Every SEC Form 3/4/5 on record for this filer (CIK 1213183) — 4 issuers, 21 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 |
|---|---|---|---|---|---|
| SUNW | Sunworks, Inc. | Director · lapsed | 2016-09-08 → 2020-12-02 | 12 | −$407,549 |
| REED | REED'S, INC. | Director · lapsed | 2016-12-21 → 2017-08-28 | 3 | — |
| NLST | NETLIST INC | Director · lapsed | 2016-01-07 → 2017-03-07 | 2 | — |
| NEWP | NEW PACIFIC METALS CORP | SVP, CFO and Treasurer · lapsed | 2016-03-16 → 2016-05-02 | 3 | −$294,394 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| SUNW | 2020-12-02 | Sell | 2,453 | $3.98 | $9,763 | — |
| SUNW | 2020-11-27 | Sell | 82,173 | $5.85 | $480,712 | 2,453 |
| SUNW | 2018-11-15 | Buy | 14,153 | $0.42 | $5,944 | 340,101 |
| SUNW | 2018-11-14 | Buy | 10,847 | $0.43 | $4,664 | 325,948 |
| SUNW | 2018-08-14 | Buy | 20,000 | $0.70 | $14,000 | 273,434 |
| SUNW | 2017-11-27 | Buy | 20,000 | $1.01 | $20,200 | 44,100 |
| SUNW | 2017-08-21 | Buy | 10,000 | $1.59 | $15,900 | 24,100 |
3 of 4 issuers are covered and open a security page; the rest are on file here only.
