Phoenix Investment Adviser LLC

CIK 1415030 · View on SEC EDGAR ↗

Insider

First SEC filing: Nov. 30, 2018 · Latest: Nov. 30, 2018

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Institution

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Insider transactions

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

Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
Nov. 28, 2018 1415030 S 151,265 — — 0 Indirect -100.00% Disposed
Nov. 28, 2018 1415030 S 7,690 — — 0 Indirect -100.00% Disposed
Nov. 28, 2018 1415030 S 709,347 — — 0 Indirect -100.00% Disposed
Nov. 28, 2018 1415030 S 67,073 — — 0 Indirect -100.00% Disposed
Nov. 28, 2018 1415030 S 190,635 — — 0 Indirect -100.00% Disposed
Nov. 28, 2018 1415030 S 9,692 — — 0 Indirect -100.00% Disposed
Nov. 28, 2018 1415030 S 887,826 — — 0 Indirect -100.00% Disposed
Nov. 28, 2018 1415030 S 83,276 — — 0 Indirect -100.00% Disposed
Nov. 1, 2018 1415030 S 35,051 $1.16 $40,659 0 Indirect -100.00% Disposed
Nov. 1, 2018 1415030 S 5,866 $1.16 $6,805 0 Indirect -100.00% Disposed
Oct. 31, 2018 1415030 S 5,689 $1.23 $6,997 0 Indirect -100.00% Disposed
Oct. 31, 2018 1415030 S 76,843 $1.23 $94,517 35,051 Indirect -68.67% Disposed
Oct. 31, 2018 1415030 S 31,000 $1.23 $38,130 5,866 Indirect -84.09% Disposed
Oct. 31, 2018 1415030 S 206,468 $1.23 $253,956 0 Indirect -100.00% Disposed
July 19, 2018 1415030 S 200 $0.70 $140 83,276 Indirect -0.24% Disposed
July 19, 2018 1415030 S 1,000 $0.70 $700 887,826 Indirect -0.11% Disposed
July 18, 2018 1415030 S 1,055 $1.05 $1,108 83,476 Indirect -1.25% Disposed
July 18, 2018 1415030 S 5,145 $1.05 $5,402 888,826 Indirect -0.58% Disposed
May 8, 2018 1415030 S 20 $680.00 $13,600 2,909 Indirect -0.68% Disposed
May 7, 2018 1415030 S 170 $680.00 $115,600 2,929 Indirect -5.49% Disposed
May 3, 2018 1415030 S 12,750 $5.64 $71,910 360,917 Indirect -3.41% Disposed
May 3, 2018 1415030 S 191,250 $5.64 $1,078,650 373,667 Indirect -33.85% Disposed
April 17, 2018 1415030 S 100 $7.52 $752 564,917 Indirect -0.02% Disposed
March 19, 2018 1415030 S 100 $10.40 $1,040 565,017 Indirect -0.02% Disposed
March 15, 2018 1415030 S 4,000 $11.00 $44,000 565,117 Indirect -0.70% Disposed
March 15, 2018 1415030 S 4,000 $11.00 $44,000 565,117 Indirect -0.70% Disposed
March 14, 2018 1415030 S 1,400 $10.85 $15,190 569,117 Indirect -0.25% Disposed
March 14, 2018 1415030 S 1,400 $10.85 $15,190 569,117 Indirect -0.25% Disposed
Feb. 14, 2018 1415030 S 25,363 $10.60 $268,848 403,318 Indirect -5.92% Disposed
Feb. 13, 2018 1415030 S 63,000 $10.49 $660,870 428,681 Indirect -12.81% Disposed
Feb. 12, 2018 1415030 S 33,040 $11.08 $366,083 491,681 Indirect -6.30% Disposed

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. 28, 2018 1415030 Series B Warrants Common Stock, $0.01 Par Value per Share (151,265) $28.25 Feb. 9, 2028 151,265 Disposed
Nov. 28, 2018 1415030 Series B Warrants Common Stock, $0.01 Par Value per Share (7,690) $28.25 Feb. 9, 2028 7,690 Disposed
Nov. 28, 2018 1415030 Series B Warrants Common Stock, $0.01 Par Value per Share (709,347) $28.25 Feb. 9, 2028 709,347 Disposed
Nov. 28, 2018 1415030 Series B Warrants Common Stock, $0.01 Par Value per Share (67,073) $28.25 Feb. 9, 2028 67,073 Disposed
Nov. 28, 2018 1415030 Series A Warrants Common Stock, $0.01 Par Value per Share (190,635) $20.63 Feb. 9, 2028 190,635 Disposed
Nov. 28, 2018 1415030 Series A Warrants Common Stock, $0.01 Par Value per Share (9,692) $20.63 Feb. 9, 2028 9,692 Disposed
Nov. 28, 2018 1415030 Series A Warrants Common Stock, $0.01 Par Value per Share (887,826) $20.63 Feb. 9, 2028 887,826 Disposed
Nov. 28, 2018 1415030 Series A Warrants Common Stock, $0.01 Par Value per Share (83,276) $20.63 Feb. 9, 2028 83,276 Disposed
July 19, 2018 1415030 Series A Warrants Common Stock, $0.01 Par Value per Share (200) $20.63 Feb. 9, 2028 200 Disposed
July 19, 2018 1415030 Series A Warrants Common Stock, $0.01 Par Value per Share (1,000) $20.63 Feb. 9, 2028 1,000 Disposed
July 18, 2018 1415030 Series A Warrants Common Stock, $0.01 Par Value per Share (1,055) $20.63 Feb. 9, 2028 1,055 Disposed
July 18, 2018 1415030 Series A Warrants Common Stock, $0.01 Par Value per Share (5,145) $20.63 Feb. 9, 2028 5,145 Disposed
May 8, 2018 1415030 Mandatorily Convertible Preferred Common Stock, $0.01 Par Value per Share (2,300) — Feb. 9, 2023 20 Disposed
May 7, 2018 1415030 Mandatorily Convertible Preferred Common Stock, $0.01 Par Value per Share (19,546) — Feb. 9, 2023 170 Disposed

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