EMMIS COMMUNICATIONS CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-04-09: Reporting owner 2012 Retention Plan Trust; Form 3; Security Preferred Stock; Transaction Holding.
- 2012-04-02: Reporting owner SMULYAN JEFFREY H; Form 4/A; Security 6.25% Series A Cumulative Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2012-04-02: Reporting owner SMULYAN JEFFREY H; Form 4; Security Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2011-07-18: Reporting owner GALE DAVID; Form 3; Security Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-04-09 holding as of filing | 2012 Retention Plan Trust 10% Owner | 3 | Preferred Stock Derivative · Direct | Holding | no price filed | 2012-04-09 | ||
| 2012-04-02 | SMULYAN JEFFREY H Director, Officer (Chairman and CEO), 10% Owner | 4/A | 6.25% Series A Cumulative Convertible Preferred Stock Derivative · Indirect · By 2012 Retention Plan Trust | J Other acquisition or disposition (describe transaction) | +400,000 400,000 owned after | $0.00 | 2012-04-09 | |
| 2012-04-02 | SMULYAN JEFFREY H Director, Officer (Chairman and CEO), 10% Owner | 4 | Preferred Stock Non-derivative · Indirect · By 2012 Retention Plan Trust | J Other acquisition or disposition (describe transaction) | +400,000 400,000 owned after | $0.00 | 2012-04-03 | |
| 2011-07-18 holding as of filing | GALE DAVID Director | 3 | Preferred Stock Derivative · Direct | Holding | no price filed | 2011-07-18 | ||
| 2011-03-29 | AMALGAMATED GADGET LP | RAYNOR GEOFFREY | SCEPTER HOLDINGS INC 10% Owner | 10% Owner | 10% Owner | 4 | 6.25% Series A Cumulative Convertible Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −65,000 272,050 owned after | $16.50 | 2011-03-31 | |
| 2010-07-19 holding as of filing | Radoff Family Foundation | Radoff Bradley Louis 10% Owner | 10% Owner | 3 | 6.25% Series A Cumulative Convertible Preferred Stock Non-derivative · Direct | Holding | 10,000 owned after | no price filed | 2010-07-19 | |
| 2010-07-19 holding as of filing | Radoff Family Foundation | Radoff Bradley Louis 10% Owner | 10% Owner | 3 | 6.25% Series A Cumulative Convertible Preferred Stock Non-derivative · Direct | Holding | 37,500 owned after | no price filed | 2010-07-19 | |
| 2010-07-19 holding as of filing | Don DeFosset Other (member of 10% owner group) | 3 | 6.25% Series A Cumulative Convertible Preferred Stock Non-derivative · Indirect · General Partner of DJD Group, LLLP, which directly owns the referenced securities | Holding | 101,210 owned after | no price filed | 2010-07-19 | |
| 2010-07-19 holding as of filing | DJD GROUP, LLLP Other (member of 10% owner group) | 3 | 6.25% Series A Cumulative Convertible Preferred Stock Non-derivative · Direct | Holding | 101,210 owned after | no price filed | 2010-07-19 | |
| 2010-07-16 holding as of filing | KING LUTHER CAPITAL MANAGEMENT CORP | King John Bryan | King Luther Jr | LKCM Private Discipline Master Fund, SPC Other (See below) | Other (See below) | Other (See below) | Other (See below) | 3 | 6.25% Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $20.50 exercise price | 2010-07-16 | ||
| 2010-05-24 holding as of filing | Alden Global Distressed Opportunities Master Fund, L.P. | Smith Management LLC | Alden Global Capital Ltd 10% Owner | 10% Owner | 10% Owner | 3 | 6.25% Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2010-05-24 | ||
| 2010-05-06 holding as of filing | SCEPTER HOLDINGS INC | RAYNOR GEOFFREY | AMALGAMATED GADGET LP 10% Owner | 10% Owner | 10% Owner | 3 | 6.25% Series A Cumulative Convertible Preferred Stock Derivative · Direct | Holding | $20.50 exercise price | 2010-05-06 | ||
| 2010-05-03 | SMITH RANDALL D | ALDEN GLOBAL DISTRESSED OPPORTUNITIES FUND LP | AGDOF SLP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | 6.25% Series A Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,162,737 0 owned after | no price filed | 2010-05-24 | |
| 2010-04-26 holding as of filing | Alden Global Distressed Opportunities Fund GP, LLC | SMITH RANDALL D | ALDEN GLOBAL DISTRESSED OPPORTUNITIES FUND LP 10% Owner | 10% Owner | 10% Owner | 3 | 6.25% Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-26 | ||
| 2010-03-31 | SMITH RANDALL D | ALDEN GLOBAL DISTRESSED OPPORTUNITIES FUND LP | Alden Global Distressed Opportunities Fund GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | 6.25% Series A Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +510 1,162,737 owned after | $15.13 | 2010-04-26 | |
| 2010-03-30 | SMITH RANDALL D | ALDEN GLOBAL DISTRESSED OPPORTUNITIES FUND LP | Alden Global Distressed Opportunities Fund GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | 6.25% Series A Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +7,785 1,162,227 owned after | $15.13 | 2010-04-26 | |
| 2010-03-29 | SMITH RANDALL D | ALDEN GLOBAL DISTRESSED OPPORTUNITIES FUND LP | Alden Global Distressed Opportunities Fund GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | 6.25% Series A Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +72,563 1,154,442 owned after | $15.48 | 2010-04-26 | |
| 2010-01-05 | Alden Global Distressed Opportunities Fund GP, LLC | ALDEN GLOBAL DISTRESSED OPPORTUNITIES FUND LP | SMITH RANDALL D 10% Owner | 10% Owner | 10% Owner | 4 | 6.25% Series A Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +125,783 1,081,879 owned after | $15.13 | 2010-04-26 | |
| 2010-01-05 | King Luther Jr | King John Bryan | LKCM Private Discipline Master Fund, SPC | KING LUTHER CAPITAL MANAGEMENT CORP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −125,783 243,962 owned after | $15.00 | 2010-01-06 | |
| 2009-12-09 holding as of filing | King Luther Jr | King John Bryan | KING LUTHER CAPITAL MANAGEMENT CORP | LKCM Private Discipline Master Fund, SPC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | 225,783 owned after | $20.50 exercise price | 2009-12-09 | |
| 2009-11-06 holding as of filing | King Luther Jr | King John Bryan | KING LUTHER CAPITAL MANAGEMENT CORP | LKCM Private Discipline Master Fund, SPC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | 225,783 owned after | $20.50 exercise price | 2009-11-06 | |
| 2009-11-04 | LKCM Private Discipline Master Fund, SPC | King Luther Jr | KING LUTHER CAPITAL MANAGEMENT CORP | King John Bryan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −1,005 225,783 owned after | $16.75 | 2009-11-04 | |
| 2009-11-03 | LKCM Private Discipline Master Fund, SPC | King Luther Jr | KING LUTHER CAPITAL MANAGEMENT CORP | King John Bryan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −200 226,788 owned after | $16.82 | 2009-11-04 | |
| 2009-10-30 | King John Bryan | King Luther Jr | KING LUTHER CAPITAL MANAGEMENT CORP | LKCM Private Discipline Master Fund, SPC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −3,370 226,988 owned after | $16.61 | 2009-11-02 | |
| 2009-10-20 holding as of filing | LKCM Private Discipline Master Fund, SPC | King Luther Jr | King John Bryan | KING LUTHER CAPITAL MANAGEMENT CORP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | 230,358 owned after | $20.50 exercise price | 2009-10-20 | |
| 2009-10-16 holding as of filing | LKCM Private Discipline Master Fund, SPC | KING LUTHER CAPITAL MANAGEMENT CORP | King Luther Jr | King John Bryan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | 230,358 owned after | $20.50 exercise price | 2009-10-16 | |
| 2009-03-17 holding as of filing | KING LUTHER CAPITAL MANAGEMENT CORP | King John Bryan | King Luther Jr | LKCM Private Discipline Master Fund, SPC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Cumulative Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $20.50 exercise price | 2009-03-17 |