Every SEC Form 3/4/5 on record for this filer (CIK 1209402) — 3 issuers, 15 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 |
|---|---|---|---|---|---|
| CODA | Coda Octopus Group, Inc. | Director · lapsed | 2018-11-02 → 2023-09-29 | 6 | −$3M |
| LLEX | LILIS ENERGY, INC. | Director · lapsed | 2015-07-31 → 2018-05-16 | 8 | $130,500 |
| COGI | Coda Octopus Group, Inc. | 10% owner · lapsed | 2017-04-18 → 2017-04-18 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| CODA | 2023-09-28 | Sell | 105,006 | $6.03 | $633,186 | 609,331 |
| CODA | 2023-09-27 | Sell | 144,994 | $6.03 | $874,314 | 714,337 |
| CODA | 2020-03-03 | Sell | 60,000 | $6.15 | $369,000 | 859,331 |
| CODA | 2020-02-25 | Sell | 100,000 | $6.32 | $632,000 | 919,331 |
| CODA | 2019-07-25 | Sell | 4,864 | $13.05 | $63,475 | 1,019,331 |
| CODA | 2019-06-27 | Sell | 15,000 | $12.75 | $191,250 | 1,024,195 |
| LLEX | 2018-05-14 | Buy | 30,000 | $4.35 | $130,500 | 2,783,675 |
1 of 3 issuers are covered and open a security page; the rest are on file here only.
