ALSERES PHARMACEUTICALS INC /DE Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows, 4 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-06-01: Reporting owner GIPSON ROBERT L; Form 4; Security CONVERTIBLE PREFERRED SERIES F; Transaction C Conversion of derivative security.
- 2009-04-16: Reporting owner GIPSON ROBERT L; Form 4; Security Series F Convertible Preferred; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2009-03-31: Reporting owner GIPSON ROBERT L; Form 4; Security Series F Convertible Preferred; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2009-03-16: Reporting owner GIPSON ROBERT L; Form 4; Security Series F Convertible Preferred; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-06-01 | GIPSON ROBERT L 10% Owner | 4 | CONVERTIBLE PREFERRED SERIES F Derivative · Direct | C Conversion of derivative security | −184,000 12,000 owned after | $25.00 | 2011-12-20 | |
| 2009-04-16 | GIPSON ROBERT L 10% Owner | 4 | Series F Convertible Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,000 60,000 owned after | $25.00 | 2009-04-23 | |
| 2009-03-31 | GIPSON ROBERT L 10% Owner | 4 | Series F Convertible Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,000 40,000 owned after | $25.00 | 2009-04-23 | |
| 2009-03-16 | GIPSON ROBERT L 10% Owner | 4 | Series F Convertible Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,000 20,000 owned after | $25.00 | 2009-04-23 |