Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LSB INDUSTRIES, INC.LXU · Entity 5122 | Frmr 10% Owner as Mbr of Group | November 03, 2016 | November 03, 2016 |
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.
LSB INDUSTRIES, INC.
Report date November 03, 2016 · Filed November 03, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 74,440 |
Reported balance
After 2016-11-03 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2016-11-03 · Other · Acquired 74,440 · Balance 74,440 F2: These shares are owned of record by the reporting person's irrevocable trust. On November 3, 2016, the reporting person was appointed sole trustee of such trust. As trustee, the reporting person possesses voting and dispositive power of the shares held by the trust, and holds a pecuniary interest in the trust's holdings and transactions. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 14,578 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 14,578 F1: These shares are owned of record by the reporting person's revocable trust, of which the reporting person is settlor and trustee and holds a pecuniary interest in the trust's holdings and transactions, with voting and dispositive power over the securities held in the trust. |
| Common StockSEC Table I · non-derivative | IndirectAs Trustee | 197,596 |
Reported balance
After 2016-11-03 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2016-11-03 · Other · Acquired 197,596 · Balance 197,596 F3: These shares are held by separate trusts established for the benefit of the reporting person's children and grandchildren. On November 3, 2016, the reporting person was appointed sole trustee of such trusts. The amount shown is the aggregate number of shares held in such trusts. No single such trust has more than one beneficiary. As the sole trustee, the reporting person possesses voting and dispositive power of the shares held by such trusts, but holds no pecuniary interest in the shares held by such trusts. |
| Common StockSEC Table I · non-derivative | Direct | 30,000 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 30,000 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 51,433 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 51,433 F4: These shares are owned of record by the reporting person's spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for any purpose, including Section 16 of the Securities Exchange Act of 1934, as amended. |
| Common StockSEC Table I · non-derivative | IndirectBy GFLLC | 665 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 665 F5: Represents the reporting person's percentage interest in the Issuer's securities held by Golsen Family, L.L.C. ("GFLLC"). GFLLC is owned by Jack E. Golsen, executive chairman of the board of the Issuer, through his revocable trust (43.516%) and through another trust (43.516%); his sons, Barry Golsen, through his revocable trust (4.323%); Steven Golsen, through his revocable trust (4.323%); and his daughter, Linda Rappaport, through her revocable trust (4.323%). As sole manager of GFLLC, Jack E. Golsen shares voting and dispositive power with GFLLC over the Issuer securities held by such entity. The reporting person is not a controlling member of GFLLC and does not have or share investment control over the portfolio securities held by GFLLC, and therefore does not have a pecuniary interest in the Issuer's shares held by GFLLC, under Rule 16a-1(a)(2)(iii). |
| Common StockSEC Table I · non-derivative | IndirectBy SBL | 228,820 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 228,820 F6: Represents the reporting person's percentage interest in the Issuer's securities held by SBL, LLC ("SBL"). SBL is owned by GFLLC (49%); Barry Golsen, through his revocable trust (17%); Steven Golsen, through his revocable trust (17%); and Linda Rappaport, through her revocable trust (17%). 200,000 of the shares of Common Stock held by SBL have been pledged as collateral. Voting and dispositive power over the securities held by SBL is shared by SBL with Jack E. Golsen, the sole manager of SBL. The reporting person is not a controlling member of SBL and does not have or share investment control over the portfolio securities held by SBL, and therefore does not have a pecuniary interest in the Issuer's shares held by SBL, under Rule 16a-1(a)(2)(iii). |
| Common StockSEC Table I · non-derivative | IndirectBy GPC | 48,272 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 48,272 F7: Represents the reporting person's percentage interest in the Issuer's securities held by Golsen Petroleum Corporation ("GPC"). GPC is a wholly owned subsidiary of SBL. Voting and dispositive power over the portfolio securities held by GPC is shared by GPC with Jack E. Golsen, who is the sole officer and director of GPC. The reporting person is not a controlling member of GPC and does not have or share investment control over the portfolio securities held by GPC, and therefore does not have a pecuniary interest in the Issuer's shares held by GPC, under Rule 16a-1(a)(2)(iii). |
| Series D PreferredSEC Table II · derivative / convertible security | IndirectBy SBL | 170,000 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 170,000 F8: The Issuer's Series "D" 6% Cumulative, Convertible Class C Preferred Stock is convertible at the option of the holder into the Issuer's common stock at the rate of four shares of Preferred "D" for one share of common stock. Each share is convertible as long as such is outstanding. F6: Represents the reporting person's percentage interest in the Issuer's securities held by SBL, LLC ("SBL"). SBL is owned by GFLLC (49%); Barry Golsen, through his revocable trust (17%); Steven Golsen, through his revocable trust (17%); and Linda Rappaport, through her revocable trust (17%). 200,000 of the shares of Common Stock held by SBL have been pledged as collateral. Voting and dispositive power over the securities held by SBL is shared by SBL with Jack E. Golsen, the sole manager of SBL. The reporting person is not a controlling member of SBL and does not have or share investment control over the portfolio securities held by SBL, and therefore does not have a pecuniary interest in the Issuer's shares held by SBL, under Rule 16a-1(a)(2)(iii). |
| Series B PreferredSEC Table II · derivative / convertible security | IndirectBy SBL | 2,040 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 2,040 F9: Each share of the Issuer's Series "B" 12% Cumulative Preferred Stock is convertible, at the option of the holder into 33.3333 shares of the Issuer's common stock. Each share is convertible as long as such is outstanding. F6: Represents the reporting person's percentage interest in the Issuer's securities held by SBL, LLC ("SBL"). SBL is owned by GFLLC (49%); Barry Golsen, through his revocable trust (17%); Steven Golsen, through his revocable trust (17%); and Linda Rappaport, through her revocable trust (17%). 200,000 of the shares of Common Stock held by SBL have been pledged as collateral. Voting and dispositive power over the securities held by SBL is shared by SBL with Jack E. Golsen, the sole manager of SBL. The reporting person is not a controlling member of SBL and does not have or share investment control over the portfolio securities held by SBL, and therefore does not have a pecuniary interest in the Issuer's shares held by SBL, under Rule 16a-1(a)(2)(iii). |
| Series B PreferredSEC Table II · derivative / convertible security | IndirectBy GPC | 680 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 680 F9: Each share of the Issuer's Series "B" 12% Cumulative Preferred Stock is convertible, at the option of the holder into 33.3333 shares of the Issuer's common stock. Each share is convertible as long as such is outstanding. F7: Represents the reporting person's percentage interest in the Issuer's securities held by Golsen Petroleum Corporation ("GPC"). GPC is a wholly owned subsidiary of SBL. Voting and dispositive power over the portfolio securities held by GPC is shared by GPC with Jack E. Golsen, who is the sole officer and director of GPC. The reporting person is not a controlling member of GPC and does not have or share investment control over the portfolio securities held by GPC, and therefore does not have a pecuniary interest in the Issuer's shares held by GPC, under Rule 16a-1(a)(2)(iii). |
| Series B PreferredSEC Table II · derivative / convertible security | IndirectBy GFLLC | 173 |
Reported balance
Holding disclosure · report date 2016-11-03 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance 173 F9: Each share of the Issuer's Series "B" 12% Cumulative Preferred Stock is convertible, at the option of the holder into 33.3333 shares of the Issuer's common stock. Each share is convertible as long as such is outstanding. F5: Represents the reporting person's percentage interest in the Issuer's securities held by Golsen Family, L.L.C. ("GFLLC"). GFLLC is owned by Jack E. Golsen, executive chairman of the board of the Issuer, through his revocable trust (43.516%) and through another trust (43.516%); his sons, Barry Golsen, through his revocable trust (4.323%); Steven Golsen, through his revocable trust (4.323%); and his daughter, Linda Rappaport, through her revocable trust (4.323%). As sole manager of GFLLC, Jack E. Golsen shares voting and dispositive power with GFLLC over the Issuer securities held by such entity. The reporting person is not a controlling member of GFLLC and does not have or share investment control over the portfolio securities held by GFLLC, and therefore does not have a pecuniary interest in the Issuer's shares held by GFLLC, under Rule 16a-1(a)(2)(iii). |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are owned of record by the reporting person's revocable trust, of which the reporting person is settlor and trustee and holds a pecuniary interest in the trust's holdings and transactions, with voting and dispositive power over the securities held in the trust.
F2: These shares are owned of record by the reporting person's irrevocable trust. On November 3, 2016, the reporting person was appointed sole trustee of such trust. As trustee, the reporting person possesses voting and dispositive power of the shares held by the trust, and holds a pecuniary interest in the trust's holdings and transactions.
F3: These shares are held by separate trusts established for the benefit of the reporting person's children and grandchildren. On November 3, 2016, the reporting person was appointed sole trustee of such trusts. The amount shown is the aggregate number of shares held in such trusts. No single such trust has more than one beneficiary. As the sole trustee, the reporting person possesses voting and dispositive power of the shares held by such trusts, but holds no pecuniary interest in the shares held by such trusts.
F4: These shares are owned of record by the reporting person's spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for any purpose, including Section 16 of the Securities Exchange Act of 1934, as amended.
F5: Represents the reporting person's percentage interest in the Issuer's securities held by Golsen Family, L.L.C. ("GFLLC"). GFLLC is owned by Jack E. Golsen, executive chairman of the board of the Issuer, through his revocable trust (43.516%) and through another trust (43.516%); his sons, Barry Golsen, through his revocable trust (4.323%); Steven Golsen, through his revocable trust (4.323%); and his daughter, Linda Rappaport, through her revocable trust (4.323%). As sole manager of GFLLC, Jack E. Golsen shares voting and dispositive power with GFLLC over the Issuer securities held by such entity. The reporting person is not a controlling member of GFLLC and does not have or share investment control over the portfolio securities held by GFLLC, and therefore does not have a pecuniary interest in the Issuer's shares held by GFLLC, under Rule 16a-1(a)(2)(iii).
F6: Represents the reporting person's percentage interest in the Issuer's securities held by SBL, LLC ("SBL"). SBL is owned by GFLLC (49%); Barry Golsen, through his revocable trust (17%); Steven Golsen, through his revocable trust (17%); and Linda Rappaport, through her revocable trust (17%). 200,000 of the shares of Common Stock held by SBL have been pledged as collateral. Voting and dispositive power over the securities held by SBL is shared by SBL with Jack E. Golsen, the sole manager of SBL. The reporting person is not a controlling member of SBL and does not have or share investment control over the portfolio securities held by SBL, and therefore does not have a pecuniary interest in the Issuer's shares held by SBL, under Rule 16a-1(a)(2)(iii).
F7: Represents the reporting person's percentage interest in the Issuer's securities held by Golsen Petroleum Corporation ("GPC"). GPC is a wholly owned subsidiary of SBL. Voting and dispositive power over the portfolio securities held by GPC is shared by GPC with Jack E. Golsen, who is the sole officer and director of GPC. The reporting person is not a controlling member of GPC and does not have or share investment control over the portfolio securities held by GPC, and therefore does not have a pecuniary interest in the Issuer's shares held by GPC, under Rule 16a-1(a)(2)(iii).
F8: The Issuer's Series "D" 6% Cumulative, Convertible Class C Preferred Stock is convertible at the option of the holder into the Issuer's common stock at the rate of four shares of Preferred "D" for one share of common stock. Each share is convertible as long as such is outstanding.
F9: Each share of the Issuer's Series "B" 12% Cumulative Preferred Stock is convertible, at the option of the holder into 33.3333 shares of the Issuer's common stock. Each share is convertible as long as such is outstanding.
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 |
|---|---|---|---|---|---|---|
| November 03, 2016 Filed Nov 3, 2016 19:56 UTC | LSB INDUSTRIES, INC. LXU · Entity 5122 | OtherCommon Stock | 197,596 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-084723 · doc1.xml · nonDerivative · entry 4 RAPPAPORT LINDA F · CIK 0001005711 · Frmr 10% Owner as Mbr of Group 10b5-1 filing: Not disclosed Ownership: Indirect · As Trustee Disclosed balance after: 197,596 F3 · kind: These shares are held by separate trusts established for the benefit of the reporting person's children and grandchildren. On November 3, 2016, the reporting person was appointed sole trustee of such trusts. The amount shown is the aggregate number of shares held in such trusts. No single such trust has more than one beneficiary. As the sole trustee, the reporting person possesses voting and dispositive power of the shares held by such trusts, but holds no pecuniary interest in the shares held by such trusts. F3 · ownership.nature: These shares are held by separate trusts established for the benefit of the reporting person's children and grandchildren. On November 3, 2016, the reporting person was appointed sole trustee of such trusts. The amount shown is the aggregate number of shares held in such trusts. No single such trust has more than one beneficiary. As the sole trustee, the reporting person possesses voting and dispositive power of the shares held by such trusts, but holds no pecuniary interest in the shares held by such trusts. Read SEC document |
| November 03, 2016 Filed Nov 3, 2016 19:56 UTC | LSB INDUSTRIES, INC. LXU · Entity 5122 | OtherCommon Stock | 74,440 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-084723 · doc1.xml · nonDerivative · entry 3 RAPPAPORT LINDA F · CIK 0001005711 · Frmr 10% Owner as Mbr of Group 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 74,440 F2 · kind: These shares are owned of record by the reporting person's irrevocable trust. On November 3, 2016, the reporting person was appointed sole trustee of such trust. As trustee, the reporting person possesses voting and dispositive power of the shares held by the trust, and holds a pecuniary interest in the trust's holdings and transactions. F2 · ownership.nature: These shares are owned of record by the reporting person's irrevocable trust. On November 3, 2016, the reporting person was appointed sole trustee of such trust. As trustee, the reporting person possesses voting and dispositive power of the shares held by the trust, and holds a pecuniary interest in the trust's holdings and transactions. 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.