Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BLUE DOLPHIN ENERGY COBDCO · Entity 6593 | Director · CEO & President · 10% owner | September 11, 2025 | September 15, 2025 |
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.
BLUE DOLPHIN ENERGY CO
Report date September 11, 2025 · Filed September 15, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,125,000 |
Reported balance
After 2025-09-11 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-09-11 · Purchase · Acquired 4,221 · Balance 4,125,000 F1: Mr. Carroll also indirectly owns 8,475,000 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Carroll also indirectly owns 8,475,000 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC.
Past disclosures · reporting ended (8)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CYPRESS CREEK PRIVATE STRATEGIES INSTITUTIONAL FUND, L.P.
Report date March 01, 2021 · Filed March 02, 2021
Jointly reported with Bachtold Paul Axtell, BAYAZITOGLU KRISTEN LINDSAY, DUSENBERRY THOMAS ALAN, ENSZER WILLIAM KANE, Bonding Karen B, Harris Bernard A Jr, JOHNSON RICHARD CRAIG, POWELL G EDWARD, SCHWINGER SCOTT
Section 16 reporting ended · disclosed 2021-03-02. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
CYPRESS CREEK PRIVATE STRATEGIES MASTER FUND L P
Report date March 01, 2021 · Filed March 02, 2021
Jointly reported with Bachtold Paul Axtell, BAYAZITOGLU KRISTEN LINDSAY, DUSENBERRY THOMAS ALAN, ENSZER WILLIAM KANE, Bonding Karen B, Harris Bernard A Jr, JOHNSON RICHARD CRAIG, POWELL G EDWARD, SCHWINGER SCOTT
Section 16 reporting ended · disclosed 2021-03-02. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
CYPRESS CREEK PRIVATE STRATEGIES REGISTERED FUND L P
Report date March 01, 2021 · Filed March 02, 2021
Jointly reported with Bachtold Paul Axtell, BAYAZITOGLU KRISTEN LINDSAY, DUSENBERRY THOMAS ALAN, ENSZER WILLIAM KANE, Bonding Karen B, Harris Bernard A Jr, JOHNSON RICHARD CRAIG, POWELL G EDWARD, SCHWINGER SCOTT
Section 16 reporting ended · disclosed 2021-03-02. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
CYPRESS CREEK PRIVATE STRATEGIES TEI FUND, L.P.
Report date March 01, 2021 · Filed March 02, 2021
Jointly reported with Bachtold Paul Axtell, BAYAZITOGLU KRISTEN LINDSAY, DUSENBERRY THOMAS ALAN, ENSZER WILLIAM KANE, Bonding Karen B, Harris Bernard A Jr, JOHNSON RICHARD CRAIG, POWELL G EDWARD, SCHWINGER SCOTT
Section 16 reporting ended · disclosed 2021-03-02. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Endowment PMF Master Fund, L.P.
Report date March 01, 2021 · Filed March 02, 2021
Jointly reported with Bachtold Paul Axtell, BAYAZITOGLU KRISTEN LINDSAY, DUSENBERRY THOMAS ALAN, ENSZER WILLIAM KANE, JOHNSON RICHARD CRAIG, POWELL G EDWARD, SCHWINGER SCOTT
Section 16 reporting ended · disclosed 2021-03-02. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
PMF Fund, L.P.
Report date March 01, 2021 · Filed March 02, 2021
Jointly reported with Bachtold Paul Axtell, BAYAZITOGLU KRISTEN LINDSAY, DUSENBERRY THOMAS ALAN, ENSZER WILLIAM KANE, JOHNSON RICHARD CRAIG, POWELL G EDWARD, SCHWINGER SCOTT
Section 16 reporting ended · disclosed 2021-03-02. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
PMF TEI Fund, L.P.
Report date March 01, 2021 · Filed March 02, 2021
Jointly reported with Bachtold Paul Axtell, BAYAZITOGLU KRISTEN LINDSAY, DUSENBERRY THOMAS ALAN, ENSZER WILLIAM KANE, JOHNSON RICHARD CRAIG, POWELL G EDWARD, SCHWINGER SCOTT
Section 16 reporting ended · disclosed 2021-03-02. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Salient Midstream & MLP Fund
Report date September 14, 2022 · Filed September 14, 2022
Jointly reported with Allecta Julie, Gambs Arthur John III, Harris Bernard A Jr, Mardikian Haig G., Bachtold Paul Axtell, BAYAZITOGLU KRISTEN LINDSAY, Gardner Frank Theodore III, Leonhardt Stephen W, Reid Gregory Allen
Section 16 reporting ended · disclosed 2022-09-14. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
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 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 3,600 | $3.58 | $12,888.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 19 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,945,000 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 300 | $3.60 | $1,080.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 18 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,941,400 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.55 | $355.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 17 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,941,100 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.40 | $340.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 16 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,941,000 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.40 | $340.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 15 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,900 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.40 | $340.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 14 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,800 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.40 | $340.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 13 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,700 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.40 | $340.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 12 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,600 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.40 | $340.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 11 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,500 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.27 | $327.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 10 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,400 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.27 | $327.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 9 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,300 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.15 | $315.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 8 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,200 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 100 | $3.15 | $315.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 7 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,100 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 2,500 | $3.00 | $7,487.50 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 6 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,940,000 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 1,500 | $2.92 | $4,380.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 5 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,937,500 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 1,000 | $2.85 | $2,850.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 4 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,936,000 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 668 | $3.07 | $2,050.76 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 3 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,935,000 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 1,034 | $3.39 | $3,500.09 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 2 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,934,332 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 23:20 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 2,000 | $3.39 | $6,770.00 |
DisclosureSEC source: 0001654954-23-007515 · section16.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,933,298 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| April 10, 2023 Filed Apr 10, 2023 20:44 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 5,000 | $2.50 | $12,475.00 |
DisclosureSEC source: 0001654954-23-004554 · section16.xml · nonDerivative · entry 4 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,931,298 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| April 10, 2023 Filed Apr 10, 2023 20:44 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 980 | $2.50 | $2,450.00 |
DisclosureSEC source: 0001654954-23-004554 · section16.xml · nonDerivative · entry 3 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,926,298 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| April 06, 2023 Filed Apr 10, 2023 20:44 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 393 | $2.50 | $982.50 |
DisclosureSEC source: 0001654954-23-004554 · section16.xml · nonDerivative · entry 2 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,925,318 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| April 06, 2023 Filed Apr 10, 2023 20:44 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 3,627 | $2.50 | $9,067.50 |
DisclosureSEC source: 0001654954-23-004554 · section16.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,924,925 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 21:52 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 7,286 | $1.23 | $8,961.78 |
DisclosureSEC source: 0001010549-22-000261 · ownership.xml · nonDerivative · entry 7 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,921,298 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 21:52 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 2,714 | $1.21 | $3,283.94 |
DisclosureSEC source: 0001010549-22-000261 · ownership.xml · nonDerivative · entry 6 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,914,012 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 21:52 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 25,000 | $1.21 | $30,250.00 |
DisclosureSEC source: 0001010549-22-000261 · ownership.xml · nonDerivative · entry 5 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,911,298 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 21:52 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 5,000 | $1.20 | $6,000.00 |
DisclosureSEC source: 0001010549-22-000261 · ownership.xml · nonDerivative · entry 4 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,886,298 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 21:52 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 5,000 | $1.19 | $5,950.00 |
DisclosureSEC source: 0001010549-22-000261 · ownership.xml · nonDerivative · entry 3 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,881,298 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 21:52 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 5,000 | $1.18 | $5,900.00 |
DisclosureSEC source: 0001010549-22-000261 · ownership.xml · nonDerivative · entry 2 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,876,298 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| December 14, 2022 Filed Dec 16, 2022 21:52 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | PurchaseCommon Stock | 122 | $1.09 | $132.98 |
DisclosureSEC source: 0001010549-22-000261 · ownership.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,871,298 F1 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 21:25 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | OtherCommon Stock | 98,336 | $0.86 | $84,568.96 |
DisclosureSEC source: 0001010549-22-000204 · ownership.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,871,176 F1 · kind: Pursuant to Amended and Restated Guaranty Fee Agreements dated April 1, 2017 between Mr. Carroll and each of Lazarus Energy, LLC and Lazarus Refining & Marketing, LLC, Mr. Carroll receives a fee equal to 2% per annum of the outstanding principal balance for his personal guarantee on certain company loans. Fees are payable 50% in cash and 50% in common stock. This issuance reflects payment in common stock to Mr. Carroll for the monthly periods April 2022 to June 2022. F2 · price: The number of shares of common stock issued was determined based on the preceding 30-day average closing price of Blue Dolphin's common stock on the last day of each applicable monthly period. The average was $0.86, the low was $0.58, and the high was $1.26. F3 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 12, 2022 Filed May 13, 2022 18:35 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | GrantCommon Stock | 1,853,080 | $0.42 | $778,293.60 |
DisclosureSEC source: 0001010549-22-000136 · ownership.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,772,840 F1 · kind: Represents payment to Mr. Carroll of the common stock component under Amended and Restated Guaranty Fee Agreements dated April 1, 2017 between Mr. Carroll and Lazarus Energy, LLC and Lazarus Refining & Marketing, LLC for the monthly periods April 2020 through March 2022. Lazarus Capital, LLC assigned its right to receive the shares of common stock to Mr. Carroll, as its sole member. F2 · price: The number of shares of common stock issued was determined based on the preceding 30-day average closing price of Blue Dolphin's common stock on the last day of each applicable monthly period. The average was $0.42, the low was $0.27, and the high was $0.64. F3 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| May 12, 2022 Filed Jun 6, 2022 22:01 UTC Amendment | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | OtherCommon Stock | 1,853,080 | $0.42 | $778,293.60 |
DisclosureSEC source: 0001654954-22-008002 · section16.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,772,840 F1 · kind: This Form 4 is being amended to correct the transaction code from "A" to "J". Pursuant to Amended and Restated Guaranty Fee Agreements dated April 1, 2017 between Mr. Carroll and Lazarus Energy, LLC and Lazarus Refining Marketing, LLC, for his personal guarantee on certain company loans, Mr. Carroll receives a fee equal to 2% per annum of the outstanding principal balance; fees are payable 50% in cash and 50% in common stock. This share issuance represents catch-up payments for the common stock portion of fees owed to Mr. Carroll for the monthly periods April 2020 through March 2022. F2 · price: The number of shares of common stock issued was determined based on the preceding 30-day average closing price of Blue Dolphin's common stock on the last day of each applicable monthly period. The average was $0.42, the low was $0.27, and the high was $0.64. F3 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| April 30, 2020 Filed May 1, 2020 18:18 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | GrantCommon Stock | 231,065 | $0.69 | $159,434.85 |
DisclosureSEC source: 0001010549-20-000076 · ownership.xml · nonDerivative · entry 2 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,919,760 F1 · kind: Represents payment to Mr. Carroll of the common stock component under Amended and Restated Guaranty Fee Agreements between Mr. Carroll and Lazarus Energy, LLC and Lazarus Refining & Marketing, LLC for the period November 2019 through March 2020. Payment of the cash component has been deferred due to Blue Dolphin Energy Company ("Blue Dolphin") working capital deficits. The cash portion of guaranty fees owed to Mr. Carroll will continue to be accrued by Blue Dolphin and added to the balance of a promissory note between Blue Dolphin and Lazarus Capital, LLC. Lazarus Capital, LLC assigned its right to receive the shares of common stock to Mr. Carroll, as its sole member. F2 · price: The number of shares of common stock issued was determined based on the preceding 30-day average closing price of Blue Dolphin's common stock on a monthly basis. The average was $0.69, the low was $0.52, and the high was $1.07. Read SEC document |
| April 30, 2020 Filed Jun 6, 2022 22:01 UTC Amendment | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | OtherCommon Stock | 231,065 | $0.69 | $159,434.85 |
DisclosureSEC source: 0001654954-22-008003 · section16.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,919,760 F1 · kind: This Form 4 is being amended to correct the transaction code from "A" to "J". Pursuant to Amended and Restated Guaranty Fee Agreements dated April 1, 2017 between Mr. Carroll and Lazarus Energy, LLC and Lazarus Refining Marketing, LLC, for his personal guarantee on certain company loans, Mr. Carroll receives a fee equal to 2% per annum of the outstanding principal balance; fees are payable 50% in cash and 50% in common stock. This share issuance represents catch-up payments for the common stock portion of fees owed to Mr. Carroll for the monthly periods November 2019 through March 2020. F2 · price: The number of shares of common stock issued was determined based on the preceding 30-day average closing price of Blue Dolphin's common stock on the last day of each applicable monthly period. The average was $0.69, the low was $0.52, and the high was $1.07. F3 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| November 14, 2019 Filed Nov 14, 2019 23:34 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | GrantCommon Stock | 1,351,851 | $1.00 | $1,351,851.00 |
DisclosureSEC source: 0001010549-19-000237 · ownership.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,688,695 F1 · kind: Represents payment to Mr. Carroll of the common stock component under Amended and Restated Guaranty Fee Agreements between Mr. Carroll and Lazarus Energy, LLC and Lazarus Refining & Marketing, LLC for the period May 2017 through October 2019. Payment of the cash component has been deferred due to Blue Dolphin Energy Company ("Blue Dolphin") working capital deficits. The cash portion of guaranty fees owed to Mr. Carroll will continue to be accrued by Blue Dolphin and added to the balance of a promissory note between Blue Dolphin and Lazarus Capital, LLC. Lazarus Capital, LLC assigned its right to receive the shares of common stock to Mr. Carroll, as its sole member. F2 · price: The number of shares of common stock issued was determined based on the preceding 30-day average closing price of Blue Dolphin common stock on the last day of the month of the payment period. The average was $1.00, the low was $0.17, and the high was $2.45. Read SEC document |
| November 14, 2019 Filed Jun 6, 2022 22:01 UTC Amendment | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | OtherCommon Stock | 1,351,851 | $1.00 | $1,351,851.00 |
DisclosureSEC source: 0001654954-22-008004 · section16.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,688,695 F1 · kind: This Form 4 is being amended to correct the transaction code from "A" to "J". Pursuant to Amended and Restated Guaranty Fee Agreements dated April 1, 2017 between Mr. Carroll and Lazarus Energy, LLC and Lazarus Refining Marketing, LLC, for his personal guarantee on certain company loans, Mr. Carroll receives a fee equal to 2% per annum of the outstanding principal balance; fees are payable 50% in cash and 50% in common stock. This share issuance represents catch-up payments for the common stock portion of fees owed to Mr. Carroll for the monthly periods May 2017 through October 2019. F2 · price: The number of shares of common stock issued was determined based on the preceding 30-day average closing price of Blue Dolphin's common stock on the last day of each applicable monthly period. The average was $1.00, the low was $0.17, and the high was $2.45. F3 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 09:57 UTC | Salient Midstream & MLP Fund SMM · Entity 123810 | PurchaseShares of Beneficial Interest | 1,000 | $7.25 | $7,250.00 |
DisclosureSEC source: 0001534293-18-000019 · primary_doc.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 14:18 UTC | Salient Midstream & MLP Fund SMM · Entity 123810 | PurchaseShares of Beneficial Interest | 1,000 | $8.00 | $8,000.00 |
DisclosureSEC source: 0001534293-18-000017 · primary_doc.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| December 06, 2018 Filed Dec 7, 2018 13:47 UTC | Salient Midstream & MLP Fund SMM · Entity 123810 | PurchaseShares of Beneficial Interest | 1,000 | $8.10 | $8,100.00 |
DisclosureSEC source: 0001534293-18-000016 · primary_doc.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 12:48 UTC | Salient Midstream & MLP Fund SMM · Entity 123810 | PurchaseShares of Beneficial Interest | 1,000 | $8.25 | $8,250.00 |
DisclosureSEC source: 0001534293-18-000015 · primary_doc.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| November 23, 2018 Filed Nov 26, 2018 12:39 UTC | Salient Midstream & MLP Fund SMM · Entity 123810 | PurchaseShares of Beneficial Interest | 1,000 | $8.21 | $8,210.00 |
DisclosureSEC source: 0001534293-18-000014 · primary_doc.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| May 19, 2017 Filed May 19, 2017 20:28 UTC | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | GrantCommon Stock | 335,086 | $2.48 | $831,013.28 |
DisclosureSEC source: 0001010549-17-000193 · carroll051917.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 336,844 F1 · kind: Represents shares of Blue Dolphin Energy Company common stock, par value $0.01 per share (the "Common Stock"), issued to Jonathan P. Carroll, as payment in common stock in lieu of cash for the outstanding principal balance, plus accrued interest owed to Lazarus Capital, LLC pursuant to an Amended and Restated Promissory Note dated March 31, 2017. The number of shares of common stock issued was determined based on the preceding 30-day average closing price of the Common Stock. Lazarus Capital, LLC assigned its right to receive the shares of Common Stock to Mr. Carroll, as its sole member. Read SEC document |
| May 19, 2017 Filed Jun 6, 2022 22:01 UTC Amendment | BLUE DOLPHIN ENERGY CO BDCO · Entity 6593 | OtherCommon Stock | 335,086 | $2.48 | $831,013.28 |
DisclosureSEC source: 0001654954-22-008005 · section16.xml · nonDerivative · entry 1 CARROLL JONATHAN P · CIK 0001284154 · Director · CEO & President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 336,844 F1 · kind: This Form 4 is being amended to correct the transaction code from "A" to "J". Pursuant to Amended and Restated Guaranty Fee Agreements dated April 1, 2017 between Mr. Carroll and Lazarus Energy, LLC and Lazarus Refining Marketing, LLC, for his personal guarantee on certain company loans, Mr. Carroll receives a fee equal to 2% per annum of the outstanding principal balance; the initial payment of fees was payable 100% in common stock, and subsequent fees are payable 50% in cash and 50% in common stock. This share issuance represents a catch-up payment for periods prior to April 30, 2017. F2 · price: The number of shares of common stock issued was determined based on the preceding 30-day average closing price of Blue Dolphin's common stock on the last day of each applicable monthly period. The average was $2.48, the low was $2.10, and the high was $2.75. F3 · balance_after: Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. 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.