organization · Reporting owner
J P MORGAN PARTNERS 23A SBIC MANAGER INC
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARBINET THEXCHANGE INCARBX · Entity 13963 | 10% owner | December 21, 2004 | December 23, 2004 |
| INTERLINE BRANDS, INC./DEIBI · Entity 12861 | 10% owner | December 20, 2004 | December 22, 2004 |
| TRITON PCS HOLDINGS INCTPCS · Entity 14048 | 10% owner | May 25, 2004 | May 27, 2004 |
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.
ARBINET THEXCHANGE INC
Report date December 21, 2004 · Filed December 23, 2004
Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, JP MORGAN CHASE BANK, JPMORGAN CHASE & CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 691,421 |
Reported balance
After 2004-12-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-12-21 · Conversion · Acquired 691,421 · Balance 691,421 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
| Common StockSEC Table I · non-derivative | Direct | 715,356 |
Reported balance
After 2004-12-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2004-12-21 · Conversion · Acquired 23,935 · Balance 715,356 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
| Common StockSEC Table I · non-derivative | Direct | 1,216,072 |
Reported balance
After 2004-12-21 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2004-12-21 · Conversion · Acquired 500,716 · Balance 1,216,072 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
| Common StockSEC Table I · non-derivative | Direct | 1,716,788 |
Reported balance
After 2004-12-21 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2004-12-21 · Conversion · Acquired 500,716 · Balance 1,716,788 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
| Common StockSEC Table I · non-derivative | Direct | 2,017,220 |
Reported balance
After 2004-12-21 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2004-12-21 · Conversion · Acquired 300,432 · Balance 2,017,220 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
| Common StockSEC Table I · non-derivative | Direct | 1,320,958 |
Reported balance
After 2004-12-21 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2004-12-21 · Sale · Disposed 696,262 · Balance 1,320,958 |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 549,206 |
Reported balance
After 2004-12-21 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2004-12-21 · Conversion · Acquired 549,206 · Balance 549,206 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 602,006 |
Reported balance
After 2004-12-21 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2004-12-21 · Conversion · Acquired 52,800 · Balance 602,006 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 394,218 |
Reported balance
After 2004-12-21 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2004-12-21 · Sale · Disposed 207,788 · Balance 394,218 F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 142,214 |
Reported balance
After 2004-12-21 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2004-12-21 · Conversion · Acquired 142,214 · Balance 142,214 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 153,604 |
Reported balance
After 2004-12-21 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2004-12-21 · Conversion · Acquired 11,390 · Balance 153,604 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 100,587 |
Reported balance
After 2004-12-21 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2004-12-21 · Sale · Disposed 53,017 · Balance 100,587 F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P. |
| Series C Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2004-12-21 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2004-12-21 · Conversion · Disposed 2,950,877 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
| Series C Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2004-12-21 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2004-12-21 · Conversion · Disposed 2,343,930 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC. |
| Series C Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2004-12-21 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2004-12-21 · Conversion · Disposed 606,947 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2004-12-21 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2004-12-21 · Conversion · Disposed 76,901 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2004-12-21 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2004-12-21 · Conversion · Disposed 169,636 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2004-12-21 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2004-12-21 · Conversion · Disposed 36,598 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P. |
| Series D-1 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2004-12-21 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2004-12-21 · Conversion · Disposed 8,011,468 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
| Series E Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2004-12-21 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2004-12-21 · Conversion · Disposed 8,011,468 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
| Series E-1 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2004-12-21 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2004-12-21 · Conversion · Disposed 4,806,921 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC.
F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P.
INTERLINE BRANDS, INC./DE
Report date December 20, 2004 · Filed December 22, 2004
Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, JP MORGAN CHASE BANK, JPMORGAN CHASE & CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,276,896 |
Reported balance
After 2004-12-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-12-20 · Sale · Disposed 181,174 · Balance 4,276,896 |
TRITON PCS HOLDINGS INC
Report date May 25, 2004 · Filed May 27, 2004
Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, JP MORGAN CHASE BANK, JPMORGAN CHASE & CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 9,082,907 |
Reported balance
After 2004-05-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-05-25 · Grant · Acquired 45,000 · Balance 9,082,907 F1: These shares of Class A Common Stock were granted to Arnold L. Chavkin, a director of the Issuer pursuant to a Director Stock Award Agreement by and between Triton PCS Holdings, Inc. and Arnold L. Chavkin dated as of May 25, 2004. The Stock Award vests in three equal annual installments, commencing August 15, 2004. Arnold L. Chavkin is obligated to transfer these shares to the Reporting Person, at the request of the Reporting Person. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 7,926,099 |
Reported balance
Holding disclosure · report date 2004-05-25 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 7,926,099 F2: These shares of Class B Common Stock are convertible on a one for one basis. F3: These shares of Class B Common Stock are convertible into Class A Common Stock either (i) when it is transferred to anyone other than J.P. Morgan SBIC, LLC or any of its affiliates or (ii) upon receipt by the Company of a written opinion of Counsel to the effect that the holder of the stock should not be considered an affiliate of the Issuer as defined by Rule 405 of the Securities Act of 1933 after giving effect to the conversion. F4: The right to convert does not expire. F5: These shares of Class B Common Stock are beneficially owned by J.P. Morgan SBIC, LLC, an affiliate of the Reporting Person. As a result of the merger of J.P. Morgan Incorporated and The Chase Manhattan Corporation on December 31, 2000, The Chase Manhattan Corporation (now known as J.P. Morgan Chase & Co.) acquired J.P. Morgan Capital Corporation, the indirect owner of these securities. Neither the Reporting Person nor any of its ultimate security holders other than J.P. Morgan Chase & Co. has a beneficial ownership of, or a pecuniary interest in, the securities owned by J.P. Morgan SBIC, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of Class A Common Stock were granted to Arnold L. Chavkin, a director of the Issuer pursuant to a Director Stock Award Agreement by and between Triton PCS Holdings, Inc. and Arnold L. Chavkin dated as of May 25, 2004. The Stock Award vests in three equal annual installments, commencing August 15, 2004. Arnold L. Chavkin is obligated to transfer these shares to the Reporting Person, at the request of the Reporting Person.
F2: These shares of Class B Common Stock are convertible on a one for one basis.
F3: These shares of Class B Common Stock are convertible into Class A Common Stock either (i) when it is transferred to anyone other than J.P. Morgan SBIC, LLC or any of its affiliates or (ii) upon receipt by the Company of a written opinion of Counsel to the effect that the holder of the stock should not be considered an affiliate of the Issuer as defined by Rule 405 of the Securities Act of 1933 after giving effect to the conversion.
F4: The right to convert does not expire.
F5: These shares of Class B Common Stock are beneficially owned by J.P. Morgan SBIC, LLC, an affiliate of the Reporting Person. As a result of the merger of J.P. Morgan Incorporated and The Chase Manhattan Corporation on December 31, 2000, The Chase Manhattan Corporation (now known as J.P. Morgan Chase & Co.) acquired J.P. Morgan Capital Corporation, the indirect owner of these securities. Neither the Reporting Person nor any of its ultimate security holders other than J.P. Morgan Chase & Co. has a beneficial ownership of, or a pecuniary interest in, the securities owned by J.P. Morgan SBIC, LLC.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CARRIZO OIL & GAS INC
Report date October 04, 2004 · Filed October 06, 2004
Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, JP MORGAN CHASE BANK, JPMORGAN CHASE & CO
Section 16 reporting ended · disclosed 2004-10-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,094,431 |
Reported balance
After 2004-10-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-10-04 · Sale · Disposed 2,500 · Balance 2,094,431 |
| Common StockSEC Table I · non-derivative | Direct | 1,312,626 |
Reported balance
After 2004-10-04 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2004-10-04 · Sale · Disposed 781,805 · Balance 1,312,626 |
| Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $4.78 · Expires 2012-05-22 | IndirectSee Footnote | 4,167 |
Reported balance
After 2004-07-15 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2004-07-15 · Other · Disposed 833 · Balance 4,167 F5: 2,500 stock options each were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004. 1,666 of the stock options granted to him are currently exercisable. The remaining 833 options belonging to Mr. Behrens were cancelled upon his resignation. These options became exercisable in three annual installments commencing May 22, 2003. Mr. Martin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC. |
| Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $5.75 · Expires 2013-05-26 | IndirectSee Footnote | 3,333 |
Reported balance
After 2004-07-15 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2004-07-15 · Other · Disposed 1,667 · Balance 3,333 F6: 2,500 stock options each were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004. 833 of the stock options granted to him are currently exercisable. The remaining 1, 667 options belonging to Mr. Behrens were cancelled upon his resignation. These options became exercisable in three annual installments commencing May 27, 2004. Mr. Martin and Mr. Behrens are obligated to transfer any shares issued under uncancelled tock options to JPM 23A SBIC. |
| Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $9.22 · Expires 2014-06-08 | IndirectSee Footnote | 3,500 |
Reported balance
After 2004-07-15 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2004-07-15 · Other · Disposed 3,500 · Balance 3,500 F7: 3,500 stock options were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004; all of these options were cancelled at such time. These options become exercisable in three annual installments commencing June 9, 2005. Mr. Martin is obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC. |
| Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2009-12-15 | IndirectSee Footnote | 16,667 |
Reported balance
Holding disclosure · report date 2004-10-04 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 16,667 F1: These stock options were granted to Arnold Chavkin and Christopher Behrens, directors of the Issuer. Messrs. Chavkin and Behrens are Chief Executive Officer and Managing Director, respectively, of J.P. Morgan Partners (23A SBIC Manager), Inc., the general partner of J.P. Morgan Partners (23A SBIC), L.P. ("JPM 23A SBIC"). Mr. Chavkin ceased to be a director of the Issuer on March 11, 2002. 6,667 of the stock options granted to him are currently exercisable. Mr. Behrens' options became exercisable in three annual installments commencing December 15, 2000. Mr. Chavkin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC. |
| Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $5.17 · Expires 2010-05-19 | IndirectSee Footnote | 3,333 |
Reported balance
Holding disclosure · report date 2004-10-04 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 3,333 F2: These stock options each were granted to Arnold Chavkin and Christopher Behrens, directors of the Issuer. Mr. Chavkin ceased to be a director of the Issuer on March 11, 2002. 833 of the stock options granted to him are currently exercisable. Mr. Behrens' options become exercisable in three annual installments commencing May 19, 2001. Mr. Chavkin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC. |
| Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.40 · Expires 2011-05-17 | IndirectSee Footnote | 2,500 |
Reported balance
Holding disclosure · report date 2004-10-04 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 2,500 F3: These stock options were granted to Christopher Behrens, a director of the Issuer. Mr. Behrens is obligated to transfer any shares issued under his stock options to JPM 23A SBIC. These options became exercisable in three annual installments commencing May 18, 2002. |
| Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $5.36 · Expires 2012-03-27 | IndirectSee Footnote | 10,000 |
Reported balance
Holding disclosure · report date 2004-10-04 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 10,000 F4: These options were granted to Bryan Martin, a director of the Issuer. Mr. Martin is a Principal of J.P. Morgan Partners, LLC, the investment advisor to J.P. Morgan Partners (23A SBIC), L.P. Mr. Martin is obligated to transfer any shares issued under his stock options to JPM 23A SBIC. These options became exercisable in three annual installments commencing March 27, 2003. |
Filing footnotes · ownership attribution and instrument terms
F1: These stock options were granted to Arnold Chavkin and Christopher Behrens, directors of the Issuer. Messrs. Chavkin and Behrens are Chief Executive Officer and Managing Director, respectively, of J.P. Morgan Partners (23A SBIC Manager), Inc., the general partner of J.P. Morgan Partners (23A SBIC), L.P. ("JPM 23A SBIC"). Mr. Chavkin ceased to be a director of the Issuer on March 11, 2002. 6,667 of the stock options granted to him are currently exercisable. Mr. Behrens' options became exercisable in three annual installments commencing December 15, 2000. Mr. Chavkin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.
F2: These stock options each were granted to Arnold Chavkin and Christopher Behrens, directors of the Issuer. Mr. Chavkin ceased to be a director of the Issuer on March 11, 2002. 833 of the stock options granted to him are currently exercisable. Mr. Behrens' options become exercisable in three annual installments commencing May 19, 2001. Mr. Chavkin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.
F3: These stock options were granted to Christopher Behrens, a director of the Issuer. Mr. Behrens is obligated to transfer any shares issued under his stock options to JPM 23A SBIC. These options became exercisable in three annual installments commencing May 18, 2002.
F4: These options were granted to Bryan Martin, a director of the Issuer. Mr. Martin is a Principal of J.P. Morgan Partners, LLC, the investment advisor to J.P. Morgan Partners (23A SBIC), L.P. Mr. Martin is obligated to transfer any shares issued under his stock options to JPM 23A SBIC. These options became exercisable in three annual installments commencing March 27, 2003.
F5: 2,500 stock options each were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004. 1,666 of the stock options granted to him are currently exercisable. The remaining 833 options belonging to Mr. Behrens were cancelled upon his resignation. These options became exercisable in three annual installments commencing May 22, 2003. Mr. Martin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.
F6: 2,500 stock options each were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004. 833 of the stock options granted to him are currently exercisable. The remaining 1, 667 options belonging to Mr. Behrens were cancelled upon his resignation. These options became exercisable in three annual installments commencing May 27, 2004. Mr. Martin and Mr. Behrens are obligated to transfer any shares issued under uncancelled tock options to JPM 23A SBIC.
F7: 3,500 stock options were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004; all of these options were cancelled at such time. These options become exercisable in three annual installments commencing June 9, 2005. Mr. Martin is obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.
DJ ORTHOPEDICS INC
Report date June 08, 2004 · Filed June 10, 2004
Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, JP MORGAN CHASE BANK, JPMORGAN CHASE & CO, JP MORGAN PARTNERS DJ PARTNERS LLC
Section 16 reporting ended · disclosed 2004-06-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2004-06-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-06-08 · Sale · Disposed 2,993,880 · Balance 0 F1: See Exhibit 99.1 F2: See Exhibit 99.1 |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2004-06-08 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2004-06-08 · Sale · Disposed 78,499 · Balance 0 F2: See Exhibit 99.1 |
Filing footnotes · ownership attribution and instrument terms
F1: See Exhibit 99.1
F2: See Exhibit 99.1
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 |
|---|---|---|---|---|---|---|
| June 14, 2004 Filed Jun 16, 2004 15:55 UTC | CARRIZO OIL & GAS INC CRZO · Entity 13995 | OtherWarrants · Derivative | 2,208,151 | $9.29 Strike: $2.20 | $20,502,682.04 |
DisclosureSEC source: 0001125282-04-002781 · b332624_ex.xml · derivative · entry 2 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,208,151 shares Expires 2007-12-15 F1 · derivative.exercise_date: These Warrants are immediately exercisable. They were initially exercisable for 2,208,151 shares of the Issuer's Common Stock. However, due to a cashless exercise of these Warrants, the Reporting Person received 1,684,949 shares of the Issuer's Common Stock. Read SEC document |
| June 14, 2004 Filed Jun 16, 2004 15:55 UTC | CARRIZO OIL & GAS INC CRZO · Entity 13995 | ConversionCommon Stock | 1,684,949 | $0.00 | $0.00 |
DisclosureSEC source: 0001125282-04-002781 · b332624_ex.xml · nonDerivative · entry 1 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,619,981 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 09, 2004 Filed Jul 16, 2004 17:05 UTC | CARRIZO OIL & GAS INC CRZO · Entity 13995 | GrantStock Options (right to purchase) · Derivative | 7,000 | $0.00 Strike: $9.22 | $0.00 |
DisclosureSEC source: 0001125282-04-003319 · b333120_ex.xml · derivative · entry 9 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2014-06-18 F8 · ownership.nature: 3,500 stock options each were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. These options become exercisable in three annual installments commencing June 9, 2005. Mr. Martin and Mr. Behrens are obligated to transfer any shares issued under the stock options to JPM 23A SBIC. Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 13:56 UTC | DJ ORTHOPEDICS INC DJO · Entity 14040 | SaleCommon Stock | 78,499 | $23.30 | $1,829,026.70 |
DisclosureSEC source: 0001125282-04-002680 · b332537_ex.xml · nonDerivative · entry 2 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner JP MORGAN PARTNERS DJ PARTNERS LLC · CIK 0001278277 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · ownership.direct: See Exhibit 99.1 Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 13:56 UTC | DJ ORTHOPEDICS INC DJO · Entity 14040 | SaleCommon Stock | 2,993,880 | $23.30 | $69,757,404.00 |
DisclosureSEC source: 0001125282-04-002680 · b332537_ex.xml · nonDerivative · entry 1 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner JP MORGAN PARTNERS DJ PARTNERS LLC · CIK 0001278277 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · ownership.nature: See Exhibit 99.1 F2 · ownership.nature: See Exhibit 99.1 Read SEC document |
| May 25, 2004 Filed May 27, 2004 20:48 UTC | TRITON PCS HOLDINGS INC TPCS · Entity 14048 | GrantClass A Common Stock | 45,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001125282-04-002546 · b332324_ex.xml · nonDerivative · entry 1 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,082,907 F1 · kind: These shares of Class A Common Stock were granted to Arnold L. Chavkin, a director of the Issuer pursuant to a Director Stock Award Agreement by and between Triton PCS Holdings, Inc. and Arnold L. Chavkin dated as of May 25, 2004. The Stock Award vests in three equal annual installments, commencing August 15, 2004. Arnold L. Chavkin is obligated to transfer these shares to the Reporting Person, at the request of the Reporting Person. Read SEC document |
| March 05, 2004 Filed Mar 9, 2004 15:23 UTC | CARRIZO OIL & GAS INC CRZO · Entity 13995 | SaleCommon Stock | 249,938 | $7.00 | $1,749,566.00 |
DisclosureSEC source: 0001125282-04-000921 · b330652_ex.xml · nonDerivative · entry 1 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,515,550 Read SEC document |
| February 24, 2004 Filed Feb 26, 2004 17:35 UTC | DJ ORTHOPEDICS INC DJO · Entity 14040 | SaleCommon Stock | 135,641 | $19.00 | $2,577,179.00 |
DisclosureSEC source: 0001125282-04-000757 · b330475_ex.xml · nonDerivative · entry 2 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner JP MORGAN PARTNERS DJ PARTNERS LLC · CIK 0001278277 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,499 F2 · ownership.direct: See Exhibit 99.2 Read SEC document |
| February 24, 2004 Filed Feb 26, 2004 17:35 UTC | DJ ORTHOPEDICS INC DJO · Entity 14040 | SaleCommon Stock | 5,173,632 | $19.00 | $98,299,008.00 |
DisclosureSEC source: 0001125282-04-000757 · b330475_ex.xml · nonDerivative · entry 1 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner JP MORGAN PARTNERS DJ PARTNERS LLC · CIK 0001278277 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,993,880 F1 · ownership.nature: See Exhibit 99.1 F2 · ownership.nature: See Exhibit 99.2 Read SEC document |
| February 11, 2004 Filed Feb 13, 2004 17:02 UTC | CARRIZO OIL & GAS INC CRZO · Entity 13995 | SaleCommon Stock | 1,144,144 | $7.00 | $8,009,008.00 |
DisclosureSEC source: 0001125282-04-000514 · b330182_ex.xml · nonDerivative · entry 1 JP MORGAN PARTNERS 23A SBIC LP · CIK 0001106535 · 10% owner J P MORGAN PARTNERS 23A SBIC MANAGER INC · CIK 0001243237 · 10% owner JP MORGAN CHASE BANK · CIK 0001208636 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,764,948 F1 · price: The reported securities were sold pursuant to an underwriting agreement, dated as of February 5, 2004 by and among CIBC World Markets, First Albany Capital, Hibernia South Coast Capital, Inc., Johnson Rice & Company, LLC, Carrizo Oil & Gas, Inc. J.P. Morgan Partners (23A SBIC), L.P. (formerly known as J.P. Morgan Partners (23A SBIC), LLC, ("JPM 23A SBIC") and certain other shareholders of Carrizo Oil & Gas, Inc. in connection with a public offering of the Issuer's shares of Common Stock. JPM 23A SBIC sold 1,144,144 shares of the Issuer's Common Stock at a per share price of $7.00 and held an additional 271,637 shares of the Issuer's Common Stock subject to the underwriter's over-allotment option. 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.