Last 12 months
Inside the activity.
3 purchase rows · 0 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 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 2 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 1 | 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 |
|---|---|---|---|---|---|---|
| March 28, 2017 Filed Mar 30, 2017 21:47 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 266,073 | $4.75 | $1,263,846.75 |
DisclosureSEC source: 0001414932-17-000019 · wf-form4_149091045385074.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,512,816.404 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.73 to $4.77; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · price: Mr. Tannenbaum has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC. Read SEC document |
| March 27, 2017 Filed Mar 27, 2017 22:06 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 223,749 | $4.69 | $1,048,264.07 |
DisclosureSEC source: 0001414932-17-000018 · wf-form4_149065238537002.xml · nonDerivative · entry 3 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · (1) - See below Disclosed balance after: 655,850 F2 · price: Mr. Tannenbaum has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC. F4 · price: This transaction was executed in multiple trades at prices ranging from $4.63 to $4.71; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 24, 2017 Filed Mar 27, 2017 22:06 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 222,101 | $4.65 | $1,033,213.85 |
DisclosureSEC source: 0001414932-17-000018 · wf-form4_149065238537002.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · (1) - See below Disclosed balance after: 432,101 F2 · price: Mr. Tannenbaum has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC. F3 · price: This transaction was executed in multiple trades at prices ranging from $4.63 to $4.66; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 22:06 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 210,000 | $4.66 | $978,600.00 |
DisclosureSEC source: 0001414932-17-000018 · wf-form4_149065238537002.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · (1) - See below Disclosed balance after: 210,000 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.64 to $4.67; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · price: Mr. Tannenbaum has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC. Read SEC document |
| March 22, 2017 Filed Mar 23, 2017 21:55 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 269,871 | $4.64 | $1,252,201.44 |
DisclosureSEC source: 0001200461-17-000001 · wf-form4_149030612144555.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,246,743.404 F2 · price: Mr. Tannenbaum has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC. F3 · price: This transaction was executed in multiple trades at prices ranging from $4.60 to $4.65; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 21, 2017 Filed Mar 23, 2017 21:55 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 207,613 | $4.63 | $961,248.19 |
DisclosureSEC source: 0001200461-17-000001 · wf-form4_149030612144555.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,976,872.404 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.61 to $4.65; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · price: Mr. Tannenbaum has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC. Read SEC document |
| March 20, 2017 Filed Mar 21, 2017 21:22 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 175,000 | $4.64 | $812,000.00 |
DisclosureSEC source: 0001144204-17-015894 · v462373_form4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,769,259.404 F2 · price: This transaction was executed in multiple trades at prices ranging from $4.56 to $4.66; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 17, 2017 Filed Mar 17, 2017 16:35 UTC |
Berman Bernard DDirector
|
PurchaseCommon Stock | 5,000 | $4.55 | $22,750.00 |
DisclosureSEC source: 0001414932-17-000017 · wf-form4_148978290706729.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,968 Read SEC document |
| March 17, 2017 Filed Mar 21, 2017 21:22 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 170,000 | $4.59 | $780,300.00 |
DisclosureSEC source: 0001144204-17-015894 · v462373_form4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,594,259.404 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.55 to $4.60; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:32 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 1,273,000 | $4.51 | $5,741,230.00 |
DisclosureSEC source: 0001414932-17-000016 · wf-form4_148978273315990.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,424,259.404 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.46 to $4.51; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 14, 2017 Filed Mar 15, 2017 22:28 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 356,492 | $4.51 | $1,607,778.92 |
DisclosureSEC source: 0001414932-17-000015 · wf-form4_148961688196001.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,201,259.404 F1 · price: Because the purchases reported hereby occurred at prices greater than those in the trades that occurred on March 9 and 10, 2017, no incremental short-swing profits were realized in connection with these transactions. F3 · price: This transaction was executed in multiple trades at prices ranging from $4.48 to $4.53; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 13, 2017 Filed Mar 15, 2017 22:28 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 176,476 | $4.50 | $794,142.00 |
DisclosureSEC source: 0001414932-17-000015 · wf-form4_148961688196001.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,844,767.404 F1 · price: Because the purchases reported hereby occurred at prices greater than those in the trades that occurred on March 9 and 10, 2017, no incremental short-swing profits were realized in connection with these transactions. F2 · price: This transaction was executed in multiple trades at prices ranging from $4.47 to $4.51; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 21:46 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 389,571 | $4.43 | $1,725,799.53 |
DisclosureSEC source: 0001144204-17-014305 · v461718_form4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,668,291.404 F2 · price: Mr. Tannenbaum's purchases of FSC common stock reported herein were matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 242,289 shares, with his sale of an aggregate of 242,289 shares of FSC common stock at prices ranging from $5.55 to $5.61 per share that occurred between December 13, 2016 and December 29, 2016. The reporting person has agreed to pay to FSC, upon settlement of the trades, $284,905.07, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs F3 · price: This transaction was executed in multiple trades at prices ranging from $4.39 to $4.45; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 09, 2017 Filed Mar 13, 2017 21:46 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 205,169 | $4.37 | $896,588.53 |
DisclosureSEC source: 0001144204-17-014305 · v461718_form4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,278,720.404 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.33 to $4.39; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · price: Mr. Tannenbaum's purchases of FSC common stock reported herein were matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 242,289 shares, with his sale of an aggregate of 242,289 shares of FSC common stock at prices ranging from $5.55 to $5.61 per share that occurred between December 13, 2016 and December 29, 2016. The reporting person has agreed to pay to FSC, upon settlement of the trades, $284,905.07, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs Read SEC document |
| March 06, 2017 Filed Mar 6, 2017 17:05 UTC |
Berman Bernard DDirector
|
PurchaseCommon Stock | 5,000 | $4.35 | $21,749.50 |
DisclosureSEC source: 0001414932-17-000014 · wf-form4_148883794581417.xml · nonDerivative · entry 3 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,968 Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 17:05 UTC |
Berman Bernard DDirector
|
PurchaseCommon Stock | 5,000 | $4.39 | $21,948.00 |
DisclosureSEC source: 0001414932-17-000014 · wf-form4_148883794581417.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,968 Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 17:05 UTC |
Berman Bernard DDirector
|
PurchaseCommon Stock | 5,000 | $4.38 | $21,899.50 |
DisclosureSEC source: 0001414932-17-000014 · wf-form4_148883794581417.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,968 Read SEC document |
| February 17, 2017 Filed Feb 17, 2017 20:19 UTC |
Castro-Blanco JamesDirector
|
PurchaseCommon Stock | 20,000 | $4.62 | $92,400.00 |
DisclosureSEC source: 0001414932-17-000013 · wf-form4_148736278194782.xml · nonDerivative · entry 1 Castro-Blanco James · CIK 0001616327 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,563.85 Read SEC document |
| February 16, 2017 Filed Feb 16, 2017 17:54 UTC |
Ray Douglas FDirector
|
PurchaseCommon Stock | 6,400 | $4.68 | $29,952.00 |
DisclosureSEC source: 0001414932-17-000012 · wf-form4_148728567613025.xml · nonDerivative · entry 1 Ray Douglas F · CIK 0001420832 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,736 Read SEC document |
| February 16, 2017 Filed Feb 16, 2017 22:53 UTC |
Khorana Sandeep K.Director
|
PurchaseCommon Stock | 2,200 | $4.65 | $10,230.00 |
DisclosureSEC source: 0001414932-17-000011 · wf-form4_148728557878040.xml · nonDerivative · entry 1 Khorana Sandeep K. · CIK 0001660779 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| February 14, 2017 Filed Feb 14, 2017 22:50 UTC |
Noreika Steven M.Chief Financial Officer
|
PurchaseCommon Stock | 1,000 | $4.62 | $4,616.70 |
DisclosureSEC source: 0001414932-17-000010 · wf-form4_148711261724096.xml · nonDerivative · entry 1 Noreika Steven M. · CIK 0001592097 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,611.2163 Read SEC document |
| February 14, 2017 Filed Feb 14, 2017 22:48 UTC |
Dalton Patrick JDirector · Chief Executive Officer
|
PurchaseCommon Stock | 22,500 | $4.57 | $102,825.00 |
DisclosureSEC source: 0001414932-17-000009 · wf-form4_148711246205023.xml · nonDerivative · entry 1 Dalton Patrick J · CIK 0001382492 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Read SEC document |
| February 13, 2017 Filed Feb 13, 2017 22:33 UTC |
DUTKIEWICZ RICHARD PDirector
|
PurchaseCommon Stock | 4,000 | $4.57 | $18,274.00 |
DisclosureSEC source: 0001414932-17-000006 · wf-form4_148702517576219.xml · nonDerivative · entry 1 DUTKIEWICZ RICHARD P · CIK 0001248235 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,452.4702 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 17:41 UTC |
Berman Bernard DDirector
|
PurchaseCommon Stock | 5,000 | $4.56 | $22,799.50 |
DisclosureSEC source: 0001414932-17-000008 · wf-form4_148702566590635.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,968 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 17:41 UTC |
Berman Bernard DDirector
|
PurchaseCommon Stock | 5,000 | $4.65 | $23,239.00 |
DisclosureSEC source: 0001414932-17-000008 · wf-form4_148702566590635.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,968 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 22:37 UTC |
HANEY BYRON JDirector
|
PurchaseCommon Stock | 6,000 | $4.55 | $27,300.00 |
DisclosureSEC source: 0001414932-17-000007 · wf-form4_148702541804892.xml · nonDerivative · entry 3 HANEY BYRON J · CIK 0001210017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,000 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 22:37 UTC |
HANEY BYRON JDirector
|
PurchaseCommon Stock | 6,000 | $4.63 | $27,767.40 |
DisclosureSEC source: 0001414932-17-000007 · wf-form4_148702541804892.xml · nonDerivative · entry 2 HANEY BYRON J · CIK 0001210017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 22:37 UTC |
HANEY BYRON JDirector
|
PurchaseCommon Stock | 6,000 | $4.65 | $27,900.00 |
DisclosureSEC source: 0001414932-17-000007 · wf-form4_148702541804892.xml · nonDerivative · entry 1 HANEY BYRON J · CIK 0001210017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Read SEC document |
| December 23, 2016 Filed Dec 28, 2016 22:29 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 900 | $5.55 | $4,995.00 |
DisclosureSEC source: 0001414932-16-000037 · wf-form4_148296414711275.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,073,551.404 Read SEC document |
| December 21, 2016 Filed Dec 22, 2016 22:28 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 4,580 | $5.55 | $25,419.00 |
DisclosureSEC source: 0001414932-16-000036 · wf-form4_148244567179342.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,074,451.404 Read SEC document |
| December 20, 2016 Filed Dec 22, 2016 22:28 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 6,025 | $5.55 | $33,453.81 |
DisclosureSEC source: 0001414932-16-000036 · wf-form4_148244567179342.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,079,031.404 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.55 to $5.56; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| December 13, 2016 Filed Dec 14, 2016 21:30 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock, par value $0.01 per share | 46,583 | $5.56 | $259,001.48 |
DisclosureSEC source: 0001209191-16-155170 · doc4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,085,056.404 F2 · price: This transaction was executed in multiple trades at prices ranging from $5.55 to $5.60; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| December 13, 2016 Filed Mar 17, 2017 14:40 UTC Amendment |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock, par value $0.01 per share | 46,583 | $5.56 | $259,001.48 |
DisclosureSEC source: 0001144204-17-015275 · v462098_4-a.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,035,056.404 F3 · price: This transaction was executed in multiple trades at prices ranging from $5.55 to $5.60; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · balance_after: The total number of shares referenced in the original Form 4 were inadvertently overstated by 50,000 shares. This overstatement also occurred in the four subsequent Form 4s filed by Mr. Tannenbaum between December 22, 2016 and March 15, 2017. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 21:30 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock, par value $0.01 per share | 34,201 | $5.61 | $191,867.61 |
DisclosureSEC source: 0001209191-16-155170 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,131,639.404 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.60 to $5.64; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| December 12, 2016 Filed Mar 17, 2017 14:40 UTC Amendment |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock, par value $0.01 per share | 34,201 | $5.61 | $191,867.61 |
DisclosureSEC source: 0001144204-17-015275 · v462098_4-a.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,081,639.404 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.60 to $5.64; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · balance_after: The total number of shares referenced in the original Form 4 were inadvertently overstated by 50,000 shares. This overstatement also occurred in the four subsequent Form 4s filed by Mr. Tannenbaum between December 22, 2016 and March 15, 2017. Read SEC document |
| December 09, 2016 Filed Dec 13, 2016 00:23 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock, par value $0.01 per share | 50,000 | $5.57 | $278,500.00 |
DisclosureSEC source: 0001209191-16-154796 · doc4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,115,840.404 F2 · price: This transaction was executed in multiple trades at prices ranging from $5.535 to $5.65; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| December 08, 2016 Filed Dec 13, 2016 00:23 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock, par value $0.01 per share | 100,000 | $5.56 | $556,000.00 |
DisclosureSEC source: 0001209191-16-154796 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,165,840.404 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.525 to $5.61; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| December 06, 2016 Filed Dec 7, 2016 23:04 UTC |
DUTKIEWICZ RICHARD PDirector
|
PurchaseCommon Stock | 5,000 | $5.53 | $27,650.00 |
DisclosureSEC source: 0001414932-16-000035 · wf-form4_148115184335849.xml · nonDerivative · entry 1 DUTKIEWICZ RICHARD P · CIK 0001248235 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,847.3749 Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 21:12 UTC |
TANNENBAUM LEONARD M10% owner
Fifth Street Asset Management Inc.10% owner
Fifth Street Holdings L.P.10% owner
|
OtherPSA in respect of Swaps · Derivative | 1 | Not disclosed Strike: $6.25 | Not disclosed |
DisclosureSEC source: 0001209191-16-140793 · doc4.xml · derivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner Fifth Street Asset Management Inc. · CIK 0001611988 · 10% owner Fifth Street Holdings L.P. · CIK 0001643561 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 Underlying: Common stock, par value $0.01 per share · 3,878,542 shares Expires 2016-09-07 F1 · derivative.exercise_price: Each of Mr. Tannenbaum, Fifth Street Asset Management Inc. and Fifth Street Holdings L.P. ("FSH") (together, the "Reporting Persons") is a party to the Purchase and Settlement Agreement, dated as of February 18, 2016 ( the "PSA"), entered into by and among Fifth Street Finance Corp. (the "Company"), the Reporting Persons and the Sellers (as defined below). The "Sellers" are RiverNorth Capital Management, LLC, RiverNorth Capital Partners, L.P., RiverNorth Institutional Partners, L.P., RiverNorth Core Opportunity Fund, RiverNorth/DoubleLine Strategic Income Fund (collectively, the "RiverNorth Parties"), Randy I. Rochman, Fred G. Steingraber and Murray R. Wise. Pursuant to the PSA, the Reporting Persons agreed with the counterparties (the "Counterparties" and each a "Counterparty") to certain cash-settled total return swap agreements (the "Swaps" and each a "Swap") in reference to an aggregate 3,878,542 shares of Company common stock, par value $0.01 per share (continued in footnote 2) F2 · derivative.exercise_price: (the "Common Stock") that upon the applicable valuation or deemed valuation of any such Swap, (i) if in any case the final price applicable to such Swap, as between the applicable Counterparty and the bank with which the applicable Counterparty had entered into such Swap (or deemed final price deemed applicable under the PSA), was greater than $6.25 per share, then such Counterparty shall pay to FSH a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of such final price over $6.25, and (ii) if in any case such final price (or deemed final price applicable under the PSA) was less than $6.25 per share, then FSH shall pay to such Counterparty a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of $6.25 over such final price. On September 7, 2016, FSH and the Counterparties agreed that the amount then due from FSH to the Counterparties under the terms of the PSA was $160,265.90. (continued in footnote 3) F3 · derivative.exercise_price: On that date, the Reporting Persons and the RiverNorth Parties entered into the Mutual Release and Waiver of Rights under the PSA (the "Mutual Release and Waiver") pursuant to which the Reporting Persons paid the Counterparties or their affiliates the entire amount of $160,265.90 then due under the PSA (such payment, the "Swap Settlement"). As a result of the Swap Settlement, the Reporting Persons no longer have a pecuniary interest in the Swaps. F1 · kind: Each of Mr. Tannenbaum, Fifth Street Asset Management Inc. and Fifth Street Holdings L.P. ("FSH") (together, the "Reporting Persons") is a party to the Purchase and Settlement Agreement, dated as of February 18, 2016 ( the "PSA"), entered into by and among Fifth Street Finance Corp. (the "Company"), the Reporting Persons and the Sellers (as defined below). The "Sellers" are RiverNorth Capital Management, LLC, RiverNorth Capital Partners, L.P., RiverNorth Institutional Partners, L.P., RiverNorth Core Opportunity Fund, RiverNorth/DoubleLine Strategic Income Fund (collectively, the "RiverNorth Parties"), Randy I. Rochman, Fred G. Steingraber and Murray R. Wise. Pursuant to the PSA, the Reporting Persons agreed with the counterparties (the "Counterparties" and each a "Counterparty") to certain cash-settled total return swap agreements (the "Swaps" and each a "Swap") in reference to an aggregate 3,878,542 shares of Company common stock, par value $0.01 per share (continued in footnote 2) F2 · kind: (the "Common Stock") that upon the applicable valuation or deemed valuation of any such Swap, (i) if in any case the final price applicable to such Swap, as between the applicable Counterparty and the bank with which the applicable Counterparty had entered into such Swap (or deemed final price deemed applicable under the PSA), was greater than $6.25 per share, then such Counterparty shall pay to FSH a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of such final price over $6.25, and (ii) if in any case such final price (or deemed final price applicable under the PSA) was less than $6.25 per share, then FSH shall pay to such Counterparty a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of $6.25 over such final price. On September 7, 2016, FSH and the Counterparties agreed that the amount then due from FSH to the Counterparties under the terms of the PSA was $160,265.90. (continued in footnote 3) F3 · kind: On that date, the Reporting Persons and the RiverNorth Parties entered into the Mutual Release and Waiver of Rights under the PSA (the "Mutual Release and Waiver") pursuant to which the Reporting Persons paid the Counterparties or their affiliates the entire amount of $160,265.90 then due under the PSA (such payment, the "Swap Settlement"). As a result of the Swap Settlement, the Reporting Persons no longer have a pecuniary interest in the Swaps. F1 · price: Each of Mr. Tannenbaum, Fifth Street Asset Management Inc. and Fifth Street Holdings L.P. ("FSH") (together, the "Reporting Persons") is a party to the Purchase and Settlement Agreement, dated as of February 18, 2016 ( the "PSA"), entered into by and among Fifth Street Finance Corp. (the "Company"), the Reporting Persons and the Sellers (as defined below). The "Sellers" are RiverNorth Capital Management, LLC, RiverNorth Capital Partners, L.P., RiverNorth Institutional Partners, L.P., RiverNorth Core Opportunity Fund, RiverNorth/DoubleLine Strategic Income Fund (collectively, the "RiverNorth Parties"), Randy I. Rochman, Fred G. Steingraber and Murray R. Wise. Pursuant to the PSA, the Reporting Persons agreed with the counterparties (the "Counterparties" and each a "Counterparty") to certain cash-settled total return swap agreements (the "Swaps" and each a "Swap") in reference to an aggregate 3,878,542 shares of Company common stock, par value $0.01 per share (continued in footnote 2) F2 · price: (the "Common Stock") that upon the applicable valuation or deemed valuation of any such Swap, (i) if in any case the final price applicable to such Swap, as between the applicable Counterparty and the bank with which the applicable Counterparty had entered into such Swap (or deemed final price deemed applicable under the PSA), was greater than $6.25 per share, then such Counterparty shall pay to FSH a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of such final price over $6.25, and (ii) if in any case such final price (or deemed final price applicable under the PSA) was less than $6.25 per share, then FSH shall pay to such Counterparty a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of $6.25 over such final price. On September 7, 2016, FSH and the Counterparties agreed that the amount then due from FSH to the Counterparties under the terms of the PSA was $160,265.90. (continued in footnote 3) F3 · price: On that date, the Reporting Persons and the RiverNorth Parties entered into the Mutual Release and Waiver of Rights under the PSA (the "Mutual Release and Waiver") pursuant to which the Reporting Persons paid the Counterparties or their affiliates the entire amount of $160,265.90 then due under the PSA (such payment, the "Swap Settlement"). As a result of the Swap Settlement, the Reporting Persons no longer have a pecuniary interest in the Swaps. F1 · derivative.exercise_date: Each of Mr. Tannenbaum, Fifth Street Asset Management Inc. and Fifth Street Holdings L.P. ("FSH") (together, the "Reporting Persons") is a party to the Purchase and Settlement Agreement, dated as of February 18, 2016 ( the "PSA"), entered into by and among Fifth Street Finance Corp. (the "Company"), the Reporting Persons and the Sellers (as defined below). The "Sellers" are RiverNorth Capital Management, LLC, RiverNorth Capital Partners, L.P., RiverNorth Institutional Partners, L.P., RiverNorth Core Opportunity Fund, RiverNorth/DoubleLine Strategic Income Fund (collectively, the "RiverNorth Parties"), Randy I. Rochman, Fred G. Steingraber and Murray R. Wise. Pursuant to the PSA, the Reporting Persons agreed with the counterparties (the "Counterparties" and each a "Counterparty") to certain cash-settled total return swap agreements (the "Swaps" and each a "Swap") in reference to an aggregate 3,878,542 shares of Company common stock, par value $0.01 per share (continued in footnote 2) F2 · derivative.exercise_date: (the "Common Stock") that upon the applicable valuation or deemed valuation of any such Swap, (i) if in any case the final price applicable to such Swap, as between the applicable Counterparty and the bank with which the applicable Counterparty had entered into such Swap (or deemed final price deemed applicable under the PSA), was greater than $6.25 per share, then such Counterparty shall pay to FSH a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of such final price over $6.25, and (ii) if in any case such final price (or deemed final price applicable under the PSA) was less than $6.25 per share, then FSH shall pay to such Counterparty a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of $6.25 over such final price. On September 7, 2016, FSH and the Counterparties agreed that the amount then due from FSH to the Counterparties under the terms of the PSA was $160,265.90. (continued in footnote 3) F3 · derivative.exercise_date: On that date, the Reporting Persons and the RiverNorth Parties entered into the Mutual Release and Waiver of Rights under the PSA (the "Mutual Release and Waiver") pursuant to which the Reporting Persons paid the Counterparties or their affiliates the entire amount of $160,265.90 then due under the PSA (such payment, the "Swap Settlement"). As a result of the Swap Settlement, the Reporting Persons no longer have a pecuniary interest in the Swaps. F1 · derivative.expiration_date: Each of Mr. Tannenbaum, Fifth Street Asset Management Inc. and Fifth Street Holdings L.P. ("FSH") (together, the "Reporting Persons") is a party to the Purchase and Settlement Agreement, dated as of February 18, 2016 ( the "PSA"), entered into by and among Fifth Street Finance Corp. (the "Company"), the Reporting Persons and the Sellers (as defined below). The "Sellers" are RiverNorth Capital Management, LLC, RiverNorth Capital Partners, L.P., RiverNorth Institutional Partners, L.P., RiverNorth Core Opportunity Fund, RiverNorth/DoubleLine Strategic Income Fund (collectively, the "RiverNorth Parties"), Randy I. Rochman, Fred G. Steingraber and Murray R. Wise. Pursuant to the PSA, the Reporting Persons agreed with the counterparties (the "Counterparties" and each a "Counterparty") to certain cash-settled total return swap agreements (the "Swaps" and each a "Swap") in reference to an aggregate 3,878,542 shares of Company common stock, par value $0.01 per share (continued in footnote 2) F2 · derivative.expiration_date: (the "Common Stock") that upon the applicable valuation or deemed valuation of any such Swap, (i) if in any case the final price applicable to such Swap, as between the applicable Counterparty and the bank with which the applicable Counterparty had entered into such Swap (or deemed final price deemed applicable under the PSA), was greater than $6.25 per share, then such Counterparty shall pay to FSH a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of such final price over $6.25, and (ii) if in any case such final price (or deemed final price applicable under the PSA) was less than $6.25 per share, then FSH shall pay to such Counterparty a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of $6.25 over such final price. On September 7, 2016, FSH and the Counterparties agreed that the amount then due from FSH to the Counterparties under the terms of the PSA was $160,265.90. (continued in footnote 3) F3 · derivative.expiration_date: On that date, the Reporting Persons and the RiverNorth Parties entered into the Mutual Release and Waiver of Rights under the PSA (the "Mutual Release and Waiver") pursuant to which the Reporting Persons paid the Counterparties or their affiliates the entire amount of $160,265.90 then due under the PSA (such payment, the "Swap Settlement"). As a result of the Swap Settlement, the Reporting Persons no longer have a pecuniary interest in the Swaps. F1 · ownership.nature: Each of Mr. Tannenbaum, Fifth Street Asset Management Inc. and Fifth Street Holdings L.P. ("FSH") (together, the "Reporting Persons") is a party to the Purchase and Settlement Agreement, dated as of February 18, 2016 ( the "PSA"), entered into by and among Fifth Street Finance Corp. (the "Company"), the Reporting Persons and the Sellers (as defined below). The "Sellers" are RiverNorth Capital Management, LLC, RiverNorth Capital Partners, L.P., RiverNorth Institutional Partners, L.P., RiverNorth Core Opportunity Fund, RiverNorth/DoubleLine Strategic Income Fund (collectively, the "RiverNorth Parties"), Randy I. Rochman, Fred G. Steingraber and Murray R. Wise. Pursuant to the PSA, the Reporting Persons agreed with the counterparties (the "Counterparties" and each a "Counterparty") to certain cash-settled total return swap agreements (the "Swaps" and each a "Swap") in reference to an aggregate 3,878,542 shares of Company common stock, par value $0.01 per share (continued in footnote 2) F2 · ownership.nature: (the "Common Stock") that upon the applicable valuation or deemed valuation of any such Swap, (i) if in any case the final price applicable to such Swap, as between the applicable Counterparty and the bank with which the applicable Counterparty had entered into such Swap (or deemed final price deemed applicable under the PSA), was greater than $6.25 per share, then such Counterparty shall pay to FSH a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of such final price over $6.25, and (ii) if in any case such final price (or deemed final price applicable under the PSA) was less than $6.25 per share, then FSH shall pay to such Counterparty a sum in cash equal to the number of shares referenced by such Swap multiplied by the excess of $6.25 over such final price. On September 7, 2016, FSH and the Counterparties agreed that the amount then due from FSH to the Counterparties under the terms of the PSA was $160,265.90. (continued in footnote 3) F3 · ownership.nature: On that date, the Reporting Persons and the RiverNorth Parties entered into the Mutual Release and Waiver of Rights under the PSA (the "Mutual Release and Waiver") pursuant to which the Reporting Persons paid the Counterparties or their affiliates the entire amount of $160,265.90 then due under the PSA (such payment, the "Swap Settlement"). As a result of the Swap Settlement, the Reporting Persons no longer have a pecuniary interest in the Swaps. Read SEC document |
| August 31, 2016 Filed Sep 24, 2016 01:16 UTC Amendment |
Castro-Blanco JamesDirector
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PurchaseCommon Stock | 8,250 | $6.16 | $50,820.00 |
DisclosureSEC source: 0001144204-16-125127 · v449383_4a.xml · nonDerivative · entry 1 Castro-Blanco James · CIK 0001616327 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,300.489 F1 · balance_after: The reporting person is amending the previously filed Form 4 of 9/2/16 to correct the amount of securities beneficially owned, which was incorrectly reported in the original Form 4 by excluding securities indirectly owned and 0.489 directly-owned securities that were acquired pursuant to the Issuer's dividend reinvestment plan. Read SEC document |
| September 28, 2015 Filed Sep 24, 2016 01:15 UTC Amendment |
Castro-Blanco JamesDirector
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PurchaseCommon Stock | 3,000 | $6.58 | $19,740.00 |
DisclosureSEC source: 0001144204-16-125126 · v449382_4a.xml · nonDerivative · entry 1 Castro-Blanco James · CIK 0001616327 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,674.068 F1 · balance_after: The reporting person is amending the previously filed Form 4 of 9/29/15 to correct the amount of securities beneficially owned, which was incorrectly reported in the original Form 4 by excluding securities indirectly owned and directly-owned securities that were acquired pursuant to the Issuer's dividend reinvestment plan. Read SEC document |
| February 13, 2015 Filed Sep 24, 2016 01:15 UTC Amendment |
Castro-Blanco JamesDirector
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PurchaseCommon Stock | 650 | $7.25 | $4,712.50 |
DisclosureSEC source: 0001144204-16-125125 · v449381_4a.xml · nonDerivative · entry 1 Castro-Blanco James · CIK 0001616327 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650 Read SEC document |
| December 18, 2014 Filed Sep 24, 2016 01:13 UTC Amendment |
Castro-Blanco JamesDirector
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PurchaseCommon Stock | 750 | $8.06 | $6,042.98 |
DisclosureSEC source: 0001144204-16-125124 · v449380_4a.xml · nonDerivative · entry 1 Castro-Blanco James · CIK 0001616327 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 750 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. 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.