Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Atlantic Alliance Partnership Corp.AAPC · Entity 181250 | Director | November 01, 2016 | November 03, 2016 |
| Churchill Capital Corp VCCV · Entity 108880 | Director | December 15, 2020 | December 16, 2020 |
| Churchill Capital Corp VICCVI · Entity 109345 | Director | February 11, 2021 | February 12, 2021 |
| Churchill Capital Corp VIICVII · Entity 88064 | Director | February 11, 2021 | February 12, 2021 |
| Lucid Group, Inc.CCIV · Entity 1530 | Director | July 29, 2020 | July 30, 2020 |
| Neostellar Capital Corp.NSLR · Entity 6085 | Director · Chairman, CEO and President | September 21, 2026 | September 22, 2026 |
| Skillsoft Corp.CCX · Entity 2275 | Director | June 26, 2019 | June 27, 2019 |
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.
Atlantic Alliance Partnership Corp.
Report date November 01, 2016 · Filed November 03, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 344,259 |
Last balance in matching sequence
After 2016-11-01 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2016-11-01 · Other · Acquired 24,825 · Balance 300,474 F1: These shares were issued upon the conversion of loans and advances provided to the issuer by the reporting person. F2: AAP Sponsor (PTC) Corp. ("AAP") is the direct beneficial owner of these securities. Through a trust relationship with AAP, M. Klein & Company, LLC ("MK") has a pecuniary interest in 344,259 ordinary shares of the issuer. The reporting person disclaims any pecuniary interest he may have in the shares held by AAP aside from that arising from his ownership interest in AAP through MK. Row 2 · 2016-11-01 · Other · Acquired 43,785 · Balance 344,259 F1: These shares were issued upon the conversion of loans and advances provided to the issuer by the reporting person. F2: AAP Sponsor (PTC) Corp. ("AAP") is the direct beneficial owner of these securities. Through a trust relationship with AAP, M. Klein & Company, LLC ("MK") has a pecuniary interest in 344,259 ordinary shares of the issuer. The reporting person disclaims any pecuniary interest he may have in the shares held by AAP aside from that arising from his ownership interest in AAP through MK. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were issued upon the conversion of loans and advances provided to the issuer by the reporting person.
F2: AAP Sponsor (PTC) Corp. ("AAP") is the direct beneficial owner of these securities. Through a trust relationship with AAP, M. Klein & Company, LLC ("MK") has a pecuniary interest in 344,259 ordinary shares of the issuer. The reporting person disclaims any pecuniary interest he may have in the shares held by AAP aside from that arising from his ownership interest in AAP through MK.
Churchill Capital Corp V
Report date December 15, 2020 · Filed December 16, 2020
This filing explicitly reported no securities owned.
Churchill Capital Corp VI
Report date February 11, 2021 · Filed February 12, 2021
This filing explicitly reported no securities owned.
Churchill Capital Corp VII
Report date February 11, 2021 · Filed February 12, 2021
This filing explicitly reported no securities owned.
Lucid Group, Inc.
Report date July 29, 2020 · Filed July 30, 2020
This filing explicitly reported no securities owned.
Neostellar Capital Corp.
Report date September 21, 2026 · Filed September 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,763,796 |
Reported balance
After 2026-09-21 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-21 · Purchase · Acquired 5,000 · Balance 1,763,796 F1: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Neostellar Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares purchased at each separate price. F2: This total includes (i) 837,686 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; (ii) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026. On June 15, 2026, in connection with the stockholders' approval of the Company's externalization and the Board's approval of the acceleration of vesting of all unvested restricted shares, such plans were terminated and the Reporting Person entered into a lock-up agreement. Such shares are fully vested but remain subject to transfer restrictions under the lock-up agreement that expire on the dates such shares otherwise would have vested. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Neostellar Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares purchased at each separate price.
F2: This total includes (i) 837,686 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; (ii) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026. On June 15, 2026, in connection with the stockholders' approval of the Company's externalization and the Board's approval of the acceleration of vesting of all unvested restricted shares, such plans were terminated and the Reporting Person entered into a lock-up agreement. Such shares are fully vested but remain subject to transfer restrictions under the lock-up agreement that expire on the dates such shares otherwise would have vested.
Skillsoft Corp.
Report date June 26, 2019 · Filed June 27, 2019
This filing explicitly reported no securities owned.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Claritev Corp
Report date October 06, 2020 · Filed October 08, 2020
Section 16 reporting ended · disclosed 2020-10-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | IndirectSee note | 481,711 |
Last balance in matching sequence
After 2020-10-07 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-10-06 · Purchase · Acquired 220,000 · Balance 220,000 F1: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.098 to $10.48. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1). F3: Mr. Klein has a majority interest in M. Klein & Company, LLC. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein. The Reporting Person disclaims beneficial ownership of any securities of the Issuer except to the extent of the Reporting Person's pecuniary interest therein. Row 2 · 2020-10-07 · Purchase · Acquired 261,711 · Balance 481,711 F2: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.20 to $10.42. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (2). F3: Mr. Klein has a majority interest in M. Klein & Company, LLC. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein. The Reporting Person disclaims beneficial ownership of any securities of the Issuer except to the extent of the Reporting Person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.098 to $10.48. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1).
F2: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.20 to $10.42. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (2).
F3: Mr. Klein has a majority interest in M. Klein & Company, LLC. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein. The Reporting Person disclaims beneficial ownership of any securities of the Issuer except to the extent of the Reporting Person's pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| December 10, 2021 Filed Dec 15, 2021 00:11 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | GrantCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-149649 · tm2135479-1_4seq1.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 689,696 F1 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 10, 2022, 1/3 vests on December 10, 2023 and 1/3 vests on December 10, 2024. F1 · shares: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 10, 2022, 1/3 vests on December 10, 2023 and 1/3 vests on December 10, 2024. F2 · balance_after: This total includes (i) 1,667 shares of the SuRo Capital Corp.'s (the "Company") common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, (ii)(A) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (B) 60,060 shares of the Company's common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedule as such restricted shares, and (iii) 125,000 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 10, 2022, 1/3 vests on December 10, 2023 and 1/3 vests on December 10, 2024. Read SEC document |
| September 30, 2021 Filed Oct 5, 2021 01:17 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | OtherCommon Stock | 57,939 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-122687 · tm2129265d1_4seq1.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 564,696 F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash. F1 · shares: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash. F2 · balance_after: This total includes (i) 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which have dividend rights and vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (iii) 60,060 shares of the Company's common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedule as such restricted shares. Read SEC document |
| August 09, 2021 Filed Aug 9, 2021 20:25 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 6,500 | $15.10 | $98,150.00 |
DisclosureSEC source: 0001104659-21-102159 · tm2124598-1_4seq1.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 506,757 F1 · balance_after: This total includes (i) 1,667 shares of SuRo Capital Corp.'s common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023, and 1/3 vests on February 10, 2024. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 21:02 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | OtherCommon Stock | 49,907 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-088306 · tm2121294d2_4seq1.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,257 F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.50 per share dividend declared by the Board of Directors of the Company on May 4, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash. F1 · shares: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.50 per share dividend declared by the Board of Directors of the Company on May 4, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash. F2 · balance_after: This total includes (i) 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023, and 1/3 vests on February 10, 2024. Such restricted shares have dividend rights, with the cash or stock dividends paid or distributed with respect thereto being fully vested and nonforfeitable upon receipt. Read SEC document |
| May 11, 2021 Filed May 11, 2021 20:34 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 2,950 | $14.34 | $42,303.00 |
DisclosureSEC source: 0001104659-21-064564 · tm2115965d1_4.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,350 F1 · balance_after: This total includes (i) 1,667 shares of SuRo Capital Corp.'s common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 will vest on February 10, 2022, 1/3 will vest on February 10, 2023, and 1/3 will vest on February 10, 2024. Read SEC document |
| May 10, 2021 Filed May 11, 2021 20:34 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 3,788 | $15.02 | $56,895.76 |
DisclosureSEC source: 0001104659-21-064564 · tm2115965d1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 447,400 F1 · balance_after: This total includes (i) 1,667 shares of SuRo Capital Corp.'s common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 will vest on February 10, 2022, 1/3 will vest on February 10, 2023, and 1/3 will vest on February 10, 2024. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 16:32 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | GrantCommon Stock | 154,362 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-021474 · tm216450d2_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443,612 F1 · kind: Restricted shares granted under SuRo Capital Corp.'s (the "Company") Amended and Restated 2019 Equity Incentive Plan. F2 · kind: Such restricted shares will vest as follows: 1/3 will vest on February 10, 2022, 1/3 will vest on February 10, 2023, and 1/3 will vest on February 10, 2024. F3 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. Read SEC document |
| December 03, 2020 Filed Dec 3, 2020 21:11 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 1,000 | $11.58 | $11,580.00 |
DisclosureSEC source: 0001104659-20-132002 · tm2037673-1_4.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,250 F1 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. Read SEC document |
| December 02, 2020 Filed Dec 3, 2020 21:11 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 1,575 | $11.41 | $17,970.75 |
DisclosureSEC source: 0001104659-20-132002 · tm2037673-1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,250 Read SEC document |
| November 18, 2020 Filed Nov 18, 2020 21:08 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 17,109 | $10.57 | $180,842.13 |
DisclosureSEC source: 0001104659-20-126858 · tm2036370d1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,675 F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $10.42 to $10.64 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. Read SEC document |
| November 17, 2020 Filed Nov 17, 2020 23:10 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 24,661 | $10.32 | $254,501.52 |
DisclosureSEC source: 0001104659-20-126457 · tm2036300-1_4.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,566 F2 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $10.20 to $10.38 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 23:10 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 75,000 | $9.81 | $735,750.00 |
DisclosureSEC source: 0001104659-20-126457 · tm2036300-1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,905 F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $9.65 to $9.95 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| November 11, 2020 Filed Nov 12, 2020 13:25 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 2,200 | $9.65 | $21,230.00 |
DisclosureSEC source: 0001104659-20-124006 · tm2035707-1_4.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,905 F1 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 13:25 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 4,750 | $8.96 | $42,560.00 |
DisclosureSEC source: 0001104659-20-124006 · tm2035707-1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,705 Read SEC document |
| October 07, 2020 Filed Oct 8, 2020 22:11 UTC | Claritev Corp CCXX · Entity 5238 | PurchaseClass A common stock | 261,711 | $10.30 | $2,694,759.65 |
DisclosureSEC source: 0001104659-20-113532 · tm2032763d1_form4.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See note Disclosed balance after: 481,711 F2 · shares: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.20 to $10.42. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (2). F2 · price: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.20 to $10.42. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (2). F3 · ownership.nature: Mr. Klein has a majority interest in M. Klein & Company, LLC. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein. The Reporting Person disclaims beneficial ownership of any securities of the Issuer except to the extent of the Reporting Person's pecuniary interest therein. Read SEC document |
| October 06, 2020 Filed Oct 8, 2020 22:11 UTC | Claritev Corp CCXX · Entity 5238 | PurchaseClass A common stock | 220,000 | $10.31 | $2,268,200.00 |
DisclosureSEC source: 0001104659-20-113532 · tm2032763d1_form4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See note Disclosed balance after: 220,000 F1 · shares: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.098 to $10.48. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1). F1 · price: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.098 to $10.48. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1). F3 · ownership.nature: Mr. Klein has a majority interest in M. Klein & Company, LLC. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein. The Reporting Person disclaims beneficial ownership of any securities of the Issuer except to the extent of the Reporting Person's pecuniary interest therein. Read SEC document |
| May 14, 2020 Filed May 14, 2020 22:15 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 1,940 | $6.05 | $11,737.00 |
DisclosureSEC source: 0001104659-20-061751 · tm2019842-1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,955 F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $6.02 to $6.05 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Sutter Rock Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of ares purchased at each separate price within the range set forth in this footnote. F2 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. Read SEC document |
| May 13, 2020 Filed May 13, 2020 22:10 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 8,500 | $6.11 | $51,935.00 |
DisclosureSEC source: 0001104659-20-060982 · tm2019644d1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,015 F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $6.06 to $6.16 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Sutter Rock Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. Read SEC document |
| April 28, 2020 Filed Apr 30, 2020 21:24 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | OtherEmployee Stock Option (right to buy) · Derivative | 950,000 | $0.00 Strike: $6.57 | $0.00 |
DisclosureSEC source: 0001104659-20-054592 · tm2018266d1_4.xml · derivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 950,000 shares Expires 2029-07-17 F1 · kind: The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended. F1 · price: The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: The stock options granted vest as follows: 1/3 vested on July 17, 2019, 1/3 would have vested on July 17, 2020, and 1/3 would have vested on July 17, 2021. Read SEC document |
| January 09, 2020 Filed Jan 9, 2020 21:41 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 13,423 | $6.79 | $91,142.17 |
DisclosureSEC source: 0001104659-20-002700 · tm201737d1_4.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,515 F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.78 to $6.80, inclusive. The reporting person undertakes to provide to Sutter Rock Capital Corp., any security holder of Sutter Rock Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| January 08, 2020 Filed Jan 9, 2020 21:41 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 5,085 | $6.65 | $33,815.25 |
DisclosureSEC source: 0001104659-20-002700 · tm201737d1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,092 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.63 to $6.65, inclusive. The reporting person undertakes to provide to Sutter Rock Capital Corp., any security holder of Sutter Rock Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 21:24 UTC | Neostellar Capital Corp. GSVC · Entity 6085 | GrantEmployee Stock Option (right to buy) · Derivative | 950,000 | $0.00 Strike: $6.57 | $0.00 |
DisclosureSEC source: 0001144204-19-035236 · tv525487_4.xml · derivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 950,000 Underlying: Common Stock · 950,000 shares Expires 2029-07-17 F1 · derivative.exercise_date: The stock option grant vests as follows: 1/3 vested on July 17, 2019, 1/3 will vest on July 17, 2020, and 1/3 will vest on July 17, 2021. Read SEC document |
| June 17, 2019 Filed Jun 17, 2019 21:43 UTC | Neostellar Capital Corp. GSVC · Entity 6085 | PurchaseCommon Stock | 5,000 | $6.68 | $33,400.00 |
DisclosureSEC source: 0001144204-19-031214 · tv523714_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,007 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.66 to $6.72, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 11, 2019 Filed Jun 11, 2019 21:50 UTC | Neostellar Capital Corp. GSVC · Entity 6085 | PurchaseCommon Stock | 9,007 | $6.40 | $57,644.80 |
DisclosureSEC source: 0001144204-19-030607 · tv523436_4.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,007 F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.39 to $6.40, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 10, 2019 Filed Jun 11, 2019 21:50 UTC | Neostellar Capital Corp. GSVC · Entity 6085 | PurchaseCommon Stock | 20,993 | $6.46 | $135,614.78 |
DisclosureSEC source: 0001144204-19-030607 · tv523436_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.38 to $6.53, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| September 27, 2017 Filed Sep 28, 2017 20:24 UTC | Neostellar Capital Corp. GSVC · Entity 6085 | PurchaseCommon Stock | 10,000 | $5.02 | $50,212.00 |
DisclosureSEC source: 0001144204-17-050398 · v476022_form4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,340 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 22, 2017. F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $4.98 to $5.05 per share, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| September 20, 2017 Filed Sep 21, 2017 20:20 UTC | Neostellar Capital Corp. GSVC · Entity 6085 | PurchaseCommon Stock | 10,000 | $5.36 | $53,579.00 |
DisclosureSEC source: 0001144204-17-049083 · v475567_form4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,340 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 22, 2017. F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $5.32 to $5.41 per share, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| September 13, 2017 Filed Sep 14, 2017 20:40 UTC | Neostellar Capital Corp. GSVC · Entity 6085 | PurchaseCommon Stock | 10,000 | $5.11 | $51,132.00 |
DisclosureSEC source: 0001144204-17-048066 · v475153_form4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,340 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 22, 2017. F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $5.07 to $5.17 per share, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| September 06, 2017 Filed Sep 7, 2017 20:05 UTC | Neostellar Capital Corp. GSVC · Entity 6085 | PurchaseCommon Stock | 10,000 | $4.92 | $49,176.00 |
DisclosureSEC source: 0001144204-17-047038 · v474737_form4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,340 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 22, 2017. F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $4.84 to $4.95 per share, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| August 30, 2017 Filed Aug 31, 2017 20:12 UTC | Neostellar Capital Corp. GSVC · Entity 6085 | PurchaseCommon Stock | 10,000 | $4.64 | $46,394.00 |
DisclosureSEC source: 0001144204-17-046178 · v474420_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,340 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 22, 2017. F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $4.62 to $4.69 per share, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 21:56 UTC | Atlantic Alliance Partnership Corp. AAPC · Entity 181250 | OtherOrdinary Shares | 43,785 | $10.50 | $459,742.50 |
DisclosureSEC source: 0001213900-16-017947 · f4110116klien_atlantic.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 344,259 F1 · kind: These shares were issued upon the conversion of loans and advances provided to the issuer by the reporting person. F2 · ownership.nature: AAP Sponsor (PTC) Corp. ("AAP") is the direct beneficial owner of these securities. Through a trust relationship with AAP, M. Klein & Company, LLC ("MK") has a pecuniary interest in 344,259 ordinary shares of the issuer. The reporting person disclaims any pecuniary interest he may have in the shares held by AAP aside from that arising from his ownership interest in AAP through MK. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 21:56 UTC | Atlantic Alliance Partnership Corp. AAPC · Entity 181250 | OtherOrdinary Shares | 24,825 | $10.00 | $248,250.00 |
DisclosureSEC source: 0001213900-16-017947 · f4110116klien_atlantic.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 300,474 F1 · kind: These shares were issued upon the conversion of loans and advances provided to the issuer by the reporting person. F2 · ownership.nature: AAP Sponsor (PTC) Corp. ("AAP") is the direct beneficial owner of these securities. Through a trust relationship with AAP, M. Klein & Company, LLC ("MK") has a pecuniary interest in 344,259 ordinary shares of the issuer. The reporting person disclaims any pecuniary interest he may have in the shares held by AAP aside from that arising from his ownership interest in AAP through MK. 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.