Every SEC Form 3/4/5 on record for this filer (CIK 1521229) — 4 issuers, 10 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
This filer is an entity, not a person. This reporting owner's name carries a corporate/fund legal form, so it is an ENTITY filing under Section 16 — typically a fund with a board-designation right or a 10% holder — not an individual. Its 'director' rows are the entity's designation right, not a person's board seat.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| WRD | WeRide Inc. | Director · lapsed | 2016-12-13 → 2019-02-05 | 3 | — |
| TPLM | Triangle Petroleum Corp | Filer · lapsed | 2015-07-01 → 2017-10-23 | 29 | −$552,752 |
| PTXP | PennTex Midstream Partners, LP | Director · lapsed | 2015-07-08 → 2016-11-03 | 3 | — |
| RICE | Rice Energy Inc. | 10% owner · lapsed | 2016-04-18 → 2016-04-18 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| PTXP | 2016-11-01 | Sell | 3,262,019 | — | $0 | — |
| TPLM | 2016-06-08 | Sell | 592,380 | $0.28 | $165,866 | 5,646,172 |
| TPLM | 2016-06-03 | Sell | 298,137 | $0.20 | $59,627 | 6,613,572 |
| TPLM | 2016-06-02 | Sell | 494,811 | $0.20 | $98,962 | 6,911,709 |
| TPLM | 2016-06-01 | Sell | 605,504 | $0.15 | $90,826 | 7,406,520 |
| TPLM | 2016-05-31 | Sell | 500,100 | $0.17 | $85,017 | 8,012,024 |
| TPLM | 2016-05-25 | Sell | 100,000 | $0.23 | $23,000 | 9,066,120 |
| TPLM | 2016-05-24 | Sell | 133,880 | $0.22 | $29,454 | 9,166,120 |
1 of 4 issuers are covered and open a security page; the rest are on file here only.
