Every SEC Form 3/4/5 on record for this filer (CIK 1040899) — 6 issuers, 193 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| PBPB | POTBELLY CORP | 10% owner | 2024-08-07 → 2025-03-31 | 5 | $322,018 |
| FTK | FLOTEK INDUSTRIES INC/CN/ | Director · lapsed | 2018-06-05 → 2023-12-15 | 27 | $6M |
| HWCC | Houston Wire & Cable CO | Director · lapsed | 2020-03-17 → 2021-06-21 | 3 | $799,600 |
| RST | ROSETTA STONE INC | Director · lapsed | 2016-05-20 → 2020-10-16 | 15 | −$14M |
| RVSB | RIVERVIEW BANCORP INC | Director · lapsed | 2016-05-03 → 2020-03-17 | 5 | $427,360 |
| RVSP | RIVERVIEW BANCORP INC | Director · lapsed | 2018-11-01 → 2019-09-04 | 2 | $209,665 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| PBPB | 2025-03-28 | Buy | 22,169 | $9.36 | $207,502 | 124,167 |
| PBPB | 2025-01-07 | Buy | 7,500 | $9.23 | $69,225 | 101,898 |
| PBPB | 2025-01-07 | Buy | 100 | $9.24 | $924 | 101,998 |
| PBPB | 2024-12-18 | Buy | 3,150 | $9.34 | $29,421 | 3,150 |
| PBPB | 2024-12-18 | Buy | 1,590 | $9.40 | $14,946 | 1,590 |
| FTK | 2023-12-14 | Buy | 11,948 | $3.72 | $44,447 | 765,150 |
| FTK | 2023-12-14 | Buy | 6,785 | $3.72 | $25,240 | 434,580 |
| FTK | 2023-12-14 | Buy | 748 | $3.72 | $2,783 | 47,907 |
| FTK | 2023-12-13 | Buy | 1,272 | $3.53 | $4,490 | 47,159 |
| FTK | 2023-12-13 | Buy | 20,310 | $3.53 | $71,694 | 753,202 |
2 of 6 issuers are covered and open a security page; the rest are on file here only.
