Disposed |
| Oct. 31, 2012 | 1044321 | Warrants | Common Stock (0) | $0.27 | Oct. 31, 2012 | 384,000 | Disposed |
| Oct. 9, 2012 | 1044321 | Warrants | Common Stock | — | Aug. 16, 2016 | 635,000 | Disposed |
| Oct. 9, 2012 | 1044321 | Warrants | Common Stock (0) | $0.04 | Aug. 16, 2016 | 635,000 | Disposed |
| Sept. 28, 2012 | POCI | Warrants | Common Stock | $1.25 | Sept. 28, 2017 | 427,779 | Acquired |
| Aug. 2, 2012 | 1044321 | Warrants | Common Stock | $4.90 | Jan. 26, 2015 | 388,350 | Disposed |
| Aug. 2, 2012 | 1044321 | Warrants | Common Stock | $2.31 | Oct. 19, 2015 | 2,461,825 | Disposed |
| June 25, 2012 | 1044321 | Warrants | Common Stock | $1.55 | June 25, 2012 | 1,500,000 | Disposed |
| Sept. 28, 2011 | 1044321 | Warrants | Common Stock | $3.25 | Sept. 28, 2011 | 235,004 | Disposed |
| July 7, 2011 | BGMS | Options | Units | $1.67 | July 7, 2011 | 2,053,450 | Disposed |
| April 26, 2011 | 1044321 | Warrants | Common Stock | $4.90 | April 26, 2011 | 388,350 | Disposed |
| Feb. 22, 2011 | TBCH | Warrants | Common Stock | $0.50 | Feb. 22, 2016 | 1,500,000 | Acquired |
| Feb. 4, 2011 | GNSS | Warrants | Common Stock | $2.67 | Feb. 4, 2016 | 788,090 | Acquired |
| Feb. 4, 2011 | GNSS | Warrants | Common Stock (788,090) | $2.67 | Feb. 6, 2011 | 788,090 | Disposed |
| Feb. 3, 2011 | 1044321 | Warrants | Common Stock | $11.50 | Aug. 16, 2016 | 50,000 | Acquired |
| Oct. 19, 2010 | 1044321 | Warrants | Common Stock | $0.12 | Oct. 19, 2015 | 2,461,825 | Acquired |
| April 23, 2010 | 1044321 | Series A Convertible Preferred Stock | Common Stock | — | — | 566,665 | Disposed |
| March 30, 2010 | 1044321 | Warrants | Common Stock | $0.00 | April 12, 2010 | 1,850,000 | Disposed |
| Feb. 6, 2010 | 1044321 | Series B Senior Secured Convertible Note ("Notes") [F1] | Common Stock | — | Nov. 28, 2015 | 1,055,537 | Acquired |
| Jan. 26, 2010 | 1044321 | Warrants | Common Stock | $4.90 | Jan. 26, 2015 | 388,350 | Acquired |
| Jan. 26, 2010 | 1044321 | Warrants | Common Stock | $4.90 | April 26, 2011 | 388,350 | Acquired |
| Nov. 30, 2009 | 1044321 | Warrants | Common Stock | $0.00 | Sept. 8, 2013 | 324,760 | Disposed |
| Nov. 30, 2009 | 1044321 | Warrants | Common Stock (272,028) | $0.00 | April 15, 2013 | 324,760 | Disposed |
| May 7, 2009 | 1044321 | Stock Option (Right to Buy) | Common Shares (8,000) | $2.50 | May 7, 2019 | 8,000 | Acquired |
| April 28, 2009 | 1044321 | Warrants | Common Stock | $2.75 | April 24, 2014 | 190,182 | Acquired |
| April 28, 2009 | 1044321 | Warrants | Common Stock (475,456) | $2.50 | April 26, 2009 | 2,178,646 | Disposed |
| April 28, 2009 | 1044321 | Warrants | Common Stock | $2.50 | April 26, 2009 | 2,178,646 | Disposed |
| Jan. 28, 2009 | LINK | Convertible Bonds | Common Stock | $1.26 | July 20, 2010 | 2,897,000 | Disposed |
| Dec. 16, 2008 | 1044321 | Warrants | Common Stock | $4.00 | Dec. 16, 2008 | 78,996 | Disposed |
| Sept. 22, 2008 | 1044321 | Warrant | Common Stock (153,631) | $74.17 | Sept. 22, 2008 | 10,754,133 | Disposed |
| Sept. 15, 2008 | 1044321 | Warrants | Common Stock | $0.00 | Sept. 12, 2013 | 3,600,000 | Acquired |
| Sept. 15, 2008 | 1044321 | Warrants | Common Stock | $0.00 | April 12, 2010 | 1,850,000 | Acquired |
| Sept. 15, 2008 | 1044321 | Warrants | Common Stock | $1.60 | April 12, 2010 | 1,850,000 | Disposed |
| May 16, 2008 | 1044321 | Warrants | Common Stock | $0.01 | March 13, 2018 | 13,995,461 | Acquired |
| May 16, 2008 | 1044321 | Preferred Stock | Common Stock | $0.05 | — | 709 | Acquired |
| May 16, 2008 | 1044321 | Preferred Stock | Common Stock | $0.05 | — | 709 | Acquired |
| Feb. 8, 2008 | 1044321 | Preferred Stock | Common Stock | $1.50 | — | 7,900 | Disposed |
| Feb. 3, 2008 | 1044321 | Warrants | Common Stock (0) | $1.72 | Feb. 3, 2008 | 2,857,143 | Acquired |
| Feb. 3, 2008 | 1044321 | Warrants | Common Stock (0) | $1.58 | Feb. 3, 2008 | 2,857,143 | Acquired |
| Dec. 7, 2007 | 1044321 | Convertible Preferred | Common Stock | $0.60 | — | 17,966 | Acquired |
| Dec. 7, 2007 | 1044321 | Warrants | Common Stock | $0.80 | Dec. 5, 2012 | 718,640 | Acquired |
| Nov. 15, 2007 | 1044321 | Convertible Preferred | Common Stock | $0.65 | — | 746,155 | Acquired |
| Nov. 15, 2007 | 1044321 | Warrants | Common Stock | $1.00 | Nov. 15, 2012 | 223,847 | Acquired |
| Oct. 22, 2007 | 1044321 | Convertible Bonds | Common Stock | $2.50 | Oct. 31, 2010 | 338,286 | Disposed |
| Sept. 28, 2007 | 1044321 | Preferred Stock | Common Stock | $0.65 | — | 746,155 | Acquired |
| Sept. 28, 2007 | 1044321 | Warrants | Common Stock | $1.00 | Sept. 28, 2012 | 223,846 | Acquired |
| July 20, 2007 | LINK | Convertible Bonds | Common Stock | $1.26 | July 20, 2010 | 2,897,000 | Acquired |
| July 20, 2007 | LINK | Warrants | Common Stock | $1.51 | July 20, 2012 | 1,149,603 | Acquired |
| June 29, 2007 | 1044321 | Warrants | Common Stock | $2.40 | June 29, 2012 | 750,000 | Acquired |
| June 26, 2007 | 1044321 | Warrants | Common Stock | $1.55 | June 25, 2012 | 1,500,000 | Acquired |
| May 14, 2007 | 1044321 | Warrants | Common Stock | $1.50 | May 14, 2012 | 1,483,781 | Acquired |
| April 20, 2007 | 1044321 | Warrants B | Common Stock (0) | $0.93 | March 15, 2010 | 645,161 | Disposed |
| April 20, 2007 | 1044321 | Warrants A | Common Stock (0) | $0.93 | March 15, 2010 | 645,161 | Disposed |
| Feb. 28, 2007 | 1044321 | Convertible Preferred | Common Stock | $0.40 | — | 4,900 | Acquired |
| Feb. 28, 2007 | 1044321 | Warrants | Common Stock | $0.50 | Feb. 28, 2012 | 1,531,250 | Acquired |
| Feb. 1, 2007 | POCI | Warrants | Common Stock | $0.32 | Feb. 1, 2012 | 8,000,000 | Acquired |
| Dec. 1, 2006 | 1044321 | Convertible Preferred | Common Stock | $0.53 | Aug. 8, 1988 | 2,400 | Acquired |
| Nov. 20, 2006 | 1044321 | Corporate Bond | Common Stock | $1.00 | Oct. 31, 2011 | 422,400 | Acquired |
| Nov. 20, 2006 | 1044321 | Corporate Bond | Common Stock (1,248,000) | $1.00 | Oct. 31, 2010 | 1,248,000 | Acquired |
| Nov. 20, 2006 | 1044321 | Corporate Bond | Common Stock (768,000) | $0.50 | Oct. 31, 2010 | 384,000 | Acquired |
| Nov. 20, 2006 | 1044321 | Warrants | Common Stock | $0.38 | Oct. 31, 2012 | 384,000 | Acquired |
| Nov. 20, 2006 | 1044321 | Warrants | Common Stock | $0.32 | Oct. 31, 2012 | 518,400 | Acquired |
| Nov. 20, 2006 | 1044321 | Warrants | Common Stock | $0.27 | Oct. 31, 2012 | 384,000 | Acquired |
| Nov. 20, 2006 | 1044321 | Common Stock | Common Stock | $1.00 | Oct. 31, 2011 | 422,400 | Acquired |
| Nov. 20, 2006 | 1044321 | Corporate Bond | Common Stock | $1.00 | Oct. 31, 2010 | 1,248,000 | Acquired |
| Nov. 20, 2006 | 1044321 | Corporate Bond | Common Stock | $0.50 | Oct. 31, 2010 | 384,000 | Acquired |
| Nov. 20, 2006 | 1044321 | Warrants | Common Stock | $0.38 | Oct. 31, 2012 | 384,000 | Acquired |
| Nov. 20, 2006 | 1044321 | Warrants | Common Stock | $0.32 | Oct. 31, 2012 | 518,400 | Acquired |
| Nov. 20, 2006 | 1044321 | Warrants | Common Stock | $0.27 | Oct. 31, 2012 | 384,000 | Acquired |
| Nov. 16, 2006 | 1044321 | Warrants | Common Stock | $2.60 | Nov. 9, 2011 | 55,962 | Acquired |
| Nov. 16, 2006 | 1044321 | Preferred Stock | Common Stock | $1.30 | Nov. 9, 2011 | 373,078 | Acquired |
| Sept. 30, 2006 | 1044321 | Warrants | Common Stock | $0.17 | Sept. 30, 2006 | 516,435 | Disposed |
| Sept. 30, 2006 | 1044321 | Warrants | Common Stock | $0.17 | Sept. 30, 2006 | 1,491,691 | Disposed |
| Sept. 28, 2006 | 1044321 | Warrants | Common Stock (235,004) | $3.25 | Sept. 28, 2011 | 235,004 | Acquired |
| Sept. 28, 2006 | 1044321 | Warrants | Common Stock | $1.61 | Aug. 16, 2007 | 1,192,913 | Acquired |
| July 31, 2006 | 1044321 | Warrants | Common Stock | $2.25 | July 29, 2006 | 549,853 | Disposed |
| April 27, 2006 | 1044321 | Warrants | Common Stock | $0.23 | March 31, 2010 | 2,113,439 | Disposed |
| April 27, 2006 | 1044321 | Warrants | Common Stock | $0.95 | Feb. 14, 2007 | 1,072,725 | Disposed |
| Feb. 17, 2006 | 1044321 | Convertible Preferred | Common Stock | $1.24 | — | 79,031 | Acquired |
| Feb. 17, 2006 | 1044321 | Warrants A | Common Stock (73,134) | $1.50 | Feb. 17, 2011 | 73,134 | Acquired |
| Feb. 17, 2006 | 1044321 | Warrants B | Common Stock | $2.00 | Feb. 17, 2011 | 146,268 | Acquired |
| Jan. 20, 2006 | 1044321 | Convertible Bonds | Common Stock | $1.45 | Dec. 31, 2007 | 7,661,910 | Disposed |
| Jan. 20, 2006 | 1044321 | Convertible Bonds | Common Stock | $1.45 | Dec. 31, 2007 | 2,000,000 | Disposed |
| Jan. 20, 2006 | 1044321 | Warrants | Common Stock | $4.28 | March 25, 2006 | 157,879 | Disposed |
| Dec. 31, 2005 | 1044321 | Warrants B | Common Stock (31,704) | $0.14 | Feb. 15, 2010 | 634,075 | Acquired |
| Dec. 31, 2005 | 1044321 | Warrants A | Common Stock (95,111) | $0.28 | Feb. 15, 2010 | 1,902,225 | Acquired |
| Dec. 31, 2005 | 1044321 | Warrant | Common Stock | $1.00 | Sept. 9, 2011 | 0 | Acquired |
| Dec. 31, 2005 | 1044321 | Warrant | Common Stock | $1.00 | June 30, 2011 | 0 | Acquired |
| Dec. 31, 2005 | 1044321 | Warrant | Common Stock (3,089,299) | $1.00 | Sept. 19, 2010 | 3,089,299 | Acquired |
| Dec. 31, 2005 | 1044321 | Warrant | Common Stock (687,351) | $1.00 | July 14, 2010 | 687,351 | Acquired |
| Dec. 31, 2005 | 1044321 | Warrants | Common Stock | $3.84 | March 25, 2006 | 157,879 | Acquired |
| Dec. 31, 2005 | 1044321 | Bond | Common Stock (2,660,042) | $1.45 | Dec. 31, 2007 | 3,857,060 | Acquired |
Showing latest 100 of 171 transactions
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 70 holdings
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Feb. 12, 2015 | IZEA | Common Stock | 10,857,144 | Indirect |
| Feb. 12, 2015 | IZEA | Warrants A→ Common Stock | — | Indirect |
| Feb. 12, 2015 | IZEA | Warrants B→ Common Stock | — | Indirect |
| Feb. 10, 2015 | LTBR | Common Stock | 3,508,789 | Indirect |
| Feb. 10, 2015 | LTBR | Warrants→ Common Stock | — | Indirect |
| Feb. 10, 2015 | LTBR | Warrants→ Common Stock | — | Indirect |
| Feb. 10, 2015 | LTBR | Warrants→ Common Stock | — | Indirect |
| Jan. 30, 2015 | IPWR | Common Stock | 1,146,935 | Indirect |
| Nov. 19, 2014 | LTBR | Common Stock | 3,508,789 | Indirect |
| Nov. 19, 2014 | LTBR | Warrants→ Common Stock | — | Indirect |
| Nov. 19, 2014 | LTBR | Warrants→ Common Stock | — | Indirect |
| Nov. 19, 2014 | LTBR | Warrants→ Common Stock | — | Indirect |
| Sept. 8, 2014 | CLRB | Common Stock | — | Indirect |
| Sept. 8, 2014 | CLRB | Warrants→ Common Stock | — | Indirect |
| Feb. 28, 2014 | IZEA | Common Stock | 10,857,144 | Indirect |
| Feb. 28, 2014 | IZEA | Warrants A→ Common Stock | — | Indirect |
| Feb. 28, 2014 | IZEA | Warrants B→ Common Stock | — | Indirect |
| Dec. 4, 2013 | IPWR | Common Stock | 1,146,935 | Indirect |
| Oct. 29, 2013 | LTBR | Common Stock | 2,378,312 | Indirect |
| Oct. 29, 2013 | LTBR | Warrants→ Common Stock | — | Indirect |
| Oct. 29, 2013 | LTBR | Warrants→ Common Stock | — | Indirect |
| April 2, 2012 | PLUG | Common Stock | 8,511,620 | Indirect |
| April 2, 2012 | PLUG | Warrant→ Common Stock | — | Indirect |
| Sept. 21, 2011 | BWEN | Common Stock | — | Indirect |
| May 10, 2011 | PSIX | Convertible Preferred Stock→ Common Stock | — | Indirect |
| March 11, 2011 | PTN | Common Stock | 4,500,000 | Indirect |
| March 11, 2011 | PTN | Warrants A→ Common Stock | — | Indirect |
| March 11, 2011 | PTN | Warrants B→ Common Stock | — | Indirect |
| March 4, 2011 | PTN | Common Stock | 4,500,000 | Indirect |
| March 4, 2011 | PTN | Warrants A→ Common Stock | — | Indirect |
| March 4, 2011 | PTN | Warrants B→ Common Stock | — | Indirect |
| Feb. 3, 2011 | INO | Common Stock | 21,130,400 | Indirect |
| Feb. 3, 2011 | INO | Warrant→ Common Stock | — | Indirect |
| Jan. 28, 2011 | LTBR | Common Stock | 1,223,392 | Indirect |
| Jan. 28, 2011 | LTBR | Warrant [F2]→ Common Stock [F2] (454,546) | 454,546 | Indirect |
| Dec. 3, 2010 | BGMS | Common Stock | — | Indirect |
| Dec. 3, 2010 | BGMS | Warrants→ Common Stock | — | Indirect |
| Dec. 3, 2010 | BGMS | Warrants→ Common Stock | — | Indirect |
| Dec. 3, 2010 | BGMS | Options→ Units | — | Indirect |
| Oct. 13, 2010 | BGMS | Common Stock | — | Indirect |
| Oct. 13, 2010 | BGMS | Warrants→ Common Stock | — | Indirect |
| Oct. 13, 2010 | BGMS | Warrants→ Common Stock | — | Indirect |
| Oct. 12, 2010 | TBCH | Common Stock | 1,598,592 | Indirect |
| Oct. 12, 2010 | TBCH | Common Stock | 1,598,592 | Indirect |
| Jan. 11, 2010 | BGMS | Common Stock | — | Indirect |
| Aug. 3, 2009 | BGMS | Common Stock | — | Indirect |
| Aug. 3, 2009 | BGMS | Warrants→ Common Stock | — | Indirect |
| Aug. 3, 2009 | BGMS | Warrants→ Common Stock | — | Indirect |
| Nov. 14, 2008 | UCTT | Common Stock | 2,491,347 | Indirect |
| Nov. 6, 2008 | UCTT | Common Stock | 2,292,867 | Indirect |