Every SEC Form 3/4/5 on record for this filer (CIK 1093960) — 3 issuers, 53 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 |
|---|---|---|---|---|---|
| DOUG | Douglas Elliman Inc. | Director | 2021-12-21 → 2026-04-14 | 7 | $174,491 |
| LTS | LADENBURG THALMANN FINANCIAL SERVICES INC. | Executive Vice President · lapsed | 2015-08-18 → 2020-02-14 | 26 | $84,140 |
| ROX | Castle Brands Inc | Director · lapsed | 2015-08-12 → 2019-10-09 | 7 | $33,600 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| DOUG | 2024-07-10 | Buy | 40,000 | $1.18 | $47,200 | 297,310 |
| DOUG | 2024-07-09 | Buy | 54,437 | $1.16 | $63,147 | 257,310 |
| DOUG | 2024-07-08 | Buy | 58,313 | $1.10 | $64,144 | 202,873 |
| LTS | 2020-02-12 | Sell | 4,000 | $25.07 | $100,280 | — |
1 of 3 issuers are covered and open a security page; the rest are on file here only.
