Last 12 months
Inside the activity.
11 purchase rows · 11 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 5 | 2 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 5 | 8 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 1 |
| Jun 2026 | 1 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 07, 2022 Filed May 2, 2023 18:45 UTC |
Repertoire Master Fund LP10% owner
|
PurchaseCommon Stock | 500 | $22.09 | $11,044.00 |
DisclosureSEC source: 0000935836-23-000375 · ownership.xml · nonDerivative · entry 7 Repertoire Master Fund LP · CIK 0001878549 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,070,181 Read SEC document |
| September 02, 2022 Filed May 2, 2023 18:45 UTC |
Repertoire Master Fund LP10% owner
|
SaleCommon Stock | 1,027 | $22.50 | $23,107.50 |
DisclosureSEC source: 0000935836-23-000375 · ownership.xml · nonDerivative · entry 6 Repertoire Master Fund LP · CIK 0001878549 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,069,681 Read SEC document |
| August 15, 2022 Filed May 2, 2023 18:45 UTC |
Repertoire Master Fund LP10% owner
|
SaleCommon Stock | 806 | $23.51 | $18,950.27 |
DisclosureSEC source: 0000935836-23-000375 · ownership.xml · nonDerivative · entry 5 Repertoire Master Fund LP · CIK 0001878549 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,070,708 Read SEC document |
| August 12, 2022 Filed May 2, 2023 18:45 UTC |
Repertoire Master Fund LP10% owner
|
SaleCommon Stock | 3,609 | $24.13 | $87,070.37 |
DisclosureSEC source: 0000935836-23-000375 · ownership.xml · nonDerivative · entry 4 Repertoire Master Fund LP · CIK 0001878549 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,071,514 Read SEC document |
| August 11, 2022 Filed May 2, 2023 18:45 UTC |
Repertoire Master Fund LP10% owner
|
SaleCommon Stock | 1,355 | $24.11 | $32,664.44 |
DisclosureSEC source: 0000935836-23-000375 · ownership.xml · nonDerivative · entry 3 Repertoire Master Fund LP · CIK 0001878549 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,075,123 Read SEC document |
| August 10, 2022 Filed May 2, 2023 18:45 UTC |
Repertoire Master Fund LP10% owner
|
SaleCommon Stock | 1,253 | $24.10 | $30,197.30 |
DisclosureSEC source: 0000935836-23-000375 · ownership.xml · nonDerivative · entry 2 Repertoire Master Fund LP · CIK 0001878549 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,076,478 Read SEC document |
| July 21, 2022 Filed May 2, 2023 18:45 UTC |
Repertoire Master Fund LP10% owner
|
SaleCommon Stock | 5,857 | $24.17 | $141,587.70 |
DisclosureSEC source: 0000935836-23-000375 · ownership.xml · nonDerivative · entry 1 Repertoire Master Fund LP · CIK 0001878549 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,077,731 Read SEC document |
| November 15, 2021 Filed Nov 16, 2021 23:52 UTC |
Schafer PatrickChief Investment Officer
|
PurchaseCommon Stock | 1,000 | $25.04 | $25,038.10 |
DisclosureSEC source: 0000899243-21-044896 · doc4.xml · nonDerivative · entry 1 Schafer Patrick · CIK 0001772591 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,950 F1 · balance_after: Reflects the impact of the 1-for-10 reverse stock split effectuated by Portman Ridge Finance Corporation on August 23, 2021. Read SEC document |
| September 09, 2020 Filed Sep 11, 2020 21:00 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 1,469 | $1.23 | $1,806.87 |
DisclosureSEC source: 0000899243-20-024920 · doc4.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,651 Read SEC document |
| August 26, 2020 Filed Aug 27, 2020 17:43 UTC |
Warshauer Robert HermanDirector
|
PurchaseCommon Stock | 20,000 | $1.16 | $23,200.00 |
DisclosureSEC source: 0000899243-20-023518 · doc4.xml · nonDerivative · entry 1 Warshauer Robert Herman · CIK 0001356334 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By WarshCapital LLC Disclosed balance after: 20,000 Read SEC document |
| August 25, 2020 Filed Aug 26, 2020 21:19 UTC |
Duka AlexanderDirector
|
PurchaseCommon Stock | 10,000 | $1.16 | $11,600.00 |
DisclosureSEC source: 0000899243-20-023463 · doc4.xml · nonDerivative · entry 1 Duka Alexander · CIK 0001738064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| August 12, 2020 Filed Aug 13, 2020 20:56 UTC |
Schafer PatrickChief Investment Officer
|
PurchaseCommon Stock | 25,000 | $1.28 | $31,990.00 |
DisclosureSEC source: 0000899243-20-022312 · doc4.xml · nonDerivative · entry 1 Schafer Patrick · CIK 0001772591 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,500 Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 20:41 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 4,600 | $0.85 | $3,917.36 |
DisclosureSEC source: 0000899243-20-009339 · doc4.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,182 F1 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $0.83 to $0.86. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 20:57 UTC |
Schafer PatrickChief Investment Officer
|
PurchaseCommon Stock | 4,000 | $1.36 | $5,426.00 |
DisclosureSEC source: 0000899243-20-008465 · doc4.xml · nonDerivative · entry 1 Schafer Patrick · CIK 0001772591 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,500 Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 00:18 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 100 | $1.31 | $131.00 |
DisclosureSEC source: 0000899243-20-008717 · doc4.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,582 Read SEC document |
| March 13, 2020 Filed Mar 13, 2020 20:26 UTC |
Schafer PatrickChief Investment Officer
|
PurchaseCommon Stock | 10,500 | $1.51 | $15,886.50 |
DisclosureSEC source: 0000899243-20-008217 · doc4.xml · nonDerivative · entry 2 Schafer Patrick · CIK 0001772591 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,500 Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 20:31 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 27,955 | $1.55 | $43,349.82 |
DisclosureSEC source: 0000899243-20-008221 · doc4.xml · nonDerivative · entry 2 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,482 F2 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $1.42 to $1.66. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 20:26 UTC |
Schafer PatrickChief Investment Officer
|
PurchaseCommon Stock | 5,000 | $1.55 | $7,749.50 |
DisclosureSEC source: 0000899243-20-008217 · doc4.xml · nonDerivative · entry 1 Schafer Patrick · CIK 0001772591 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| March 11, 2020 Filed Mar 13, 2020 20:31 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 6,650 | $1.70 | $11,318.30 |
DisclosureSEC source: 0000899243-20-008221 · doc4.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,527 F1 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $1.67 to $1.72. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| December 04, 2019 Filed Dec 5, 2019 23:37 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 1,000 | $2.07 | $2,071.00 |
DisclosureSEC source: 0000899243-19-028612 · doc4.xml · nonDerivative · entry 2 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,877 F2 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $2.07 to $2.08. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| December 03, 2019 Filed Dec 5, 2019 23:37 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 23,238 | $2.06 | $47,851.69 |
DisclosureSEC source: 0000899243-19-028612 · doc4.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,877 F1 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $2.05 to $2.07. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 21:16 UTC |
Schafer PatrickChief Investment Officer
|
PurchaseCommon Stock | 3,000 | $2.07 | $6,210.00 |
DisclosureSEC source: 0000899243-19-028153 · doc4.xml · nonDerivative · entry 1 Schafer Patrick · CIK 0001772591 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| November 22, 2019 Filed Nov 25, 2019 11:05 UTC |
Schafer PatrickChief Investment Officer
|
PurchaseCommon Stock | 2,000 | $2.09 | $4,173.80 |
DisclosureSEC source: 0000899243-19-028038 · doc4.xml · nonDerivative · entry 1 Schafer Patrick · CIK 0001772591 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| November 18, 2019 Filed Nov 19, 2019 16:17 UTC |
LACOVARA CHRISTOPHERDirector
|
SaleCommon Stock | 79,703 | $2.04 | $162,562.24 |
DisclosureSEC source: 0000899243-19-027579 · doc4.xml · nonDerivative · entry 1 LACOVARA CHRISTOPHER · CIK 0001194840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,634 Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 20:13 UTC |
LACOVARA CHRISTOPHERDirector
|
SaleCommon Stock | 81,263 | $2.10 | $170,887.96 |
DisclosureSEC source: 0000899243-19-027556 · doc4.xml · nonDerivative · entry 6 LACOVARA CHRISTOPHER · CIK 0001194840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,337 Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 20:13 UTC |
LACOVARA CHRISTOPHERDirector
|
SaleCommon Stock | 86,968 | $2.08 | $180,702.11 |
DisclosureSEC source: 0000899243-19-027556 · doc4.xml · nonDerivative · entry 5 LACOVARA CHRISTOPHER · CIK 0001194840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 373,600 Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 20:13 UTC |
LACOVARA CHRISTOPHERDirector
|
SaleCommon Stock | 38,386 | $2.15 | $82,453.13 |
DisclosureSEC source: 0000899243-19-027556 · doc4.xml · nonDerivative · entry 4 LACOVARA CHRISTOPHER · CIK 0001194840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 460,568 Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 20:13 UTC |
LACOVARA CHRISTOPHERDirector
|
SaleCommon Stock | 51,000 | $2.24 | $114,071.70 |
DisclosureSEC source: 0000899243-19-027556 · doc4.xml · nonDerivative · entry 3 LACOVARA CHRISTOPHER · CIK 0001194840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 498,954 Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 20:13 UTC |
LACOVARA CHRISTOPHERDirector
|
SaleCommon Stock | 30,800 | $2.16 | $66,608.08 |
DisclosureSEC source: 0000899243-19-027556 · doc4.xml · nonDerivative · entry 2 LACOVARA CHRISTOPHER · CIK 0001194840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 549,954 Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 20:13 UTC |
LACOVARA CHRISTOPHERDirector
|
SaleCommon Stock | 1,880 | $2.18 | $4,106.86 |
DisclosureSEC source: 0000899243-19-027556 · doc4.xml · nonDerivative · entry 1 LACOVARA CHRISTOPHER · CIK 0001194840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 580,754 F1 · balance_after: Mr. Lacovara reported ownership of 584,134 shares in a Form 4 filed on May 3, 2018. On April 1, 2019, in connection with the externalization of the issuer's advisor, 1,500 vested options were cancelled in exchange for cash resulting in a reduction in ownership. Read SEC document |
| September 05, 2019 Filed Sep 6, 2019 20:30 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 700 | $2.43 | $1,697.99 |
DisclosureSEC source: 0000899243-19-023011 · doc4.xml · nonDerivative · entry 2 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,639 F2 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $2.42 to $2.43. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| September 04, 2019 Filed Sep 6, 2019 20:30 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 3,700 | $2.38 | $8,820.06 |
DisclosureSEC source: 0000899243-19-023011 · doc4.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,939 F1 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $2.38 to $2.40. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| August 22, 2019 Filed Aug 27, 2019 00:07 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 5,300 | $2.19 | $11,582.09 |
DisclosureSEC source: 0000899243-19-022483 · doc4.xml · nonDerivative · entry 2 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,239 F2 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $2.17 to $2.19. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| August 21, 2019 Filed Aug 27, 2019 00:07 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 600 | $2.19 | $1,315.50 |
DisclosureSEC source: 0000899243-19-022483 · doc4.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,939 F1 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $2.18 to $2.21. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| August 20, 2019 Filed Aug 20, 2019 21:32 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 1,939 | $2.17 | $4,207.63 |
DisclosureSEC source: 0000899243-19-022127 · doc4.xml · nonDerivative · entry 2 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,339 F2 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $2.165 to $2.175. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 21:32 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 8,900 | $2.19 | $19,481.21 |
DisclosureSEC source: 0000899243-19-022127 · doc4.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,400 F1 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $2.175 to $2.20. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| August 13, 2019 Filed Aug 14, 2019 21:50 UTC |
Goldthorpe Edward J.Director · President, CEO
|
PurchaseCommon Stock | 11,500 | $2.29 | $26,381.00 |
DisclosureSEC source: 0000899243-19-021739 · doc4.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,500 F1 · price: Represents a weighted average price, as this transaction was executed in multiple trades at prices ranging from $2.28 to $2.30. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 10:13 UTC |
Pastino Albert GDirector
|
Disposition to issuerOption to Purchase Common Stock · Derivative | 5,000 | $0.60 Strike: $4.83 | $3,000.00 |
DisclosureSEC source: 0001144204-19-017170 · tv517536_4.xml · derivative · entry 2 Pastino Albert G · CIK 0001379138 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2020-07-22 F2 · price: The option was cancelled by mutual agreement of the reporting person and KCAP Financial, Inc. The reporting person received $3,000 as consideration for the cancellation. F3 · derivative.exercise_date: The option vested in two equal installments of 50% on the grant date (07/22/2010) and 50% on the first anniversary of the grant date (07/22/2011). Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 10:13 UTC |
Pastino Albert GDirector
|
Disposition to issuerOption to Purchase Common Stock · Derivative | 5,000 | $0.60 Strike: $4.93 | $3,000.00 |
DisclosureSEC source: 0001144204-19-017170 · tv517536_4.xml · derivative · entry 1 Pastino Albert G · CIK 0001379138 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2019-06-13 F2 · price: The option was cancelled by mutual agreement of the reporting person and KCAP Financial, Inc. The reporting person received $3,000 as consideration for the cancellation. F1 · derivative.exercise_date: The option vested in two equal installments of 50% on the grant date (06/13/2009) and 50% on the first anniversary of the grant date (06/13/2010). Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 10:06 UTC |
Stevens C Turney JRDirector
|
Disposition to issuerOption to Purchase Common Stock · Derivative | 5,000 | $0.60 Strike: $4.83 | $3,000.00 |
DisclosureSEC source: 0001144204-19-017165 · tv517535_4.xml · derivative · entry 2 Stevens C Turney JR · CIK 0001379027 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2020-07-22 F2 · price: The option was cancelled by mutual agreement of the reporting person and KCAP Financial, Inc. The reporting person received $3,000 as consideration for the cancellation. F3 · derivative.exercise_date: The option vested in two equal installments of 50% on the grant date (07/22/2010) and 50% on the first anniversary of the grant date (07/22/2011). Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 10:06 UTC |
Stevens C Turney JRDirector
|
Disposition to issuerOption to Purchase Common Stock · Derivative | 5,000 | $0.60 Strike: $4.93 | $3,000.00 |
DisclosureSEC source: 0001144204-19-017165 · tv517535_4.xml · derivative · entry 1 Stevens C Turney JR · CIK 0001379027 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2019-06-13 F2 · price: The option was cancelled by mutual agreement of the reporting person and KCAP Financial, Inc. The reporting person received $3,000 as consideration for the cancellation. F1 · derivative.exercise_date: The option vested in two equal installments of 50% on the grant date (06/13/2009) and 50% on the first anniversary of the grant date (06/13/2010). Read SEC document |
| June 23, 2018 Filed Jun 27, 2018 20:36 UTC |
Corless R JonChief Investment Officer
|
Tax withholdingCommon Stock | 2,436 | $3.26 | $7,941.36 |
DisclosureSEC source: 0001144204-18-036098 · tv497446_form4.xml · nonDerivative · entry 1 Corless R Jon · CIK 0001379140 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,966 Read SEC document |
| June 23, 2018 Filed Jun 27, 2018 20:35 UTC |
Gilpin Edward UCFO, Treasurer and Secretary
|
Tax withholdingCommon Stock | 696 | $3.26 | $2,268.96 |
DisclosureSEC source: 0001144204-18-036096 · tv497445_form4.xml · nonDerivative · entry 1 Gilpin Edward U · CIK 0001380376 · CFO, Treasurer and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,755 Read SEC document |
| June 23, 2018 Filed Jun 27, 2018 20:34 UTC |
Pearson Dayl WPresident and CEO
|
Tax withholdingCommon Stock | 5,360 | $3.26 | $17,473.60 |
DisclosureSEC source: 0001144204-18-036095 · tv497444_form4.xml · nonDerivative · entry 1 Pearson Dayl W · CIK 0001379030 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,493 Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 19:20 UTC |
Corless R JonChief Investment Officer
|
Tax withholdingCommon Stock | 2,886 | $3.24 | $9,350.64 |
DisclosureSEC source: 0001144204-18-035136 · tv496970_4.xml · nonDerivative · entry 1 Corless R Jon · CIK 0001379140 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,402 Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 19:19 UTC |
Gilpin Edward UCFO, Treasurer and Secretary
|
Tax withholdingCommon Stock | 4,723 | $3.24 | $15,302.52 |
DisclosureSEC source: 0001144204-18-035135 · tv496967_4.xml · nonDerivative · entry 1 Gilpin Edward U · CIK 0001380376 · CFO, Treasurer and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,451 Read SEC document |
| May 03, 2018 Filed May 3, 2018 17:15 UTC |
LACOVARA CHRISTOPHERDirector
|
GrantCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-025136 · tv493009_4.xml · nonDerivative · entry 1 LACOVARA CHRISTOPHER · CIK 0001194840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 584,134 F1 · shares: Shares of restricted stock granted to the reporting person pursuant to the Company's 2017 Non-Employee Director Plan. Of these shares, 50% vested immediately on the grant date, and the remaining 50% will vest on the earlier of (i) the first anniversary of the grant date or (ii) the date immediately preceding the 2019 annual meeting of the Company's shareholders (or meeting in lieu of the Company's annual meeting of shareholders), and in certain other circumstances. Read SEC document |
| May 03, 2018 Filed May 3, 2018 17:19 UTC |
JACOBI C MICHAELDirector
|
GrantCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-025143 · tv493017_4.xml · nonDerivative · entry 1 JACOBI C MICHAEL · CIK 0001194836 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,190 F1 · shares: Shares of restricted stock granted to the reporting person pursuant to the Company's 2017 Non-Employee Director Plan. Of these shares, 50% vested immediately on the grant date, and the remaining 50% will vest on the earlier of (i) the first anniversary of the grant date or (ii) the date immediately preceding the 2019 annual meeting of the Company's shareholders (or meeting in lieu of the Company's annual meeting of shareholders), and in certain other circumstances. Read SEC document |
| May 03, 2018 Filed May 3, 2018 17:18 UTC |
WARD JOHN A IIIDirector
|
GrantCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-025142 · tv493016_4.xml · nonDerivative · entry 1 WARD JOHN A III · CIK 0001195131 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 F1 · shares: Shares of restricted stock granted to the reporting person pursuant to the Company's 2017 Non-Employee Director Plan. Of these shares, 50% vested immediately on the grant date, and the remaining 50% will vest on the earlier of (i) the first anniversary of the grant date or (ii) the date immediately preceding the 2019 annual meeting of the Company's shareholders (or meeting in lieu of the Company's annual meeting of shareholders), and in certain other circumstances. Read SEC document |
| May 03, 2018 Filed May 3, 2018 21:17 UTC |
Kehler Dean CDirector
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GrantCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-025141 · tv493014_4.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,674,000 F1 · shares: Shares of restricted stock granted to the reporting person pursuant to the Company's 2017 Non-Employee Director Plan. Of these shares, 50% vested immediately on the grant date, and the remaining 50% will vest on the earlier of (i) the first anniversary of the grant date or (ii) the date immediately preceding the 2019 annual meeting of the Company's shareholders (or meeting in lieu of the Company's annual meeting of shareholders), and in certain other circumstances. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.