Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| QUAKER CHEMICAL CORPKWR · Entity 4278 | Director | September 02, 2022 | December 19, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
QUAKER CHEMICAL CORP
Report date September 02, 2022 · Filed December 19, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,080 |
Reported balance
After 2022-09-02 transaction · row 1
1 source rowRow 1 · 2022-09-02 · Gift · Disposed 450 · Balance 7,080 |
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Amber Road, Inc.
Report date April 07, 2017 · Filed April 11, 2017
Section 16 reporting ended · disclosed 2017-04-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 2 | 2,653,885 |
Last balance in matching sequence
After 2017-04-10 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-04-07 · Sale · Disposed 287,600 · Balance 2,949,147 F1: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2: Consists of 1,316,296 shares (after sales on April 7, 2017) and 1,183,428 shares (after sales on April 10, 2017) held by The Co-Investment Fund II, L.P. and 1,632,851 shares (after sales on April 7, 2017) and 1,470,457 shares (after sales on April 10, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Row 2 · 2017-04-10 · Sale · Disposed 295,262 · Balance 2,653,885 F1: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2: Consists of 1,316,296 shares (after sales on April 7, 2017) and 1,183,428 shares (after sales on April 10, 2017) held by The Co-Investment Fund II, L.P. and 1,632,851 shares (after sales on April 7, 2017) and 1,470,457 shares (after sales on April 10, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. |
| Common StockSEC Table I · non-derivative | Direct | 25,110 |
Reported balance
Holding disclosure · report date 2017-04-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 25,110 F3: Under the terms of the applicable partnership agreements of the Funds, the Reporting Person is deemed to hold these shares for the benefit of the Funds, which are entitled to receive the net economic benefit of the shares as a credit against the management fees owed by the Funds to Cross Atlantic Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners.
F2: Consists of 1,316,296 shares (after sales on April 7, 2017) and 1,183,428 shares (after sales on April 10, 2017) held by The Co-Investment Fund II, L.P. and 1,632,851 shares (after sales on April 7, 2017) and 1,470,457 shares (after sales on April 10, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P.
F3: Under the terms of the applicable partnership agreements of the Funds, the Reporting Person is deemed to hold these shares for the benefit of the Funds, which are entitled to receive the net economic benefit of the shares as a credit against the management fees owed by the Funds to Cross Atlantic Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
Rubicon Technology, Inc.
Report date November 16, 2017 · Filed November 20, 2017
Section 16 reporting ended · disclosed 2017-11-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note | 0 |
Reported balance
After 2017-11-16 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-11-16 · Sale · Disposed 221,784 · Balance 0 F2: Consists of 104,769 shares sold by Cross Atlantic Technology Fund II, L.P. and 117,015 shares sold by The Co-Investment 2000 Fund, L.P. (collectively with Cross Atlantic Technology Fund II, L.P, the "Funds"). The Reporting Person is the owner and director of Cross Atlantic Capital Partners, Inc., which is the investment manager for each of the Funds. The Reporting Person is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. The Reporting Person is a shareholder, director and officer of Co-Invest Capital Partners, Inc., which is the general partner of Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. The Reporting Person disclaims beneficial ownership of the shares held by the Funds except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 13,900 |
Reported balance
Holding disclosure · report date 2017-11-16 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 13,900 F1: Includes 13,190 shares held for the benefit of the Funds (as defined below), which are entitled to receive the net economic benefit of the shares as a credit against the management fees owed by the Funds to Cross Atlantic Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 13,190 shares held for the benefit of the Funds (as defined below), which are entitled to receive the net economic benefit of the shares as a credit against the management fees owed by the Funds to Cross Atlantic Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
F2: Consists of 104,769 shares sold by Cross Atlantic Technology Fund II, L.P. and 117,015 shares sold by The Co-Investment 2000 Fund, L.P. (collectively with Cross Atlantic Technology Fund II, L.P, the "Funds"). The Reporting Person is the owner and director of Cross Atlantic Capital Partners, Inc., which is the investment manager for each of the Funds. The Reporting Person is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. The Reporting Person is a shareholder, director and officer of Co-Invest Capital Partners, Inc., which is the general partner of Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. The Reporting Person disclaims beneficial ownership of the shares held by the Funds except to the extent of his pecuniary interest therein.
SIMPLICITY ESPORTS & GAMING Co
Report date April 22, 2022 · Filed April 29, 2022
Section 16 reporting ended · disclosed 2022-04-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,125 |
Reported balance
Holding disclosure · report date 2022-04-22 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 22,125 |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $92.00 · Expires 2024-05-22 | Direct | 2,500 |
Reported balance
Holding disclosure · report date 2022-04-22 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 2,500 F1: Represents 2,500 shares of the issuer's common stock issuable upon exercise of 2,500 vested warrants with an exercise price of $92.00 which expire on May 22, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents 2,500 shares of the issuer's common stock issuable upon exercise of 2,500 vested warrants with an exercise price of $92.00 which expire on May 22, 2024.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 02, 2022 Filed Dec 19, 2022 21:24 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GiftCommon Stock | 450 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-061914 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,080 Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 20:45 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 250 | $155.75 | $38,937.50 |
DisclosureSEC source: 0001209191-22-034113 · doc4.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,530 F2 · shares: Discretionary election by Director under Quaker Houghton's Stock Ownership Plan to receive a partial payment (50%) of annual retainer for the 2022/2023 Board year in Company common stock. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 20:45 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 693 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-034113 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,280 F1 · shares: Time-based restricted stock award granted to Quaker Houghton's non-executive directors as part of their 2022 compensation. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:37 UTC | SIMPLICITY ESPORTS & GAMING Co WINR · Entity 127601 | GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-022049 · ownership.xml · nonDerivative · entry 3 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,125 F2 · kind: Represents a grant by the issuer to the reporting person. The grant was approved by the issuer's Board of Directors. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 20:53 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 160 | $242.30 | $38,767.20 |
DisclosureSEC source: 0001209191-21-037718 · doc4.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,587 F2 · shares: Discretionary election by Director under Quaker Houghton's Stock Ownership Plan to receive a partial payment (50%) of annual retainer for the 2021/2022 Board year in Company common stock. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 20:53 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 446 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-037718 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,427 F1 · shares: Time-based restricted stock award granted to Quaker Houghton's non-executive directors as part of their 2021 compensation. Read SEC document |
| December 22, 2020 Filed Dec 31, 2020 21:24 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GiftCommon Stock | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065682 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,981 Read SEC document |
| June 30, 2020 Filed Sep 3, 2021 21:37 UTC | SIMPLICITY ESPORTS & GAMING Co WINR · Entity 127601 | GrantCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-022049 · ownership.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,625 F2 · kind: Represents a grant by the issuer to the reporting person. The grant was approved by the issuer's Board of Directors. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 20:18 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 189 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-033981 · doc4.xml · nonDerivative · entry 4 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,181 F3 · shares: Grant of stock by the Company to provide full payment of annual committee and chairperson retainers (having a value of $32,500) for the 2020/2021 Board year. Award is fully vested as of the date of grant. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 20:18 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 379 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-033981 · doc4.xml · nonDerivative · entry 3 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,992 F2 · shares: Grant of stock by the Company to provide full payment of the annual retainer (having a value of $65,000) for the 2020/2021 Board year. Award is fully vested as of the grant of date. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 20:18 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 496 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-033981 · doc4.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,613 F1 · shares: Time-based restricted stock award granted to Quaker Houghton's independent directors as part of their 2020 compensation. Read SEC document |
| May 29, 2020 Filed Jun 3, 2020 20:18 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GiftCommon Stock | 350 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-033981 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,117 Read SEC document |
| June 03, 2019 Filed Jun 4, 2019 20:20 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 177 | $183.13 | $32,414.01 |
DisclosureSEC source: 0001209191-19-034256 · doc4.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,467 F2 · shares: Discretionary election by Director under Quaker's Stock Ownership Plan to receive a partial payment (50%) of annual retainer for the 2019/2020 Board year in Company common stock. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:20 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 469 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034256 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,290 F1 · shares: Time-based restricted stock award granted to Quaker's independent directors as part of their 2019 compensation. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:15 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | SaleCommon Stock | 250 | $201.65 | $50,412.90 |
DisclosureSEC source: 0001209191-19-031356 · doc4.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,821 Read SEC document |
| April 30, 2019 Filed May 20, 2019 20:15 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GiftCommon Stock | 274 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-031356 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,071 Read SEC document |
| December 28, 2018 Filed Sep 3, 2021 21:37 UTC | SIMPLICITY ESPORTS & GAMING Co WINR · Entity 127601 | OtherWarrant (right to buy) · Derivative | 2,500 | Not disclosed Strike: $92.00 | Not disclosed |
DisclosureSEC source: 0001493152-21-022049 · ownership.xml · derivative · entry 4 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2024-05-22 F1 · kind: On December 28, 2018, the reporting person purchased issuer units at a purchase price of $10.00 per unit. Each unit consisted of one share of the issuer's common stock, one right and one warrant. Each warrant entitles the holder to purchase one share of the issuer's common stock at an exercise price of $92.00 per share. F1 · price: On December 28, 2018, the reporting person purchased issuer units at a purchase price of $10.00 per unit. Each unit consisted of one share of the issuer's common stock, one right and one warrant. Each warrant entitles the holder to purchase one share of the issuer's common stock at an exercise price of $92.00 per share. Read SEC document |
| December 28, 2018 Filed Sep 3, 2021 21:37 UTC | SIMPLICITY ESPORTS & GAMING Co WINR · Entity 127601 | OtherCommon Stock | 9,625 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-21-022049 · ownership.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,625 F1 · kind: On December 28, 2018, the reporting person purchased issuer units at a purchase price of $10.00 per unit. Each unit consisted of one share of the issuer's common stock, one right and one warrant. Each warrant entitles the holder to purchase one share of the issuer's common stock at an exercise price of $92.00 per share. F1 · price: On December 28, 2018, the reporting person purchased issuer units at a purchase price of $10.00 per unit. Each unit consisted of one share of the issuer's common stock, one right and one warrant. Each warrant entitles the holder to purchase one share of the issuer's common stock at an exercise price of $92.00 per share. Read SEC document |
| August 29, 2018 Filed Aug 30, 2018 20:11 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | SaleCommon Stock | 521 | $177.24 | $92,342.04 |
DisclosureSEC source: 0001209191-18-048928 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,345 Read SEC document |
| August 09, 2018 Filed Aug 10, 2018 20:19 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | SaleCommon Stock | 599 | $170.00 | $101,830.00 |
DisclosureSEC source: 0001209191-18-046221 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,866 Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 20:18 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 391 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-035644 · doc4.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,465 F2 · shares: Time-based restricted stock award granted to Quaker's independent directors as part of their 2018 compensation. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 20:18 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 178 | $154.08 | $27,426.24 |
DisclosureSEC source: 0001209191-18-035644 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,074 F1 · shares: Discretionary election by Director under Quaker's Stock Ownership Plan to receive a partial payment (50%) of annual retainer for the 2018/2019 Board year in Company common stock. Read SEC document |
| May 16, 2018 Filed May 18, 2018 20:11 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | SaleCommon Stock | 100 | $153.59 | $15,358.50 |
DisclosureSEC source: 0001209191-18-031390 · doc4.xml · nonDerivative · entry 3 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,896 Read SEC document |
| May 16, 2018 Filed May 18, 2018 20:11 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | SaleCommon Stock | 1,205 | $152.71 | $184,020.37 |
DisclosureSEC source: 0001209191-18-031390 · doc4.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,996 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $152.35 to $153.09, inclusive. The reporting person undertakes to provide to Quaker Chemical Corporation ("Quaker"), any security holder of Quaker, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| March 20, 2018 Filed May 18, 2018 20:11 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GiftCommon Stock | 330 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031390 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,201 Read SEC document |
| November 20, 2017 Filed Nov 28, 2017 21:15 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | SaleCommon Stock | 300 | $159.57 | $47,871.00 |
DisclosureSEC source: 0001209191-17-062684 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,531 Read SEC document |
| November 16, 2017 Filed Nov 20, 2017 12:58 UTC | Rubicon Technology, Inc. RBCN · Entity 116464 | SaleCommon Stock | 221,784 | $8.00 | $1,774,272.00 |
DisclosureSEC source: 0001213900-17-012335 · f4111617caldwell_rubicontech.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 0 F2 · shares: Consists of 104,769 shares sold by Cross Atlantic Technology Fund II, L.P. and 117,015 shares sold by The Co-Investment 2000 Fund, L.P. (collectively with Cross Atlantic Technology Fund II, L.P, the "Funds"). The Reporting Person is the owner and director of Cross Atlantic Capital Partners, Inc., which is the investment manager for each of the Funds. The Reporting Person is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. The Reporting Person is a shareholder, director and officer of Co-Invest Capital Partners, Inc., which is the general partner of Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. The Reporting Person disclaims beneficial ownership of the shares held by the Funds except to the extent of his pecuniary interest therein. F2 · ownership.nature: Consists of 104,769 shares sold by Cross Atlantic Technology Fund II, L.P. and 117,015 shares sold by The Co-Investment 2000 Fund, L.P. (collectively with Cross Atlantic Technology Fund II, L.P, the "Funds"). The Reporting Person is the owner and director of Cross Atlantic Capital Partners, Inc., which is the investment manager for each of the Funds. The Reporting Person is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. The Reporting Person is a shareholder, director and officer of Co-Invest Capital Partners, Inc., which is the general partner of Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. The Reporting Person disclaims beneficial ownership of the shares held by the Funds except to the extent of his pecuniary interest therein. Read SEC document |
| September 30, 2017 Filed Oct 3, 2017 17:40 UTC | Rubicon Technology, Inc. RBCN · Entity 116464 | GrantCommon Stock | 1,228 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-17-010272 · f4093017caldwell_rubicon.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,900 F1 · shares: On September 30, 2017, the Reporting Person received shares of restricted stock under the Rubicon Technology, Inc. 2016 Stock Incentive Plan, as compensation for service as a Director. Such shares will vest 30 days from the transaction date. F2 · ownership.direct: Under the terms of the applicable partnership agreements of the Funds (as defined below), the Reporting Person is deemed to hold the newly acquired shares plus an additional 11,962 shares (for a total of 13,190 shares), for the benefit of the Funds, which are entitled to receive the net economic benefit of the shares as a credit against the management fees owed by the Funds to Cross Atlantic Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. Read SEC document |
| August 02, 2017 Filed Aug 4, 2017 20:17 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | SaleCommon Stock | 1,450 | $139.21 | $201,854.50 |
DisclosureSEC source: 0001209191-17-047701 · doc4.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,831 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.20 to $139.31, inclusive. The reporting person undertakes to provide to Quaker Chemical Corporation ("Quaker"), any security holder of Quaker, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| August 02, 2017 Filed Aug 4, 2017 20:17 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | SaleCommon Stock | 350 | $140.95 | $49,332.50 |
DisclosureSEC source: 0001209191-17-047701 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,281 Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 19:14 UTC | Rubicon Technology, Inc. RBCN · Entity 116464 | GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-17-007194 · f4063017caldwell_rubicon.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,672 F1 · shares: On June 30, 2017, the Reporting Person received shares of restricted stock under the Rubicon Technology, Inc. 2016 Stock Incentive Plan, as compensation for service as a Director. Such shares will vest 30 days from the transaction date. F2 · ownership.direct: Under the terms of the applicable partnership agreements of the Funds (as defined below), the Reporting Person is deemed to hold the newly acquired shares plus an additional 10,878 shares (for a total of 11,962 shares), for the benefit of the Funds, which are entitled to receive the net economic benefit of the shares as a credit against the management fees owed by the Funds to Cross Atlantic Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 20:18 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GrantCommon Stock | 421 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-037695 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,631 F1 · shares: Time-based restricted stock award granted to Quaker's independent directors as part of their 2017 compensation. Read SEC document |
| May 26, 2017 Filed May 31, 2017 20:09 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | SaleCommon Stock | 1,000 | $138.60 | $138,600.00 |
DisclosureSEC source: 0001209191-17-036406 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,210 Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 13:31 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 295,262 | $7.10 | $2,096,360.20 |
DisclosureSEC source: 0001213900-17-003625 · f4040717caldwell_amberroad.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 2,653,885 F1 · shares: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2 · balance_after: Consists of 1,316,296 shares (after sales on April 7, 2017) and 1,183,428 shares (after sales on April 10, 2017) held by The Co-Investment Fund II, L.P. and 1,632,851 shares (after sales on April 7, 2017) and 1,470,457 shares (after sales on April 10, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| April 07, 2017 Filed Apr 11, 2017 13:31 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 287,600 | $7.01 | $2,016,076.00 |
DisclosureSEC source: 0001213900-17-003625 · f4040717caldwell_amberroad.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 2,949,147 F1 · shares: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2 · balance_after: Consists of 1,316,296 shares (after sales on April 7, 2017) and 1,183,428 shares (after sales on April 10, 2017) held by The Co-Investment Fund II, L.P. and 1,632,851 shares (after sales on April 7, 2017) and 1,470,457 shares (after sales on April 10, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| April 06, 2017 Filed Apr 7, 2017 10:26 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 48,704 | $7.00 | $340,928.00 |
DisclosureSEC source: 0001213900-17-003491 · f4040517caldwell_amberroad.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 3,236,747 F1 · shares: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2 · balance_after: Consists of 1,467,633 shares (after sales on April 5, 2017) and 1,445,716 shares (after sales on April 6, 2017) held by The Co-Investment Fund II, L.P. and 1,838,136 shares (after sales on April 5, 2017) and 1,811,549 shares (after sales on April 6, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds").. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 10:26 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 11,300 | $7.01 | $79,213.00 |
DisclosureSEC source: 0001213900-17-003491 · f4040517caldwell_amberroad.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 3,285,451 F1 · shares: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2 · balance_after: Consists of 1,467,633 shares (after sales on April 5, 2017) and 1,445,716 shares (after sales on April 6, 2017) held by The Co-Investment Fund II, L.P. and 1,838,136 shares (after sales on April 5, 2017) and 1,811,549 shares (after sales on April 6, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds").. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| April 04, 2017 Filed Apr 5, 2017 12:13 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 23,449 | $7.00 | $164,143.00 |
DisclosureSEC source: 0001213900-17-003371 · f4040317caldwell_amberroad.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 3,296,751 F1 · shares: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2 · balance_after: Consists of 1,483,270 shares (after sales on April 3, 2017) and 1,472,718 shares (after sales on April 4, 2017) held by The Co-Investment Fund II, L.P. and 1,863, 930 shares (after sales on April 3, 2017) and 1,8524,033 shares (after sales on April 4, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 12:13 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 25,000 | $7.52 | $188,000.00 |
DisclosureSEC source: 0001213900-17-003371 · f4040317caldwell_amberroad.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 3,320,200 F1 · shares: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2 · balance_after: Consists of 1,483,270 shares (after sales on April 3, 2017) and 1,472,718 shares (after sales on April 4, 2017) held by The Co-Investment Fund II, L.P. and 1,863, 930 shares (after sales on April 3, 2017) and 1,8524,033 shares (after sales on April 4, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 16:06 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 158,578 | $7.60 | $1,205,192.80 |
DisclosureSEC source: 0001213900-17-003233 · f4033017caldwell_amberroad.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 3,345,200 F1 · shares: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2 · balance_after: Consists of 1,565,880 (after sales on March 30, 2017) and 1,494,520 shares (after sales on March 31, 2017) held by The Co-Investment Fund II, L.P. and 1,937,898 shares (after sales on March 30, 2017) and 1,850,680 shares (after sales on March 31, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 17:59 UTC | Rubicon Technology, Inc. RBCN · Entity 116464 | GrantCommon Stock | 10,831 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009316 · doc4.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,881 F1 · shares: On March 31, 2017, the Reporting Person received shares of restricted stock under the Rubicon Technology, Inc. 2016 Stock Incentive Plan as compensation for his service as a director, a Board committee chairman and a member of the audit committee (for the period served) during the first quarter of 2017. Such shares vested upon grant. F2 · ownership.direct: Under the terms of the applicable partnership agreements of the Funds (as defined below), the Reporting Person is deemed to hold the newly acquired shares plus an additional 97,950 shares (for a total of 108,781 shares), for the benefit of the Funds, which are entitled to receive the net economic benefit of the shares as a credit against the management fees owed by the Funds to Cross Atlantic Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. Read SEC document |
| March 30, 2017 Filed Apr 3, 2017 16:06 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 100,000 | $7.64 | $764,000.00 |
DisclosureSEC source: 0001213900-17-003233 · f4033017caldwell_amberroad.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 3,503,778 F1 · shares: The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners. F2 · balance_after: Consists of 1,565,880 (after sales on March 30, 2017) and 1,494,520 shares (after sales on March 31, 2017) held by The Co-Investment Fund II, L.P. and 1,937,898 shares (after sales on March 30, 2017) and 1,850,680 shares (after sales on March 31, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 15:47 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 153,111 | $11.50 | $1,760,776.50 |
DisclosureSEC source: 0001213900-16-019053 · f4112916caldwell_amberroad.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 3,603,788 F1 · shares: The sale of the shares was made by Cross Atlantic Technology Fund II, L.P. in connection with its maturity and its obligation to make distributions to its partners. F2 · balance_after: Consists of 1,610,880 shares held by The Co-Investment Fund II, L.P. and 1,922,898 shares held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell, a director of the Issuer, is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. Donald R. Caldwell, is director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| November 28, 2016 Filed Nov 28, 2016 20:27 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 187,750 | $11.66 | $2,189,165.00 |
DisclosureSEC source: 0001213900-16-018995 · f4112316caldwell_amberroad.xml · nonDerivative · entry 2 CALDWELL DONALD R · CIK 0001211700 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 3,756,899 F1 · shares: The sale of the shares was made by Cross Atlantic Technology Fund II, L.P. in connection with its maturity and its obligation to make distributions to its partners. F2 · balance_after: Consists of 340,861 shares (after sale on November 23, 2016) and 153,111 shares (after sale on November 28, 2016) held by Cross Atlantic Technology Fund, II, L.P., 1,610,880 shares held by The Co-Investment Fund II, L.P. and 1,922,898 shares held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell, a director of the Issuer, is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. Donald R. Caldwell, is director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 20:27 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 202,038 | $11.81 | $2,386,068.78 |
DisclosureSEC source: 0001213900-16-018995 · f4112316caldwell_amberroad.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 3,944,639 F1 · shares: The sale of the shares was made by Cross Atlantic Technology Fund II, L.P. in connection with its maturity and its obligation to make distributions to its partners. F2 · balance_after: Consists of 340,861 shares (after sale on November 23, 2016) and 153,111 shares (after sale on November 28, 2016) held by Cross Atlantic Technology Fund, II, L.P., 1,610,880 shares held by The Co-Investment Fund II, L.P. and 1,922,898 shares held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell, a director of the Issuer, is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. Donald R. Caldwell, is director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. Read SEC document |
| October 11, 2016 Filed Feb 14, 2017 21:10 UTC | QUAKER CHEMICAL CORP KWR · Entity 4278 | GiftCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-010454 · doc5.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,210 Read SEC document |
| September 14, 2016 Filed Sep 16, 2016 17:31 UTC | Amber Road, Inc. AMBR · Entity 12617 | SaleCommon Stock | 1,450,000 | $9.00 | $13,050,000.00 |
DisclosureSEC source: 0001213900-16-016839 · f4091416caldwell_amber.xml · nonDerivative · entry 1 CALDWELL DONALD R · CIK 0001211700 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 2 Disclosed balance after: 4,146,677 F1 · shares: The sale of the shares was made by Cross Atlantic Technology Fund II, L.P. in connection with its maturity and its obligation to make distributions to its partners. F2 · balance_after: Consists of 542,899 shares held by Cross Atlantic Technology Fund, II, L.P., 1,610,880 shares held by The Co-Investment Fund II, L.P. and 1,922,898 shares held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell, a director of the Issuer, is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. Donald R. Caldwell, is director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P. 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.