ASHFORD INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-11-18: Reporting owner Welter Jeremy; Form 4; Security Series D Convertible Preferred Stock; Transaction Holding.
- 2019-11-15: Reporting owner Welter Jeremy; Form 4; Security Series D Convertible Preferred Stock; Transaction Holding.
- 2019-11-06: Reporting owner BENNETT ARCHIE JR; Form 4; Security Series B Convertible Preferred Stock; Transaction H Expiration (or cancellation) of long derivative position with value received.
- 2019-11-06: Reporting owner BENNETT ARCHIE JR; Form 4; Security Series D Convertible Preferred Stock; 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-11-18 holding as of filing | Welter Jeremy Officer (Co-President and COO) | 4 | Series D Convertible Preferred Stock Derivative · Direct | Holding | 6,893 owned after | $0.21 exercise price | 2019-11-18 | |
| 2019-11-15 holding as of filing | Welter Jeremy Officer (Co-President and COO) | 4 | Series D Convertible Preferred Stock Derivative · Direct | Holding | 6,893 owned after | $0.21 exercise price | 2019-11-15 | |
| 2019-11-06 | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | H Expiration (or cancellation) of long derivative position with value received | −3,720,000 0 owned after | $0.18 exercise price | 2019-11-07 | |
| 2019-11-06 | BENNETT ARCHIE JR 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +9,199,300 9,199,300 owned after | $0.21 exercise price | 2019-11-07 | |
| 2019-11-06 | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | H Expiration (or cancellation) of long derivative position with value received | −40,000 0 owned after | $0.18 exercise price | 2019-11-07 | |
| 2019-11-06 | BENNETT ARCHIE JR 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +40,000 40,000 owned after | $0.21 exercise price | 2019-11-07 | |
| 2019-11-06 | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | H Expiration (or cancellation) of long derivative position with value received | −40,000 0 owned after | $0.18 exercise price | 2019-11-07 | |
| 2019-11-06 | BENNETT ARCHIE JR 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +40,000 40,000 owned after | $0.21 exercise price | 2019-11-07 | |
| 2019-11-06 | Bennett Monty J Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,720,000 0 owned after | $0.18 exercise price | 2019-11-07 | |
| 2019-11-06 | Bennett Monty J Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −80,000 0 owned after | $0.18 exercise price | 2019-11-07 | |
| 2019-11-06 | Bennett Monty J Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,047,300 9,047,300 owned after | $0.21 exercise price | 2019-11-07 | |
| 2019-11-06 | Bennett Monty J Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $0.21 exercise price | 2019-11-07 | |
| 2019-11-06 | Bennett Monty J Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +152,000 152,000 owned after | $0.21 exercise price | 2019-11-07 | |
| 2019-11-06 | Welter Jeremy Officer (Co-President and COO) | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,400 6,893 owned after | $0.21 exercise price | 2019-11-07 | |
| 2019-10-02 holding as of filing | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | 3,720,000 owned after | $0.18 exercise price | 2019-10-02 | |
| 2019-10-02 holding as of filing | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 40,000 owned after | $0.18 exercise price | 2019-10-02 | |
| 2019-10-02 holding as of filing | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 40,000 owned after | $0.18 exercise price | 2019-10-02 | |
| 2019-06-28 holding as of filing | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | 3,720,000 owned after | $0.18 exercise price | 2019-06-28 | |
| 2019-06-28 holding as of filing | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 40,000 owned after | $0.18 exercise price | 2019-06-28 | |
| 2019-06-28 holding as of filing | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 40,000 owned after | $0.18 exercise price | 2019-06-28 | |
| 2019-04-15 holding as of filing | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | 3,720,000 owned after | $0.18 exercise price | 2019-04-15 | |
| 2019-04-15 holding as of filing | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 40,000 owned after | $0.18 exercise price | 2019-04-15 | |
| 2019-04-15 holding as of filing | BENNETT ARCHIE JR 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 40,000 owned after | $0.18 exercise price | 2019-04-15 | |
| 2019-03-01 holding as of filing | Bennett Monty J Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 4,000,000 owned after | $0.18 exercise price | 2019-03-01 |