Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AKUMIN INC.AKU · Entity 94621 | 10% owner | July 21, 2022 | July 22, 2022 |
| SouthState Bank CorpSSB · Entity 3523 | Director | May 01, 2026 | May 04, 2026 |
| USD Partners LPUSDP · Entity 93812 | Director · SEE REMARKS | February 16, 2024 | February 21, 2024 |
| WhiteHorse Finance, Inc.WHF · Entity 6515 | Director | March 04, 2020 | March 06, 2020 |
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.
AKUMIN INC.
Report date July 21, 2022 · Filed July 22, 2022
Jointly reported with SCW Capital Management, LP, SCW Capital, LP, SCW Capital QP, LP, SCW Single-Asset Partnership, LP, SCW Single-Asset Partnership QP, LP, Trinity Investment Group, LLC, Cathey Robert N., Wagner John R.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2022-07-21 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2022-07-21 · Sale · Disposed 3,065,257 · Balance 0 F1: Represents a cross-trade between SCW Capital, LP ("SCW Capital"), SCW Capital QP, LP ("SCW Capital QP") and SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), in which SCW Single-Asset Partnership QP disposed of and each of SCW Capital and SCW Capital QP acquired common shares of Akumin Inc. (the "Issuer"). The reported transactions occurred simultaneously at no profit to the reporting persons and resulted in no change in the aggregate beneficial ownership of the reporting persons that may be exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rule 16a-13 thereunder. As a result of the foregoing transaction, SCW Single-Asset Partnership QP will no longer be a reporting person. F2: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F6: SCW Single-Asset Partnership QP, LP is the record and direct beneficial owner of these securities of the Issuer. |
| Common SharesSEC Table I · non-derivative | IndirectSee Footnotes | 6,231,315 |
Reported balance
After 2022-07-21 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2022-07-21 · Purchase · Acquired 1,931,112 · Balance 6,231,315 F1: Represents a cross-trade between SCW Capital, LP ("SCW Capital"), SCW Capital QP, LP ("SCW Capital QP") and SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), in which SCW Single-Asset Partnership QP disposed of and each of SCW Capital and SCW Capital QP acquired common shares of Akumin Inc. (the "Issuer"). The reported transactions occurred simultaneously at no profit to the reporting persons and resulted in no change in the aggregate beneficial ownership of the reporting persons that may be exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rule 16a-13 thereunder. As a result of the foregoing transaction, SCW Single-Asset Partnership QP will no longer be a reporting person. F2: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F7: SCW Capital, LP is the record and direct beneficial owner of these securities of the Issuer. |
| Common SharesSEC Table I · non-derivative | IndirectSee Footnotes | 3,167,742 |
Reported balance
After 2022-07-21 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2022-07-21 · Purchase · Acquired 1,134,145 · Balance 3,167,742 F1: Represents a cross-trade between SCW Capital, LP ("SCW Capital"), SCW Capital QP, LP ("SCW Capital QP") and SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), in which SCW Single-Asset Partnership QP disposed of and each of SCW Capital and SCW Capital QP acquired common shares of Akumin Inc. (the "Issuer"). The reported transactions occurred simultaneously at no profit to the reporting persons and resulted in no change in the aggregate beneficial ownership of the reporting persons that may be exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rule 16a-13 thereunder. As a result of the foregoing transaction, SCW Single-Asset Partnership QP will no longer be a reporting person. F2: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F8: SCW Capital QP, LP is the record and direct beneficial owner of these securities of the Issuer. |
| Common SharesSEC Table I · non-derivative | IndirectSee Footnotes | 2,000,547 |
Reported balance
Holding disclosure · report date 2022-07-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 2,000,547 F2: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F9: SCW Single-Asset Partnership, LP is the record and direct beneficial owner of these securities of the Issuer. |
| Common SharesSEC Table I · non-derivative | IndirectSee Footnotes | 60,000 |
Reported balance
Holding disclosure · report date 2022-07-21 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 60,000 F2: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F10: Robert N. Cathey is the record and direct beneficial owner of these securities of the Issuer. |
| Common SharesSEC Table I · non-derivative | IndirectSee Footnotes | 110,000 |
Reported balance
Holding disclosure · report date 2022-07-21 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 110,000 F2: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F11: John R. Wagner is the record and direct beneficial owner of these securities of the Issuer. |
| Common SharesSEC Table I · non-derivative | IndirectSee Footnotes | 33,309 |
Reported balance
Holding disclosure · report date 2022-07-21 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 33,309 F2: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F12: G. Stacy Smith is the record and direct beneficial owner of these securities of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a cross-trade between SCW Capital, LP ("SCW Capital"), SCW Capital QP, LP ("SCW Capital QP") and SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), in which SCW Single-Asset Partnership QP disposed of and each of SCW Capital and SCW Capital QP acquired common shares of Akumin Inc. (the "Issuer"). The reported transactions occurred simultaneously at no profit to the reporting persons and resulted in no change in the aggregate beneficial ownership of the reporting persons that may be exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rule 16a-13 thereunder. As a result of the foregoing transaction, SCW Single-Asset Partnership QP will no longer be a reporting person.
F2: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement.
F3: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity.
F4: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
F5: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer.
F6: SCW Single-Asset Partnership QP, LP is the record and direct beneficial owner of these securities of the Issuer.
F7: SCW Capital, LP is the record and direct beneficial owner of these securities of the Issuer.
F8: SCW Capital QP, LP is the record and direct beneficial owner of these securities of the Issuer.
F9: SCW Single-Asset Partnership, LP is the record and direct beneficial owner of these securities of the Issuer.
F10: Robert N. Cathey is the record and direct beneficial owner of these securities of the Issuer.
F11: John R. Wagner is the record and direct beneficial owner of these securities of the Issuer.
F12: G. Stacy Smith is the record and direct beneficial owner of these securities of the Issuer.
SouthState Bank Corp
Report date May 01, 2026 · Filed May 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Share UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $97.48 · Expires 2026-11-01 | Direct | 1,050 |
Reported balance
After 2026-05-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-01 · Grant · Acquired 1,050 · Balance 1,050 F1: Number of common shares issued pursuant to the time vested Restricted Share Units ("RSUs") granted on 5/1/2026 as part of the stock component of the annual director fees. These RSUs cliff vested on 11/1/2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Number of common shares issued pursuant to the time vested Restricted Share Units ("RSUs") granted on 5/1/2026 as part of the stock component of the annual director fees. These RSUs cliff vested on 11/1/2026.
USD Partners LP
Report date February 16, 2024 · Filed February 21, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON UNITS (LIMITED PARTNER INTERESTS)SEC Table I · non-derivative | Direct | 142,829 |
Reported balance
After 2024-02-16 transaction · row 1
1 source rowRow 1 · 2024-02-16 · Sale · Disposed 13,136 · Balance 142,829 F1: Each phantom unit represents the economic equivalent of one common unit. This report relates to a settlement of vested phantom units for cash. |
Filing footnotes · ownership attribution and instrument terms
F1: Each phantom unit represents the economic equivalent of one common unit. This report relates to a settlement of vested phantom units for cash.
WhiteHorse Finance, Inc.
Report date March 04, 2020 · Filed March 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | Direct | 3,700 |
Reported balance
After 2020-03-04 transaction · row 1
1 source rowRow 1 · 2020-03-04 · Purchase · Acquired 3,700 · Balance 3,700 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Independent Bank Group, Inc.
Report date January 01, 2025 · Filed January 03, 2025
Section 16 reporting ended · disclosed 2025-01-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-01-01 transaction · row 1
1 source rowRow 1 · 2025-01-01 · Disposition to issuer · Disposed 56,131 · Balance 0 F1: Pursuant to the Merger Agreement, each share of Independent Common Stock issued and outstanding immediately prior to the effective time of the Merger was converted into the right to receive 0.60 shares of common stock, par value $2.50 per share, of SouthState (SouthState Common Stock). Shares reported include restricted stock awards. Pursuant to the Merger Agreement, each outstanding restricted stock award was fully vested, cancelled and converted into the right to receive SouthState Common Stock equal to the product (rounded to the nearest whole number) of (i) the number of Independent Common Stock subject to such restricted stock award immediately prior to the effective time of the Merger multiplied by (ii) 0.60. On December 31, 2024 (the day prior to the Merger), the closing price of one share of SouthState Common stock was $99.48. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Merger Agreement, each share of Independent Common Stock issued and outstanding immediately prior to the effective time of the Merger was converted into the right to receive 0.60 shares of common stock, par value $2.50 per share, of SouthState (SouthState Common Stock). Shares reported include restricted stock awards. Pursuant to the Merger Agreement, each outstanding restricted stock award was fully vested, cancelled and converted into the right to receive SouthState Common Stock equal to the product (rounded to the nearest whole number) of (i) the number of Independent Common Stock subject to such restricted stock award immediately prior to the effective time of the Merger multiplied by (ii) 0.60. On December 31, 2024 (the day prior to the Merger), the closing price of one share of SouthState Common stock was $99.48.
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 |
|---|---|---|---|---|---|---|
| May 01, 2026 Filed May 4, 2026 21:06 UTC | SouthState Bank Corp SSB · Entity 3523 | GrantRestricted Share Units · Derivative | 1,050 | $97.48 Strike: $97.48 | $102,354.00 |
DisclosureSEC source: 0001056313-26-000001 · primarydocument.xml · derivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,050 Underlying: Common Stock · 1,050 shares Expires 2026-11-01 F1 · derivative.exercise_date: Number of common shares issued pursuant to the time vested Restricted Share Units ("RSUs") granted on 5/1/2026 as part of the stock component of the annual director fees. These RSUs cliff vested on 11/1/2026. Read SEC document |
| November 01, 2025 Filed Nov 3, 2025 21:44 UTC | SouthState Bank Corp SSB · Entity 3523 | Exercise / conversionCommon Stock | 1,136 | $0.00 | $0.00 |
DisclosureSEC source: 0001056313-25-000003 · primarydocument.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,682 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 · kind: Number of common shares issued pursuant to the time vested Restricted Share Units ("RSUs") granted on 5/1/2025 as part of the stock component of the annual director fees. These RSUs cliff vested on 11/1/25. Read SEC document |
| August 01, 2025 Filed Aug 4, 2025 14:55 UTC | SouthState Bank Corp SSB · Entity 3523 | PurchaseCommon Stock | 2,500 | $92.30 | $230,750.00 |
DisclosureSEC source: 0001562180-25-005610 · primarydocument.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,546 Read SEC document |
| July 22, 2025 Filed Jul 23, 2025 17:12 UTC | SouthState Bank Corp SSB · Entity 3523 | Exercise / conversionCommon Stock | 267 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-25-005493 · primarydocument.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,046 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 · kind: Number of time vested Restricted Share Units ("RSU") granted on 1/22/2025 as part of the stock component of the annual director fees (prorated). The RSU cliff vested on 7/22/2025. Read SEC document |
| May 01, 2025 Filed May 2, 2025 20:32 UTC | SouthState Bank Corp SSB · Entity 3523 | GrantRestricted Share Units · Derivative | 1,136 | $87.65 Strike: $87.65 | $99,570.40 |
DisclosureSEC source: 0001562180-25-003495 · primarydocument.xml · derivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,403 Underlying: Common Stock · 1,136 shares Expires 2025-11-01 F1 · derivative.exercise_date: Number of common shares issued pursuant to the time vested Restricted Share Units ("RSUs") granted on 5/1/2025 as part of the stock component of the annual director fees. These RSUs cliff vested on 11/1/25. Read SEC document |
| March 06, 2025 Filed Mar 6, 2025 21:49 UTC | SouthState Bank Corp SSB · Entity 3523 | PurchaseCommon Stock | 3,100 | $93.60 | $290,160.00 |
DisclosureSEC source: 0001562180-25-002167 · primarydocument.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,779 Read SEC document |
| January 22, 2025 Filed Jan 23, 2025 22:01 UTC | SouthState Bank Corp SSB · Entity 3523 | GrantRestricted Share Units · Derivative | 267 | $99.47 Strike: $99.47 | $26,558.49 |
DisclosureSEC source: 0001562180-25-000488 · primarydocument.xml · derivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 267 Underlying: Common Stock · 267 shares Expires 2025-07-22 F1 · security: Number of time vested Restricted Share Units ("RSU") granted on 1/22/2025 as part of the stock component of the annual director fees (prorated). The units will cliff vest 6 months from the grant date. F1 · derivative.exercise_date: Number of time vested Restricted Share Units ("RSU") granted on 1/22/2025 as part of the stock component of the annual director fees (prorated). The units will cliff vest 6 months from the grant date. Read SEC document |
| January 01, 2025 Filed Jan 3, 2025 16:09 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | Disposition to issuerCommon Stock | 56,131 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001564618-25-000018 · wk-form4_1735920534.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to the Merger Agreement, each share of Independent Common Stock issued and outstanding immediately prior to the effective time of the Merger was converted into the right to receive 0.60 shares of common stock, par value $2.50 per share, of SouthState (SouthState Common Stock). Shares reported include restricted stock awards. Pursuant to the Merger Agreement, each outstanding restricted stock award was fully vested, cancelled and converted into the right to receive SouthState Common Stock equal to the product (rounded to the nearest whole number) of (i) the number of Independent Common Stock subject to such restricted stock award immediately prior to the effective time of the Merger multiplied by (ii) 0.60. On December 31, 2024 (the day prior to the Merger), the closing price of one share of SouthState Common stock was $99.48. Read SEC document |
| July 01, 2024 Filed Jul 3, 2024 23:41 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | GrantCommon Stock | 1,548 | $0.00 | $0.00 |
DisclosureSEC source: 0001564618-24-000104 · wk-form4_1720050102.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,131 F1 · price: The reporting person acquired the shares pursuant to a grant under the Issuer's 2022 Equity Incentive Plan. Such shares vest one year from the anniversary of the date of grant, subject to forfeiture upon the occurrence of certain events specified in the agreement underlying such grant. Read SEC document |
| February 16, 2024 Filed Feb 21, 2024 21:32 UTC | USD Partners LP USDP · Entity 93812 | SaleCOMMON UNITS (LIMITED PARTNER INTERESTS) | 13,136 | $0.22 | $2,889.92 |
DisclosureSEC source: 0001610682-24-000015 · wk-form4_1708551109.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director · SEE REMARKS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 142,829 F1 · shares: Each phantom unit represents the economic equivalent of one common unit. This report relates to a settlement of vested phantom units for cash. Read SEC document |
| July 01, 2023 Filed Jul 5, 2023 20:10 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | GrantCommon Stock | 1,738 | $0.00 | $0.00 |
DisclosureSEC source: 0001564618-23-000110 · wk-form4_1688587812.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,583 F1 · price: The reporting person acquired the shares pursuant to a grant under the Issuer's 2022 Equity Incentive Plan. Such shares vest one year from the anniversary of the date of grant, subject to forfeiture upon the occurrence of certain events specified in the agreement underlying such grant. Read SEC document |
| February 16, 2023 Filed Feb 21, 2023 21:20 UTC | USD Partners LP USDP · Entity 93812 | GrantCOMMON UNITS (LIMITED PARTNER INTERESTS) | 13,136 | $0.00 | $0.00 |
DisclosureSEC source: 0001610682-23-000016 · wf-form4_167701440964185.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,965 F1 · security: Represents the grant of phantom units. Each phantom unit is the economic equivalent of one common unit of USDP. The phantom units vest on the one-year anniversary of the grant date. F1 · shares: Represents the grant of phantom units. Each phantom unit is the economic equivalent of one common unit of USDP. The phantom units vest on the one-year anniversary of the grant date. F2 · balance_after: Includes 13,136 phantom units. Read SEC document |
| July 21, 2022 Filed Jul 22, 2022 23:25 UTC | AKUMIN INC. AKU · Entity 94621 | PurchaseCommon Shares | 1,134,145 | $0.52 | $589,755.40 |
DisclosureSEC source: 0000899243-22-026606 · doc4.xml · nonDerivative · entry 3 SCW Capital Management, LP · CIK 0001738045 · 10% owner SCW Capital, LP · CIK 0001638046 · 10% owner SCW Capital QP, LP · CIK 0001738855 · 10% owner SCW Single-Asset Partnership, LP · CIK 0001820813 · 10% owner SCW Single-Asset Partnership QP, LP · CIK 0001823555 · 10% owner Trinity Investment Group, LLC · CIK 0001902856 · 10% owner Cathey Robert N. · CIK 0001902816 · 10% owner SMITH G STACY · CIK 0001056313 · 10% owner Wagner John R. · CIK 0001903982 · 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: 3,167,742 F1 · shares: Represents a cross-trade between SCW Capital, LP ("SCW Capital"), SCW Capital QP, LP ("SCW Capital QP") and SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), in which SCW Single-Asset Partnership QP disposed of and each of SCW Capital and SCW Capital QP acquired common shares of Akumin Inc. (the "Issuer"). The reported transactions occurred simultaneously at no profit to the reporting persons and resulted in no change in the aggregate beneficial ownership of the reporting persons that may be exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rule 16a-13 thereunder. As a result of the foregoing transaction, SCW Single-Asset Partnership QP will no longer be a reporting person. F2 · ownership.nature: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3 · ownership.nature: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4 · ownership.nature: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F8 · ownership.nature: SCW Capital QP, LP is the record and direct beneficial owner of these securities of the Issuer. Read SEC document |
| July 21, 2022 Filed Jul 22, 2022 23:25 UTC | AKUMIN INC. AKU · Entity 94621 | PurchaseCommon Shares | 1,931,112 | $0.52 | $1,004,178.24 |
DisclosureSEC source: 0000899243-22-026606 · doc4.xml · nonDerivative · entry 2 SCW Capital Management, LP · CIK 0001738045 · 10% owner SCW Capital, LP · CIK 0001638046 · 10% owner SCW Capital QP, LP · CIK 0001738855 · 10% owner SCW Single-Asset Partnership, LP · CIK 0001820813 · 10% owner SCW Single-Asset Partnership QP, LP · CIK 0001823555 · 10% owner Trinity Investment Group, LLC · CIK 0001902856 · 10% owner Cathey Robert N. · CIK 0001902816 · 10% owner SMITH G STACY · CIK 0001056313 · 10% owner Wagner John R. · CIK 0001903982 · 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: 6,231,315 F1 · shares: Represents a cross-trade between SCW Capital, LP ("SCW Capital"), SCW Capital QP, LP ("SCW Capital QP") and SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), in which SCW Single-Asset Partnership QP disposed of and each of SCW Capital and SCW Capital QP acquired common shares of Akumin Inc. (the "Issuer"). The reported transactions occurred simultaneously at no profit to the reporting persons and resulted in no change in the aggregate beneficial ownership of the reporting persons that may be exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rule 16a-13 thereunder. As a result of the foregoing transaction, SCW Single-Asset Partnership QP will no longer be a reporting person. F2 · ownership.nature: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3 · ownership.nature: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4 · ownership.nature: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F7 · ownership.nature: SCW Capital, LP is the record and direct beneficial owner of these securities of the Issuer. Read SEC document |
| July 21, 2022 Filed Jul 22, 2022 23:25 UTC | AKUMIN INC. AKU · Entity 94621 | SaleCommon Shares | 3,065,257 | $0.52 | $1,593,933.64 |
DisclosureSEC source: 0000899243-22-026606 · doc4.xml · nonDerivative · entry 1 SCW Capital Management, LP · CIK 0001738045 · 10% owner SCW Capital, LP · CIK 0001638046 · 10% owner SCW Capital QP, LP · CIK 0001738855 · 10% owner SCW Single-Asset Partnership, LP · CIK 0001820813 · 10% owner SCW Single-Asset Partnership QP, LP · CIK 0001823555 · 10% owner Trinity Investment Group, LLC · CIK 0001902856 · 10% owner Cathey Robert N. · CIK 0001902816 · 10% owner SMITH G STACY · CIK 0001056313 · 10% owner Wagner John R. · CIK 0001903982 · 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 · shares: Represents a cross-trade between SCW Capital, LP ("SCW Capital"), SCW Capital QP, LP ("SCW Capital QP") and SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), in which SCW Single-Asset Partnership QP disposed of and each of SCW Capital and SCW Capital QP acquired common shares of Akumin Inc. (the "Issuer"). The reported transactions occurred simultaneously at no profit to the reporting persons and resulted in no change in the aggregate beneficial ownership of the reporting persons that may be exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rule 16a-13 thereunder. As a result of the foregoing transaction, SCW Single-Asset Partnership QP will no longer be a reporting person. F2 · ownership.nature: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership QP, SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3 · ownership.nature: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4 · ownership.nature: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F6 · ownership.nature: SCW Single-Asset Partnership QP, LP is the record and direct beneficial owner of these securities of the Issuer. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 17:08 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | GrantCommon Stock | 874 | $0.00 | $0.00 |
DisclosureSEC source: 0001564618-22-000097 · wf-form4_165712729945767.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,845 F1 · price: The reporting person acquired the shares pursuant to a grant under the Issuer's 2022 Equity Incentive Plan. Such shares vest on the one year anniversary of the date of grant, subject to forfeiture upon the occurrence of certain events specified in the agreement underlying such grant. Read SEC document |
| February 16, 2022 Filed Feb 18, 2022 21:37 UTC | USD Partners LP USDP · Entity 93812 | GrantCOMMON UNITS (LIMITED PARTNER INTERESTS) | 13,136 | $0.00 | $0.00 |
DisclosureSEC source: 0001610682-22-000014 · wf-form4_164522017414991.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,829 F1 · security: Represents the grant of phantom units. Each phantom unit is the economic equivalent of one common unit of USDP. The phantom units vest on the one-year anniversary of the grant date. F1 · shares: Represents the grant of phantom units. Each phantom unit is the economic equivalent of one common unit of USDP. The phantom units vest on the one-year anniversary of the grant date. F2 · balance_after: Includes 13,136 phantom units. Read SEC document |
| January 28, 2022 Filed Jan 29, 2022 01:17 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | SaleCommon Stock | 759 | $75.01 | $56,935.63 |
DisclosureSEC source: 0001564618-22-000028 · wf-form4_164341900344156.xml · nonDerivative · entry 4 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,971 F4 · price: Reflects the weighted average sales price for the reported transactions. The shares were sold in multiple transactions at prices ranging from $74.92 to $75.16, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares sold at each separate price within the range specified. Read SEC document |
| January 28, 2022 Filed Jan 29, 2022 01:17 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | SaleCommon Stock | 9,241 | $74.32 | $686,791.12 |
DisclosureSEC source: 0001564618-22-000028 · wf-form4_164341900344156.xml · nonDerivative · entry 3 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,730 F3 · price: Reflects the weighted average sales price for the reported transactions. The shares were sold in multiple transactions at prices ranging from $73.90 to $74.90, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares sold at each separate price within the range specified. Read SEC document |
| January 27, 2022 Filed Jan 29, 2022 01:17 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | SaleCommon Stock | 2,002 | $77.23 | $154,610.46 |
DisclosureSEC source: 0001564618-22-000028 · wf-form4_164341900344156.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,971 F2 · price: Reflects the weighted average sales price for the reported transactions. The shares were sold in multiple transactions at prices ranging from $76.75 to $77.50, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares sold at each separate price within the range specified. Read SEC document |
| January 27, 2022 Filed Jan 29, 2022 01:17 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | SaleCommon Stock | 6,998 | $75.30 | $526,921.41 |
DisclosureSEC source: 0001564618-22-000028 · wf-form4_164341900344156.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,973 F1 · price: Reflects the weighted average sales price for the reported transactions. The shares were sold in multiple transactions at prices ranging from $75.00 to $76.00, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares sold at each separate price within the range specified. Read SEC document |
| January 07, 2022 Filed Jan 11, 2022 21:30 UTC | AKUMIN INC. AKU · Entity 94621 | PurchaseCommon Shares | 75,000 | $1.66 | $124,500.00 |
DisclosureSEC source: 0000899243-22-001583 · doc4.xml · nonDerivative · entry 2 SCW Capital Management, LP · CIK 0001738045 · 10% owner SCW Capital, LP · CIK 0001638046 · 10% owner SCW Capital QP, LP · CIK 0001738855 · 10% owner SCW Single-Asset Partnership, LP · CIK 0001820813 · 10% owner SCW Single-Asset Partnership QP, LP · CIK 0001823555 · 10% owner Trinity Investment Group, LLC · CIK 0001902856 · 10% owner Cathey Robert N. · CIK 0001902816 · 10% owner SMITH G STACY · CIK 0001056313 · 10% owner Wagner John R. · CIK 0001903982 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footones Disclosed balance after: 4,430,203 F1 · shares: Represents a cross-trade between SCW Capital, LP ("SCW Capital") and SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), in which SCW Single-Asset Partnership disposed of and SCW Capital acquired common shares of Akumin Inc. (the "Issuer"). The reported transactions occurred simultaneously at no profit to the reporting persons and resulted in no change in the aggregate beneficial ownership of the reporting persons that may be exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rule 16a-13 thereunder. F2 · ownership.nature: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, LP ("SCW Capital QP"), SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3 · ownership.nature: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4 · ownership.nature: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F7 · ownership.nature: SCW Capital, LP is the record and direct beneficial owner of these securities of the Issuer. Read SEC document |
| January 07, 2022 Filed Jan 11, 2022 21:30 UTC | AKUMIN INC. AKU · Entity 94621 | SaleCommon Shares | 75,000 | $1.66 | $124,500.00 |
DisclosureSEC source: 0000899243-22-001583 · doc4.xml · nonDerivative · entry 1 SCW Capital Management, LP · CIK 0001738045 · 10% owner SCW Capital, LP · CIK 0001638046 · 10% owner SCW Capital QP, LP · CIK 0001738855 · 10% owner SCW Single-Asset Partnership, LP · CIK 0001820813 · 10% owner SCW Single-Asset Partnership QP, LP · CIK 0001823555 · 10% owner Trinity Investment Group, LLC · CIK 0001902856 · 10% owner Cathey Robert N. · CIK 0001902816 · 10% owner SMITH G STACY · CIK 0001056313 · 10% owner Wagner John R. · CIK 0001903982 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footones Disclosed balance after: 2,020,851 F1 · shares: Represents a cross-trade between SCW Capital, LP ("SCW Capital") and SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), in which SCW Single-Asset Partnership disposed of and SCW Capital acquired common shares of Akumin Inc. (the "Issuer"). The reported transactions occurred simultaneously at no profit to the reporting persons and resulted in no change in the aggregate beneficial ownership of the reporting persons that may be exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rule 16a-13 thereunder. F2 · ownership.nature: This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, LP ("SCW Capital QP"), SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), Trinity Investment Group, LLC ("Trinity"), SCW Capital Management, LP ("SCW Capital Management"), Robert N. Cathey, John R. Wagner, and G. Stacy Smith. SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, Mr. Cathey, Mr. Wagner, and Mr. Smith are the direct beneficial owners of the securities covered by this statement. F3 · ownership.nature: SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. Mr. Cathey, Mr. Wagner, and Mr. Smith are the co-managers of, and may each be deemed to beneficially own securities owned by, Trinity. F4 · ownership.nature: Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. F6 · ownership.nature: SCW Single-Asset Partnership, LP is the record and direct beneficial owner of these securities of the Issuer. Read SEC document |
| June 03, 2021 Filed Jun 15, 2021 19:58 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | GrantCommon Stock | 754 | $0.00 | $0.00 |
DisclosureSEC source: 0001564618-21-000070 · wf-form4_162378708522381.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,971 F1 · price: The reporting person acquired the shares pursuant to a grant under the Issuer's 2013 Equity Incentive Plan. Such shares vest on the one year anniversary of the date of grant, subject to forfeiture upon the occurrence of certain events specified in the agreement underlying such grant. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 22:17 UTC | USD Partners LP USDP · Entity 93812 | GrantCOMMON UNITS (LIMITED PARTNER INTERESTS) | 13,136 | $0.00 | $0.00 |
DisclosureSEC source: 0001610682-21-000018 · wf-form4_161368660591499.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,693 F1 · security: Represents the grant of phantom units. Each phantom unit is the economic equivalent of one common unit of USDP. The phantom units vest on the one-year anniversary of the grant date. F1 · shares: Represents the grant of phantom units. Each phantom unit is the economic equivalent of one common unit of USDP. The phantom units vest on the one-year anniversary of the grant date. F2 · balance_after: Includes 13,136 phantom units. Read SEC document |
| February 04, 2021 Filed Feb 5, 2021 22:23 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | SaleCommon Stock | 13,000 | $67.42 | $876,460.00 |
DisclosureSEC source: 0001564618-21-000018 · wf-form4_161256379657740.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,217 F1 · price: Reflects the weighted average purchase price for the reported transactions. The shares were purchased in multiple transactions at prices ranging from $67.35 to $67.46, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares purchased at each separate price within the range specified. Read SEC document |
| December 09, 2020 Filed Dec 10, 2020 23:37 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | SaleCommon Stock | 15,000 | $59.18 | $887,626.50 |
DisclosureSEC source: 0001564618-20-000087 · wf-form4_160764340776811.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,217 F1 · price: Reflects the weighted average purchase price for the reported transactions. The shares were purchased in multiple transactions at prices ranging from $59.00 to $60.00, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares purchased at each separate price within the range specified. Read SEC document |
| September 04, 2020 Filed Oct 23, 2020 13:27 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | GrantCommon Stock | 1,159 | $0.00 | $0.00 |
DisclosureSEC source: 0001564618-20-000076 · wf-form4_160345960957132.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,217 F1 · price: The reporting person acquired the shares pursuant to a grant under the Issuer's 2013 Equity Incentive Plan. Such shares vest one year from the anniversary of the date of grant, subject to forfeiture upon the occurrence of certain events specified in the agreement underlying such grant. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 21:32 UTC | WhiteHorse Finance, Inc. WHF · Entity 6515 | PurchaseCommon Stock, par value $0.001 per share | 3,700 | $13.85 | $51,245.00 |
DisclosureSEC source: 0001104659-20-030227 · tm2011913-2_4.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,700 Read SEC document |
| February 16, 2020 Filed Feb 18, 2020 22:31 UTC | USD Partners LP USDP · Entity 93812 | GrantCOMMON UNITS (LIMITED PARTNER INTERESTS) | 13,136 | $0.00 | $0.00 |
DisclosureSEC source: 0001610682-20-000018 · wf-form4_158206506013432.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,557 F1 · security: Represents the grant of phantom units. Each phantom unit is the economic equivalent of one common unit of USDP. The phantom units vest on the one-year anniversary of the grant date. F1 · shares: Represents the grant of phantom units. Each phantom unit is the economic equivalent of one common unit of USDP. The phantom units vest on the one-year anniversary of the grant date. F2 · balance_after: Includes 13,136 phantom units. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 15:53 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 5,000 | $53.33 | $266,650.00 |
DisclosureSEC source: 0001564618-20-000015 · wf-form4_158074518964040.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,058 F1 · price: Reflects the weighted average purchase price for the reported transactions. The shares were purchased in multiple transactions at prices ranging from $53.17 to $53.47, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares purchased at each separate price within the range specified. Read SEC document |
| June 11, 2019 Filed Jun 13, 2019 23:18 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | GrantCommon Stock | 1,036 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001564618-19-000082 · wf-form4_156046787399750.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,058 F1 · price: The reporting person acquired the shares pursuant to a grant under the Issuer's 2013 Equity Incentive Plan. Such shares vest one year from the anniversary of the date of grant, subject to forfeiture upon the occurrence of certain events specified in the agreement underlying such grant. Read SEC document |
| June 05, 2019 Filed Jun 7, 2019 20:12 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | SaleCommon Stock | 81,904 | $52.90 | $4,332,721.60 |
DisclosureSEC source: 0001564618-19-000078 · wf-form4_155993834215557.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital QP, LP Disclosed balance after: 0 Read SEC document |
| June 05, 2019 Filed Jun 7, 2019 20:12 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | SaleCommon Stock | 53,096 | $52.90 | $2,808,778.40 |
DisclosureSEC source: 0001564618-19-000078 · wf-form4_155993834215557.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital LP Disclosed balance after: 0 Read SEC document |
| February 16, 2019 Filed Feb 19, 2019 21:42 UTC | USD Partners LP USDP · Entity 93812 | GrantCOMMON UNITS (LIMITED PARTNER INTERESTS) | 12,177 | $0.00 | $0.00 |
DisclosureSEC source: 0001610682-19-000013 · wf-form4_155061252631543.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,421 F1 · shares: Represents the grant of phantom units. Each phantom unit is the economic equivalent of one common unit of USDP. The phantom units vest on the one-year anniversary of the grant date. F2 · balance_after: Includes 12,177 phantom units. Read SEC document |
| January 25, 2019 Filed Jan 30, 2019 02:40 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | GrantCommon Stock | 1,048 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001564618-19-000028 · wf-form4_154881601171998.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,022 F1 · price: The reporting person acquired the shares pursuant to a grant under the Issuer's 2013 Equity Incentive Plan. Such shares vest in three (3) equal annual installments on the anniversary of the date of grant, subject to forfeiture upon the occurrence of certain events specified in the agreement underlying such grant. Read SEC document |
| January 25, 2019 Filed May 17, 2019 21:49 UTC Amendment | Independent Bank Group, Inc. IBTX · Entity 84480 | GrantCommon Stock | 1,048 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001564618-19-000068 · wf-form4a_155812977079195.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,022 F1 · price: The reporting person acquired the shares pursuant to a grant under the Issuer's 2013 Equity Incentive Plan. Such shares vest in three (3) equal annual installments on the anniversary of the date of grant, subject to forfeiture upon the occurrence of certain events specified in the agreement underlying such grant. Read SEC document |
| September 14, 2018 Filed Sep 18, 2018 13:09 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 25,000 | $65.90 | $1,647,387.50 |
DisclosureSEC source: 0001564618-18-000094 · wf-form4_153727612607170.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital LP Disclosed balance after: 135,000 F1 · price: Reflects the weighted average purchase price for the reported transactions. The shares were purchased in multiple transactions at prices ranging from $65.61 to $66.40, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares purchased at each separate price within the range specified. Read SEC document |
| September 14, 2018 Filed May 17, 2019 21:50 UTC Amendment | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 25,000 | $65.90 | $1,647,387.50 |
DisclosureSEC source: 0001564618-19-000069 · wf-form4a_155812980463789.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital QP, LP Disclosed balance after: 28,808 F1 · security: THIS AMENDMENT IS BEING FILED TO AMEND THAT CERTAIN FORM 4, FILED SEPTEMBER 18, 2018 (THE "ORIGINAL FORM 4"), IN ORDER TO CORRECT THE ALLOCATION OF SHARES ACQUIRED INDIRECTLY BY THE REPORTING PERSON IN THE ORIGINAL FORM 4 AND THE ALLOCATION OF THE TOTAL SECURITIES OWNED AFTER SUCH TRANSACTIONS. PURSUANT TO GUIDANCE FROM THE SEC, ONLY THE LINE ITEM REQUIRING AMENDMENT IS RESTATED IN TABLE I ABOVE. ALL OTHER LINE ITEMS IN THE ORIGINAL FORM 4 (OTHER THAN WITH RESPECT TO THE NUMBER OF SECURITIES OWNED FOLLOWING ANY SUBSEQUENT TRANSACTION) REMAIN UNCHANGED. F2 · shares: Includes shares reflected in the original Form 4 as purchased and held indirectly by SCW CAPITAL,LP. F3 · price: Reflects the weighted average purchase price for the reported transactions. The shares were purchased in multiple transactions at prices ranging from $65.61 to $66.40, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares purchased at each separate price within the range specified. Read SEC document |
| September 14, 2018 Filed May 21, 2019 16:04 UTC Amendment | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 25,000 | $65.90 | $1,647,387.50 |
DisclosureSEC source: 0001564618-19-000072 · wf-form4a_155845465593166.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital QP, LP Disclosed balance after: 81,904 F1 · security: THIS AMENDMENT IS BEING FILED TO AMEND THAT CERTAIN FORM 4, FILED SEPTEMBER 18, 2018 (THE "ORIGINAL FORM 4"), IN ORDER TO CORRECT THE ALLOCATION OF SHARES ACQUIRED INDIRECTLY BY THE REPORTING PERSON IN THE ORIGINAL FORM 4 AND THE ALLOCATION OF THE TOTAL SECURITIES OWNED AFTER SUCH TRANSACTIONS. PURSUANT TO GUIDANCE FROM THE SEC, ONLY THE LINE ITEM REQUIRING AMENDMENT IS RESTATED IN TABLE I ABOVE. ALL OTHER LINE ITEMS IN THE ORIGINAL FORM 4 (OTHER THAN WITH RESPECT TO THE NUMBER OF SECURITIES OWNED FOLLOWING ANY SUBSEQUENT TRANSACTION) REMAIN UNCHANGED. F2 · shares: Includes shares reflected in the original Form 4 as purchased and held indirectly by SCW CAPITAL,LP. F3 · price: Reflects the weighted average purchase price for the reported transactions. The shares were purchased in multiple transactions at prices ranging from $65.61 to $66.40, inclusive. The Reporting Person will provide the SEC staff, the Issuer, or any security holder of the Issuer, upon request for same, with the full information regarding the number of shares purchased at each separate price within the range specified. F2 · balance_after: Includes shares reflected in the original Form 4 as purchased and held indirectly by SCW CAPITAL,LP. Read SEC document |
| August 14, 2018 Filed Aug 15, 2018 21:09 UTC | WhiteHorse Finance, Inc. WHF · Entity 6515 | SaleCommon Stock, par value $0.001 per share | 9,000 | $14.19 | $127,692.00 |
DisclosureSEC source: 0001144204-18-044952 · tv501042_4.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: The price reported in this Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.09 to $14.24, inclusive. The reporting person undertakes to provide WhiteHorse Finance, Inc., any security holder of WhiteHorse Finance, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 21:09 UTC | WhiteHorse Finance, Inc. WHF · Entity 6515 | SaleCommon Stock, par value $0.001 per share | 3,000 | $14.47 | $43,419.00 |
DisclosureSEC source: 0001144204-18-044952 · tv501042_4.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 F1 · price: The price reported in this Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.47 to $14.486, inclusive. The reporting person undertakes to provide WhiteHorse Finance, Inc., any security holder of WhiteHorse Finance, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| July 27, 2018 Filed Jul 30, 2018 17:37 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 10,000 | $68.56 | $685,624.00 |
DisclosureSEC source: 0001564618-18-000087 · wf-form4_153297222804952.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital LP Disclosed balance after: 110,000 Read SEC document |
| July 27, 2018 Filed May 17, 2019 21:51 UTC Amendment | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 5,300 | $68.56 | $363,380.72 |
DisclosureSEC source: 0001564618-19-000070 · wf-form4a_155812983895090.xml · nonDerivative · entry 3 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital QP, LP Disclosed balance after: 56,904 F1 · security: THIS AMENDMENT IS BEING FILED TO AMEND THAT CERTAIN FORM 4, FILED July 30, 2018 (THE "ORIGINAL FORM 4"), IN ORDER TO CORRECT THE ALLOCATION OF SHARES ACQUIRED INDIRECTLY BY THE REPORTING PERSON IN THE ORIGINAL FORM 4 AND THE ALLOCATION OF THE TOTAL SECURITIES OWNED AFTER SUCH TRANSACTIONS. PURSUANT TO GUIDANCE FROM THE SEC, ONLY THE LINE ITEM REQUIRING AMENDMENT IS RESTATED IN TABLE I ABOVE. ALL OTHER LINE ITEMS IN THE ORIGINAL FORM 4 (OTHER THAN WITH RESPECT TO THE NUMBER OF SECURITIES OWNED FOLLOWING ANY SUBSEQUENT TRANSACTION) REMAIN UNCHANGED. F3 · shares: Includes shares reflected in the original Form 4 as purchased and held indirectly by SCW CAPITAL,LP. F2 · balance_after: Reflects a transfer in kind of 27,459 shares of the issuer's common stock from SCW Capital, LP to SCW Capital QP, LP. The reporting person previously reported ownership of such shares of the issuer's common stock as held by SCW Capital, LP in the original Form 4. F3 · balance_after: Includes shares reflected in the original Form 4 as purchased and held indirectly by SCW CAPITAL,LP. Read SEC document |
| July 27, 2018 Filed May 17, 2019 21:51 UTC Amendment | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 4,700 | $68.56 | $322,243.28 |
DisclosureSEC source: 0001564618-19-000070 · wf-form4a_155812983895090.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital LP Disclosed balance after: 53,096 F1 · security: THIS AMENDMENT IS BEING FILED TO AMEND THAT CERTAIN FORM 4, FILED July 30, 2018 (THE "ORIGINAL FORM 4"), IN ORDER TO CORRECT THE ALLOCATION OF SHARES ACQUIRED INDIRECTLY BY THE REPORTING PERSON IN THE ORIGINAL FORM 4 AND THE ALLOCATION OF THE TOTAL SECURITIES OWNED AFTER SUCH TRANSACTIONS. PURSUANT TO GUIDANCE FROM THE SEC, ONLY THE LINE ITEM REQUIRING AMENDMENT IS RESTATED IN TABLE I ABOVE. ALL OTHER LINE ITEMS IN THE ORIGINAL FORM 4 (OTHER THAN WITH RESPECT TO THE NUMBER OF SECURITIES OWNED FOLLOWING ANY SUBSEQUENT TRANSACTION) REMAIN UNCHANGED. F2 · balance_after: Reflects a transfer in kind of 27,459 shares of the issuer's common stock from SCW Capital, LP to SCW Capital QP, LP. The reporting person previously reported ownership of such shares of the issuer's common stock as held by SCW Capital, LP in the original Form 4. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 20:30 UTC | WhiteHorse Finance, Inc. WHF · Entity 6515 | SaleCommon Stock, par value $0.001 per share | 7,210 | $14.98 | $108,005.80 |
DisclosureSEC source: 0001144204-18-033750 · tv496277_4.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Read SEC document |
| June 07, 2018 Filed Jun 11, 2018 20:30 UTC | WhiteHorse Finance, Inc. WHF · Entity 6515 | SaleCommon Stock, par value $0.001 per share | 10,790 | $14.88 | $160,555.20 |
DisclosureSEC source: 0001144204-18-033750 · tv496277_4.xml · nonDerivative · entry 1 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,210 Read SEC document |
| May 29, 2018 Filed May 31, 2018 01:07 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 8,000 | $72.83 | $582,617.60 |
DisclosureSEC source: 0001564618-18-000070 · wf-form4_152772885326020.xml · nonDerivative · entry 3 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital LP Disclosed balance after: 100,000 Read SEC document |
| May 29, 2018 Filed May 17, 2019 21:51 UTC Amendment | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 8,000 | $72.83 | $582,617.60 |
DisclosureSEC source: 0001564618-19-000071 · wf-form4a_155812988875465.xml · nonDerivative · entry 4 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital QP, LP Disclosed balance after: 24,145 F1 · security: THIS AMENDMENT IS BEING FILED TO AMEND THAT CERTAIN FORM 4, FILED MAY 30, 2018 (THE "ORIGINAL FORM 4"), IN ORDER TO CORRECT THE ALLOCATION OF SHARES ACQUIRED INDIRECTLY BY THE REPORTING PERSON IN THE ORIGINAL FORM 4 AND THE ALLOCATION OF THE TOTAL SECURITIES OWNED AFTER SUCH TRANSACTIONS. PURSUANT TO GUIDANCE FROM THE SEC, ONLY THE LINE ITEM REQUIRING AMENDMENT IS RESTATED IN TABLE I ABOVE. ALL OTHER LINE ITEMS IN THE ORIGINAL FORM 4 (OTHER THAN WITH RESPECT TO THE NUMBER OF SECURITIES OWNED FOLLOWING ANY SUBSEQUENT TRANSACTION) REMAIN UNCHANGED. F3 · shares: Includes shares reflected in the original Form 4 as purchased and held indirectly by SCW CAPITAL,LP. F3 · balance_after: Includes shares reflected in the original Form 4 as purchased and held indirectly by SCW CAPITAL,LP. Read SEC document |
| May 25, 2018 Filed May 31, 2018 01:07 UTC | Independent Bank Group, Inc. IBTX · Entity 84480 | PurchaseCommon Stock | 17,000 | $74.75 | $1,270,687.10 |
DisclosureSEC source: 0001564618-18-000070 · wf-form4_152772885326020.xml · nonDerivative · entry 2 SMITH G STACY · CIK 0001056313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SCW Capital LP Disclosed balance after: 92,000 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.