Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| American Virtual Cloud Technologies, Inc.AVCT · Entity 121262 | Director | May 19, 2022 | May 25, 2022 |
| BeneficientBENF · Entity 7427 | Director | June 07, 2024 | June 11, 2024 |
| GWG Holdings, Inc.GWGH · Entity 111001 | Director | June 18, 2020 | July 23, 2020 |
| Invesco Mortgage Capital Inc.IVR · Entity 5185 | Director | May 15, 2024 | May 17, 2024 |
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.
American Virtual Cloud Technologies, Inc.
Report date May 19, 2022 · Filed May 25, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 287,015 |
Reported balance
After 2022-05-19 transaction · row 1
1 source rowRow 1 · 2022-05-19 · Purchase · Acquired 260,000 · Balance 287,015 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.38 to $0.40 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold by him at each separate price on May 19, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.38 to $0.40 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold by him at each separate price on May 19, 2022.
Beneficient
Report date June 07, 2024 · Filed June 11, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 1,296 |
Reported balance
After 2024-06-07 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-06-07 · Tax withholding · Disposed 317 · Balance 1,296 F1: The shares shown have been retroactively adjusted to reflect Beneficient's (the "Issuer") reverse stock split of its outstanding shares of Class A common stock, par value $0.001 per share ("Class A common stock"), and Class B common stock, par value $0.001 per share, on a 1-for-80 basis effected on April 18, 2024. F2: Represents shares of Class A common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of restricted stock units ("RSUs") granted to Dennis P. Lockhart (the "Reporting Person"). No shares were issued or sold in this transaction. F3: Includes 643 shares of Class A common stock issuable upon the settlement of an award of 643 RSUs granted pursuant to Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person vested 20% on September 1, 2023, and the remaining 80% in four equal annual installments on September 1st of each subsequent calendar year. F4: Includes 782 shares of Class A common stock issuable upon the settlement of an award of 625 restricted equity units ("REUs") granted pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan") to the Reporting Person on April 25, 2019. Such award of REUs to the Reporting Person vested 25% on the date of grant, and the remaining 25% vested in three equal annual installments on April 1st of each subsequent calendar year. F5: Includes 188 shares of Class A common stock issuable upon settlement of an award of 150 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person vested 40% on June 8, 2023, and the remaining 60% vest in three equal annual installments on April 1st of each subsequent calendar year. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares shown have been retroactively adjusted to reflect Beneficient's (the "Issuer") reverse stock split of its outstanding shares of Class A common stock, par value $0.001 per share ("Class A common stock"), and Class B common stock, par value $0.001 per share, on a 1-for-80 basis effected on April 18, 2024.
F2: Represents shares of Class A common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of restricted stock units ("RSUs") granted to Dennis P. Lockhart (the "Reporting Person"). No shares were issued or sold in this transaction.
F3: Includes 643 shares of Class A common stock issuable upon the settlement of an award of 643 RSUs granted pursuant to Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person vested 20% on September 1, 2023, and the remaining 80% in four equal annual installments on September 1st of each subsequent calendar year.
F4: Includes 782 shares of Class A common stock issuable upon the settlement of an award of 625 restricted equity units ("REUs") granted pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan") to the Reporting Person on April 25, 2019. Such award of REUs to the Reporting Person vested 25% on the date of grant, and the remaining 25% vested in three equal annual installments on April 1st of each subsequent calendar year.
F5: Includes 188 shares of Class A common stock issuable upon settlement of an award of 150 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person vested 40% on June 8, 2023, and the remaining 60% vest in three equal annual installments on April 1st of each subsequent calendar year.
GWG Holdings, Inc.
Report date June 18, 2020 · Filed July 23, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $.001 par valueSEC Table I · non-derivative | Direct | 8,169 |
Reported balance
After 2020-06-18 transaction · row 1
1 source rowRow 1 · 2020-06-18 · Exercise / conversion · Acquired 8,169 · Balance 8,169 F1: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-06-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-06-18 · Exercise / conversion · Disposed 8,169 · Balance 0 F1: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person.
Invesco Mortgage Capital Inc.
Report date May 15, 2024 · Filed May 17, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 30,925 |
Reported balance
After 2024-05-15 transaction · row 1
1 source rowRow 1 · 2024-05-15 · Grant · Acquired 10,171 · Balance 30,925 |
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 |
|---|---|---|---|---|---|---|
| June 07, 2024 Filed Jun 11, 2024 19:51 UTC | Beneficient BENF · Entity 7427 | Tax withholdingClass A Common Stock | 317 | $5.38 | $1,705.46 |
DisclosureSEC source: 0000950170-24-072185 · ownership.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,296 F1 · security: The shares shown have been retroactively adjusted to reflect Beneficient's (the "Issuer") reverse stock split of its outstanding shares of Class A common stock, par value $0.001 per share ("Class A common stock"), and Class B common stock, par value $0.001 per share, on a 1-for-80 basis effected on April 18, 2024. F2 · kind: Represents shares of Class A common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of restricted stock units ("RSUs") granted to Dennis P. Lockhart (the "Reporting Person"). No shares were issued or sold in this transaction. F3 · balance_after: Includes 643 shares of Class A common stock issuable upon the settlement of an award of 643 RSUs granted pursuant to Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person vested 20% on September 1, 2023, and the remaining 80% in four equal annual installments on September 1st of each subsequent calendar year. F4 · balance_after: Includes 782 shares of Class A common stock issuable upon the settlement of an award of 625 restricted equity units ("REUs") granted pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan") to the Reporting Person on April 25, 2019. Such award of REUs to the Reporting Person vested 25% on the date of grant, and the remaining 25% vested in three equal annual installments on April 1st of each subsequent calendar year. F5 · balance_after: Includes 188 shares of Class A common stock issuable upon settlement of an award of 150 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person vested 40% on June 8, 2023, and the remaining 60% vest in three equal annual installments on April 1st of each subsequent calendar year. Read SEC document |
| May 15, 2024 Filed May 17, 2024 18:51 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 10,171 | $0.00 | $0.00 |
DisclosureSEC source: 0001196261-24-000002 · wk-form4_1715971860.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,925 Read SEC document |
| July 15, 2023 Filed Jun 11, 2024 19:34 UTC | Beneficient BENF · Entity 7427 | GrantClass A Common Stock | 643 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-072152 · ownership.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,613 F1 · security: The shares shown have been retroactively adjusted to reflect Beneficient's (the "Issuer") reverse stock split of its outstanding shares of Class A common stock, par value $0.001 per share ("Class A common stock"), and Class B common stock, par value $0.001 per share, on a 1-for-80 basis effected on April 18, 2024. F2 · shares: Includes 643 shares of Class A common stock, par value $0.001 per share ("Class A common stock"), of Beneficient (the "Issuer") issuable upon the settlement of an award of 643 restricted stock units ("RSUs") granted pursuant to Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to Dennis P. Lockhart (the "Reporting Person") on July 15, 2023. Such award of RSUs to the Reporting Person vested 20% on September 1, 2023, and the remaining 80% in four equal annual installments on September 1st of each subsequent calendar year. F3 · balance_after: Includes 782 shares of Class A common stock issuable upon the settlement of an award of 625 restricted equity units ("REUs") granted pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan") to the Reporting Person on April 25, 2019. Such award of REUs to the Reporting Person vested 25% on the date of grant, and the remaining 25% vested in three equal annual installments on April 1st of each subsequent calendar year. F4 · balance_after: Includes 188 shares of Class A common stock issuable upon settlement of an award of 150 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person vested 40% on June 8, 2023, and the remaining 60% vest in three equal annual installments on April 1st of each subsequent calendar year. Read SEC document |
| May 15, 2023 Filed May 17, 2023 20:23 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 8,796 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-030175 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,754 Read SEC document |
| May 19, 2022 Filed May 25, 2022 21:11 UTC | American Virtual Cloud Technologies, Inc. AVCT · Entity 121262 | PurchaseCommon Stock | 260,000 | $0.39 | $101,400.00 |
DisclosureSEC source: 0001213900-22-029595 · ownership.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,015 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.38 to $0.40 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold by him at each separate price on May 19, 2022. Read SEC document |
| May 15, 2022 Filed May 17, 2022 20:31 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 54,285 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-029655 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,590 Read SEC document |
| May 15, 2021 Filed May 18, 2021 20:55 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 27,110 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-033559 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,305 Read SEC document |
| May 07, 2021 Filed May 10, 2021 22:12 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-031385 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,195 Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 21:48 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-014366 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,695 Read SEC document |
| December 17, 2020 Filed Dec 23, 2020 16:05 UTC | American Virtual Cloud Technologies, Inc. AVCT · Entity 121262 | PurchaseCommon Stock | 15,000 | $5.35 | $80,250.00 |
DisclosureSEC source: 0001213900-20-044323 · ownership.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Read SEC document |
| December 17, 2020 Filed Jan 28, 2021 09:08 UTC Amendment | American Virtual Cloud Technologies, Inc. AVCT · Entity 121262 | PurchaseCommon Stock | 15 | $5.35 | $80.25 |
DisclosureSEC source: 0001213900-21-004778 · ownership.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,015 F1 · shares: The original Form 4 filed on December 23, 2020 reported the incorrect number of shares purchased. Read SEC document |
| November 17, 2020 Filed Nov 18, 2020 21:25 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | SaleCommon Stock, par value $0.01 per share | 1,371 | $3.30 | $4,524.30 |
DisclosureSEC source: 0001209191-20-059095 · doc4.xml · nonDerivative · entry 4 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Custodial Account Disclosed balance after: 0 Read SEC document |
| November 17, 2020 Filed Nov 18, 2020 21:25 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | SaleCommon Stock, par value $0.01 per share | 32,932 | $3.30 | $108,675.60 |
DisclosureSEC source: 0001209191-20-059095 · doc4.xml · nonDerivative · entry 3 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 0 Read SEC document |
| November 17, 2020 Filed Nov 18, 2020 21:25 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | SaleCommon Stock, par value $0.01 per share | 1,097 | $3.30 | $3,620.10 |
DisclosureSEC source: 0001209191-20-059095 · doc4.xml · nonDerivative · entry 2 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Read SEC document |
| November 17, 2020 Filed Nov 18, 2020 21:25 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | SaleCommon Stock, par value $0.01 per share | 32,932 | $3.30 | $108,675.60 |
DisclosureSEC source: 0001209191-20-059095 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,195 Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 23:03 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-058101 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,127 Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 13:36 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-046288 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,627 Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 18:35 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | OtherCommon Stock, par value $0.01 per share | 173 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-040104 · doc4.xml · nonDerivative · entry 4 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Custodial Account Disclosed balance after: 1,923 Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 18:35 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | OtherCommon Stock, par value $0.01 per share | 2,971 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-040104 · doc4.xml · nonDerivative · entry 3 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 32,971 Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 18:35 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | OtherCommon Stock, par value $0.01 per share | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-040104 · doc4.xml · nonDerivative · entry 2 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 550 Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 18:35 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | OtherCommon Stock, par value $0.01 per share | 4,388 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-040104 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,186 Read SEC document |
| June 30, 2020 Filed Jul 13, 2020 21:37 UTC Amendment | Invesco Mortgage Capital Inc. IVR · Entity 5185 | OtherCommon Stock, par value $0.01 per share | 121 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042302 · doc4a.xml · nonDerivative · entry 4 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Custodial Account Disclosed balance after: 1,371 Read SEC document |
| June 30, 2020 Filed Jul 13, 2020 21:37 UTC Amendment | Invesco Mortgage Capital Inc. IVR · Entity 5185 | OtherCommon Stock, par value $0.01 per share | 2,932 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042302 · doc4a.xml · nonDerivative · entry 3 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 32,932 Read SEC document |
| June 30, 2020 Filed Jul 13, 2020 21:37 UTC Amendment | Invesco Mortgage Capital Inc. IVR · Entity 5185 | OtherCommon Stock, par value $0.01 per share | 97 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042302 · doc4a.xml · nonDerivative · entry 2 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 1,097 Read SEC document |
| June 30, 2020 Filed Jul 13, 2020 21:37 UTC Amendment | Invesco Mortgage Capital Inc. IVR · Entity 5185 | OtherCommon Stock, par value $0.01 per share | 4,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042302 · doc4a.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,127 Read SEC document |
| June 24, 2020 Filed Jun 25, 2020 20:38 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-038930 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,798 Read SEC document |
| June 18, 2020 Filed Jul 23, 2020 16:52 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | Exercise / conversionRestricted Stock Units · Derivative | 8,169 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-008455 · edgar.xml · derivative · entry 2 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,169 shares Expires not disclosed 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 restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. F1 · kind: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. F1 · derivative.expiration_date: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. Read SEC document |
| June 18, 2020 Filed Jul 23, 2020 16:52 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | Exercise / conversionCommon Stock, $.001 par value | 8,169 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-008455 · edgar.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,169 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: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. F1 · price: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. Read SEC document |
| April 07, 2020 Filed Apr 20, 2020 16:11 UTC | American Virtual Cloud Technologies, Inc. AVCT · Entity 121262 | GrantRestricted Stock Units · Derivative | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-009599 · ownership.xml · derivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2023-12-31 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning April 7, 2021 (each, a "Vesting Date"), provided that the Reporting Person's employment or service continues with the Issuer and its related entities through and on the applicable Vesting Date. Read SEC document |
| February 21, 2020 Filed Feb 24, 2020 22:09 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,234 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012059 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,298 Read SEC document |
| November 11, 2019 Filed Nov 12, 2019 21:28 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,388 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-056011 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,064 Read SEC document |
| August 08, 2019 Filed Aug 12, 2019 20:56 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,353 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-045541 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,676 Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 16:18 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | GrantRestricted Stock Units · Derivative | 8,169 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-007954 · edgar.xml · derivative · entry 2 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,169 Underlying: Common Stock · 8,169 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. Vested shares are delivered to the reporting person upon vesting. F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. Vested shares are delivered to the reporting person upon vesting. Read SEC document |
| May 10, 2019 Filed May 13, 2019 20:43 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,379 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-029363 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,323 Read SEC document |
| February 22, 2019 Filed Feb 25, 2019 21:22 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,413 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-012982 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,944 Read SEC document |
| November 27, 2018 Filed Nov 29, 2018 21:45 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 83 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-060259 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,531 Read SEC document |
| November 08, 2018 Filed Nov 13, 2018 21:22 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,404 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-058244 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,448 Read SEC document |
| August 07, 2018 Filed Aug 8, 2018 20:30 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,324 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-045837 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,044 Read SEC document |
| May 07, 2018 Filed May 8, 2018 20:59 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,293 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-028632 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,720 Read SEC document |
| February 27, 2018 Filed Feb 28, 2018 21:18 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | PurchaseCommon Stock, par value $0.01 per share | 1,750 | $16.00 | $28,000.00 |
DisclosureSEC source: 0001209191-18-014488 · doc4.xml · nonDerivative · entry 4 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Custodial Account Disclosed balance after: 1,750 Read SEC document |
| February 27, 2018 Filed Feb 28, 2018 21:18 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | PurchaseCommon Stock, par value $0.01 per share | 30,000 | $16.00 | $480,000.00 |
DisclosureSEC source: 0001209191-18-014488 · doc4.xml · nonDerivative · entry 3 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 30,000 Read SEC document |
| February 27, 2018 Filed Feb 28, 2018 21:18 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | PurchaseCommon Stock, par value $0.01 per share | 30,000 | $16.00 | $480,000.00 |
DisclosureSEC source: 0001209191-18-014488 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,427 Read SEC document |
| February 22, 2018 Filed Feb 23, 2018 22:14 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-013077 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,427 Read SEC document |
| November 07, 2017 Filed Nov 9, 2017 21:31 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 1,268 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-059980 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,093 Read SEC document |
| August 08, 2017 Filed Aug 9, 2017 21:28 UTC | Invesco Mortgage Capital Inc. IVR · Entity 5185 | GrantCommon Stock, par value $0.01 per share | 825 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-048312 · doc4.xml · nonDerivative · entry 1 LOCKHART DENNIS P · CIK 0001196261 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 825 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.