Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OLD MARKET CAPITAL CorpNICK · Entity 9599 | Senior VP Branch Operations | April 24, 2018 | April 27, 2018 |
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.
OLD MARKET CAPITAL Corp
Report date April 24, 2018 · Filed April 27, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 56,536 |
Ending reported balance
After 2018-04-24 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-04-24 · Exercise / conversion · Acquired 5,500 · Balance 51,036 Row 2 · 2018-04-24 · Exercise / conversion · Acquired 5,500 · Balance 56,536 |
| Stock Option(right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.77 · Expires 2018-11-06 | Direct | 0 |
Reported balance
After 2018-04-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-04-24 · Exercise / conversion · Acquired 5,500 · Balance 0 F1: The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend. F2: The option vested in five equal installments beginning on November 6, 2008. |
| Stock Option(right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2019-05-05 | Direct | 0 |
Reported balance
After 2018-04-24 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-04-24 · Exercise / conversion · Acquired 5,500 · Balance 0 F1: The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend. F3: The option vested in five equal installments beginning on May 5, 2009. |
| Stock Option(right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.96 · Expires 2021-05-09 | Direct | 1,500 |
Reported balance
Holding disclosure · report date 2018-04-24 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 1,500 F1: The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend. F4: The option vested in five equal installments beginning on May 9, 2011. |
| Stock Option(right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.87 · Expires 2022-05-03 | Direct | 10,000 |
Reported balance
Holding disclosure · report date 2018-04-24 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 10,000 F1: The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend. F5: The option vested in five equal installments beginning on May 3, 2012. |
| Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $14.37 · Expires 2024-06-13 | Direct | 25,000 |
Reported balance
Holding disclosure · report date 2018-04-24 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 25,000 F1: The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend. F6: The option vested in five equal installments beginning on June 13, 2014. |
Filing footnotes · ownership attribution and instrument terms
F1: The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend.
F2: The option vested in five equal installments beginning on November 6, 2008.
F3: The option vested in five equal installments beginning on May 5, 2009.
F4: The option vested in five equal installments beginning on May 9, 2011.
F5: The option vested in five equal installments beginning on May 3, 2012.
F6: The option vested in five equal installments beginning on June 13, 2014.
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 |
|---|---|---|---|---|---|---|
| April 24, 2018 Filed Apr 27, 2018 13:32 UTC | OLD MARKET CAPITAL Corp NICK · Entity 9599 | Exercise / conversionStock Option(right to buy) · Derivative | 5,500 | $0.00 Strike: $1.20 | $0.00 |
DisclosureSEC source: 0001609591-18-000002 · primary_doc.xml · derivative · entry 4 Bates Kevin Dean · CIK 0001609591 · Senior VP Branch Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,500 shares Expires 2019-05-05 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. F1 · derivative.exercise_price: The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend. F3 · derivative.exercise_date: The option vested in five equal installments beginning on May 5, 2009. Read SEC document |
| April 24, 2018 Filed Apr 27, 2018 13:32 UTC | OLD MARKET CAPITAL Corp NICK · Entity 9599 | Exercise / conversionStock Option(right to buy) · Derivative | 5,500 | $0.00 Strike: $0.77 | $0.00 |
DisclosureSEC source: 0001609591-18-000002 · primary_doc.xml · derivative · entry 3 Bates Kevin Dean · CIK 0001609591 · Senior VP Branch Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,500 shares Expires 2018-11-06 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. F1 · derivative.exercise_price: The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend. F2 · derivative.exercise_date: The option vested in five equal installments beginning on November 6, 2008. Read SEC document |
| April 24, 2018 Filed Apr 27, 2018 13:32 UTC | OLD MARKET CAPITAL Corp NICK · Entity 9599 | Exercise / conversionCommon Stock | 5,500 | $1.20 | $6,600.00 |
DisclosureSEC source: 0001609591-18-000002 · primary_doc.xml · nonDerivative · entry 2 Bates Kevin Dean · CIK 0001609591 · Senior VP Branch Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,536 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 |
| April 24, 2018 Filed Apr 27, 2018 13:32 UTC | OLD MARKET CAPITAL Corp NICK · Entity 9599 | Exercise / conversionCommon Stock | 5,500 | $0.77 | $4,249.85 |
DisclosureSEC source: 0001609591-18-000002 · primary_doc.xml · nonDerivative · entry 1 Bates Kevin Dean · CIK 0001609591 · Senior VP Branch Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,036 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 |
| March 19, 2018 Filed Mar 20, 2018 16:59 UTC | OLD MARKET CAPITAL Corp NICK · Entity 9599 | Exercise / conversionStock Option(right to buy) · Derivative | 3,300 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001609591-18-000001 · primary_doc.xml · derivative · entry 2 Bates Kevin Dean · CIK 0001609591 · Senior VP Branch Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,300 shares Expires 2018-03-19 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. F1 · derivative.exercise_price: The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend. F2 · derivative.exercise_date: The option vested in five equal installments beginning on March 19, 2008. Read SEC document |
| March 19, 2018 Filed Mar 20, 2018 16:59 UTC | OLD MARKET CAPITAL Corp NICK · Entity 9599 | Exercise / conversionCommon Stock | 3,300 | $3.60 | $11,880.00 |
DisclosureSEC source: 0001609591-18-000001 · primary_doc.xml · nonDerivative · entry 1 Bates Kevin Dean · CIK 0001609591 · Senior VP Branch Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,536 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 22, 2017 Filed Jul 11, 2017 15:59 UTC | OLD MARKET CAPITAL Corp NICK · Entity 9599 | GrantCommon Stock | 8,344 | $0.00 | $0.00 |
DisclosureSEC source: 0001000045-17-000005 · primary_doc.xml · nonDerivative · entry 1 Bates Kevin Dean · CIK 0001609591 · Director · Senior VP Branch Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,236 Read SEC document |
| May 16, 2017 Filed May 30, 2017 20:21 UTC | OLD MARKET CAPITAL Corp NICK · Entity 9599 | GrantCommon Stock | 2,825 | $0.00 | $0.00 |
DisclosureSEC source: 0001000045-17-000002 · primary_doc.xml · nonDerivative · entry 1 Bates Kevin Dean · CIK 0001609591 · Director · Senior VP Branch Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,892 F1 · kind: The award represents earned, but unvested shares underlying performance units, with the shares vesting on March 31, 2019. 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.