Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forest Investments, Inc.GEC · Entity 144097 | Director | November 08, 2019 | December 12, 2019 |
| Great Elm Group, Inc.GEG · Entity 7060 | Director | January 03, 2022 | January 05, 2022 |
| PRESIDIO PRODUCTION CoFTW · Entity 5754 | Director | March 04, 2026 | March 07, 2026 |
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.
Forest Investments, Inc.
Report date November 08, 2019 · Filed December 12, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 70,869 |
Reported balance
After 2019-11-08 transaction · row 1
1 source rowRow 1 · 2019-11-08 · Grant · Acquired 18,482 · Balance 70,869 F1: The Reporting Person was awarded restricted shares that vest commencing November 1, 2019, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person was awarded restricted shares that vest commencing November 1, 2019, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc.
Great Elm Group, Inc.
Report date January 03, 2022 · Filed January 05, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 143,592 |
Reported balance
After 2022-01-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-01-03 · Grant · Acquired 31,553 · Balance 143,592 F1: The Reporting Person was awarded 31,553 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG"). |
| Common StockSEC Table I · non-derivative | Direct | 175,145 |
Reported balance
After 2022-01-03 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-01-03 · Grant · Acquired 31,553 · Balance 175,145 F2: The Reporting Person was awarded 31,553 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of GEG. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person was awarded 31,553 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG").
F2: The Reporting Person was awarded 31,553 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of GEG.
PRESIDIO PRODUCTION Co
Report date March 04, 2026 · Filed March 07, 2026
This filing explicitly reported no securities owned.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CIFC LLC
Report date November 21, 2016 · Filed November 23, 2016
Section 16 reporting ended · disclosed 2016-11-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2016-11-21 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2016-11-21 · Disposition to issuer · Disposed 21,097 · Balance 20,798 F1: Represents time-based restricted share units subject to vesting over time, which were vested and canceled at the effective time of the merger pursuant to the Agreement and Plan of Merger, dated August 19, 2016, by and among the Company, F.A.B. Holdings I LP and CIFC Acquisition, LLC (the "Merger"), in exchange for the right to receive $11.36 in cash per share (the "Merger Consideration"), without interest and subject to any withholding of taxes required by applicable law. Row 2 · 2016-11-21 · Disposition to issuer · Disposed 20,798 · Balance 0 F2: Represents common shares converted into the right to receive the Merger Consideration, without interest and subject to any withholding of taxes required by applicable law. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents time-based restricted share units subject to vesting over time, which were vested and canceled at the effective time of the merger pursuant to the Agreement and Plan of Merger, dated August 19, 2016, by and among the Company, F.A.B. Holdings I LP and CIFC Acquisition, LLC (the "Merger"), in exchange for the right to receive $11.36 in cash per share (the "Merger Consideration"), without interest and subject to any withholding of taxes required by applicable law.
F2: Represents common shares converted into the right to receive the Merger Consideration, without interest and subject to any withholding of taxes required by applicable law.
GOODRICH PETROLEUM CORP
Report date December 23, 2021 · Filed December 23, 2021
Section 16 reporting ended · disclosed 2021-12-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 37,237 |
Reported balance
After 2021-12-23 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2021-12-23 · Exercise / conversion · Acquired 10,804 · Balance 37,237 F2: Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock. Pursuant to the Merger Agreement, immediately prior to the Acceptance Time, each award of phantom stock subject to time-based vesting that was outstanding immediately prior to the Acceptance Time vested in full and was canceled and converted into the right to receive, at the Effective Time, an amount in cash equal to (a) the number of shares of the Issuer's common stock subject to such phantom stock multiplied by (b) $23.00 (the "Merger Consideration"). |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-23 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2021-12-23 · Other · Disposed 37,237 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, all of the reporting person's shares of the Issuer's common stock were tendered and disposed of at the Acceptance Time in exchange for the right to receive the Merger Consideration. |
| Common StockSEC Table I · non-derivative | Direct | 26,433 |
Reported balance
Holding disclosure · report date 2021-12-23 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 26,433 F1: On December 14, 2021, the reporting person filed a Form 4 which inadvertently reported that, following the vesting and settlement of phantom stock, the reporting person directly owned 142,160 shares of the Issuer's common stock. In fact, as reported above, the reporting person directly owned 26,433 shares of the Issuer's common stock. |
| Phantom StockSEC Table II · derivative / convertible security · Expires 2021-12-23 | Direct | 0 |
Reported balance
After 2021-12-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-12-23 · Exercise / conversion · Disposed 10,804 · Balance 0 F2: Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock. Pursuant to the Merger Agreement, immediately prior to the Acceptance Time, each award of phantom stock subject to time-based vesting that was outstanding immediately prior to the Acceptance Time vested in full and was canceled and converted into the right to receive, at the Effective Time, an amount in cash equal to (a) the number of shares of the Issuer's common stock subject to such phantom stock multiplied by (b) $23.00 (the "Merger Consideration"). |
Filing footnotes · ownership attribution and instrument terms
F1: On December 14, 2021, the reporting person filed a Form 4 which inadvertently reported that, following the vesting and settlement of phantom stock, the reporting person directly owned 142,160 shares of the Issuer's common stock. In fact, as reported above, the reporting person directly owned 26,433 shares of the Issuer's common stock.
F2: Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock. Pursuant to the Merger Agreement, immediately prior to the Acceptance Time, each award of phantom stock subject to time-based vesting that was outstanding immediately prior to the Acceptance Time vested in full and was canceled and converted into the right to receive, at the Effective Time, an amount in cash equal to (a) the number of shares of the Issuer's common stock subject to such phantom stock multiplied by (b) $23.00 (the "Merger Consideration").
F3: Pursuant to the terms of the Merger Agreement, all of the reporting person's shares of the Issuer's common stock were tendered and disposed of at the Acceptance Time in exchange for the right to receive the Merger Consideration.
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 |
|---|---|---|---|---|---|---|
| January 03, 2022 Filed Jan 5, 2022 21:42 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 31,553 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-000679 · form4.xml · nonDerivative · entry 2 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,145 F2 · ownership.direct: The Reporting Person was awarded 31,553 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of GEG. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:42 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 31,553 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-000679 · form4.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,592 F1 · ownership.direct: The Reporting Person was awarded 31,553 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG"). Read SEC document |
| December 23, 2021 Filed Dec 23, 2021 16:15 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | Exercise / conversionPhantom Stock · Derivative | 10,804 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-153127 · tm2135417-7_4seq1.xml · derivative · entry 4 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,804 shares Expires 2021-12-23 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. F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock. Pursuant to the Merger Agreement, immediately prior to the Acceptance Time, each award of phantom stock subject to time-based vesting that was outstanding immediately prior to the Acceptance Time vested in full and was canceled and converted into the right to receive, at the Effective Time, an amount in cash equal to (a) the number of shares of the Issuer's common stock subject to such phantom stock multiplied by (b) $23.00 (the "Merger Consideration"). F2 · price: Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock. Pursuant to the Merger Agreement, immediately prior to the Acceptance Time, each award of phantom stock subject to time-based vesting that was outstanding immediately prior to the Acceptance Time vested in full and was canceled and converted into the right to receive, at the Effective Time, an amount in cash equal to (a) the number of shares of the Issuer's common stock subject to such phantom stock multiplied by (b) $23.00 (the "Merger Consideration"). Read SEC document |
| December 23, 2021 Filed Dec 23, 2021 16:15 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | OtherCommon Stock | 37,237 | $23.00 | $856,451.00 |
DisclosureSEC source: 0001104659-21-153127 · tm2135417-7_4seq1.xml · nonDerivative · entry 3 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · price: Pursuant to the terms of the Merger Agreement, all of the reporting person's shares of the Issuer's common stock were tendered and disposed of at the Acceptance Time in exchange for the right to receive the Merger Consideration. Read SEC document |
| December 23, 2021 Filed Dec 23, 2021 16:15 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | Exercise / conversionCommon Stock | 10,804 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-153127 · tm2135417-7_4seq1.xml · nonDerivative · entry 2 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,237 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. F2 · price: Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock. Pursuant to the Merger Agreement, immediately prior to the Acceptance Time, each award of phantom stock subject to time-based vesting that was outstanding immediately prior to the Acceptance Time vested in full and was canceled and converted into the right to receive, at the Effective Time, an amount in cash equal to (a) the number of shares of the Issuer's common stock subject to such phantom stock multiplied by (b) $23.00 (the "Merger Consideration"). Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 16:08 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | Exercise / conversionPhantom Stock · Derivative | 11,042 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-022023 · doc1.xml · derivative · entry 3 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,042 shares Expires 2021-12-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. On December 10, 2021 the reporting person settled 100% of the shares of phantom stock that were granted to him on December 10, 2020. Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 16:08 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | Tax withholdingCommon Stock | 3,730 | $11.32 | $42,223.60 |
DisclosureSEC source: 0001567619-21-022023 · doc1.xml · nonDerivative · entry 2 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,160 Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 16:08 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | Exercise / conversionCommon Stock | 11,042 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-022023 · doc1.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,433 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 · price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. On December 10, 2021 the reporting person settled 100% of the shares of phantom stock that were granted to him on December 10, 2020. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 20:55 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 13,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-023363 · form4.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,039 F1 · ownership.direct: The Reporting Person was awarded 13,713 restricted stock units, 50% of which vest on September 30, 2021, and the remainder of which vest on December 31, 2021, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. Read SEC document |
| May 18, 2021 Filed May 20, 2021 16:42 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | GrantPhantom Stock · Derivative | 10,804 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-010817 · doc1.xml · derivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,804 Underlying: Common Stock · 10,804 shares Expires 2022-05-18 F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 23:13 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 19,751 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-009682 · form4.xml · nonDerivative · entry 2 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,326 F2 · ownership.direct: The Reporting Person was awarded 19,751 restricted stock units, one-tenth of which vested on March 19, 2021, and the remainder of which vest in equal monthly installments on the first of each month beginning April 1, 2021 through December 1, 2021, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG"). Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 23:13 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 7,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-009682 · form4.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,575 F1 · ownership.direct: The Reporting Person was awarded 7,706 restricted stock units that fully vested on March 19, 2021. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 17:46 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | GrantPhantom Stock · Derivative | 11,042 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-021063 · doc1.xml · derivative · entry 3 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,042 Underlying: Common Stock · 11,042 shares Expires 2021-12-10 F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 17:46 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | Exercise / conversionPhantom Stock · Derivative | 12,575 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-021063 · doc1.xml · derivative · entry 2 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,575 shares Expires 2020-12-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. On December 10, 2020 the reporting person settled 100% of the shares of phantom stock that were granted to him on December 10, 2019. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 17:46 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | Exercise / conversionCommon Stock | 12,575 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-021063 · doc1.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,391 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 · price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. On December 10, 2020 the reporting person settled 100% of the shares of phantom stock that were granted to him on December 10, 2019. Read SEC document |
| December 12, 2019 Filed Dec 12, 2019 17:08 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | Exercise / conversionPhantom Stock · Derivative | 2,816 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-022990 · doc1.xml · derivative · entry 2 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,816 shares Expires 2019-12-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. On December 12, 2019 the reporting person settled 100% of the shares of phantom stock that were granted to him on August 20, 2019. Read SEC document |
| December 12, 2019 Filed Dec 12, 2019 17:08 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | Exercise / conversionCommon Stock | 2,816 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-022990 · doc1.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,816 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 · price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. On December 12, 2019 the reporting person settled 100% of the shares of phantom stock that were granted to him on August 20, 2019. Read SEC document |
| December 10, 2019 Filed Dec 12, 2019 17:08 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | GrantPhantom Stock · Derivative | 12,575 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-022990 · doc1.xml · derivative · entry 3 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,575 Underlying: Common Stock · 12,575 shares Expires 2020-12-10 F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. Read SEC document |
| November 08, 2019 Filed Dec 12, 2019 18:16 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 18,482 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-029083 · doc4.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,869 F1 · shares: The Reporting Person was awarded restricted shares that vest commencing November 1, 2019, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc. Read SEC document |
| August 20, 2019 Filed Aug 22, 2019 16:58 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | GrantPhantom Stock · Derivative | 2,816 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-017485 · doc1.xml · derivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,816 Underlying: Common Stock · 2,816 shares Expires 2019-12-12 F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of GDP common stock. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 21:42 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 19,673 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-028644 · doc4.xml · nonDerivative · entry 2 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,387 F2 · shares: The Reporting Person was awarded restricted shares that vest commencing November 1, 2018, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 21:42 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 15,954 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-028644 · doc4.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,714 F1 · shares: The Reporting Person was awarded restricted shares that fully vested on November 7, 2018. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 06:06 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCOMMON STOCK | 16,760 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-001148 · doc4.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,760 F1 · kind: The Reporting Person was awarded restricted stock units that vest in full on November 3, 2017 contingent upon continued service as a member of the board of directors of the Issuer. Read SEC document |
| November 21, 2016 Filed Nov 23, 2016 17:59 UTC | CIFC LLC CIFC · Entity 180785 | Disposition to issuerCommon Shares | 20,798 | $11.36 | $236,265.28 |
DisclosureSEC source: 0001649709-16-000111 · wf-form4_147994193130192.xml · nonDerivative · entry 2 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · shares: Represents common shares converted into the right to receive the Merger Consideration, without interest and subject to any withholding of taxes required by applicable law. Read SEC document |
| November 21, 2016 Filed Nov 23, 2016 17:59 UTC | CIFC LLC CIFC · Entity 180785 | Disposition to issuerCommon Shares | 21,097 | $11.36 | $239,661.92 |
DisclosureSEC source: 0001649709-16-000111 · wf-form4_147994193130192.xml · nonDerivative · entry 1 Serota Jeffrey · CIK 0001394808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,798 F1 · shares: Represents time-based restricted share units subject to vesting over time, which were vested and canceled at the effective time of the merger pursuant to the Agreement and Plan of Merger, dated August 19, 2016, by and among the Company, F.A.B. Holdings I LP and CIFC Acquisition, LLC (the "Merger"), in exchange for the right to receive $11.36 in cash per share (the "Merger Consideration"), without interest and subject to any withholding of taxes required by applicable law. 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.