LEVEL 3 PARENT, LLC Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 61 rows, 61 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-02-15: Reporting owner SCOTT WALTER JR; Form 4; Security Convertible Senior Notes due 2013 (15%); Transaction S Open market or private sale of non-derivative or derivative security.
- 2012-02-14: Reporting owner SCOTT WALTER JR; Form 4; Security Convertible Senior Notes due 2013 (15%); Transaction S Open market or private sale of non-derivative or derivative security.
- 2011-11-04: Reporting owner SCOTT WALTER JR; Form 4; Security Convertible Senior Notes due 2013 (15%); Transaction S Open market or private sale of non-derivative or derivative security.
- 2011-08-30: Reporting owner SCOTT WALTER JR; Form 4; Security 15% Convertible Senor Notes due 2013; Transaction S Open market or private sale of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-02-15 | SCOTT WALTER JR Director | 4 | Convertible Senior Notes due 2013 (15%) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −9,862 0 owned after | $11,439,920.00 | 2012-02-16 | |
| 2012-02-14 | SCOTT WALTER JR Director | 4 | Convertible Senior Notes due 2013 (15%) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,000 9,862 owned after | $2,325,000.00 | 2012-02-16 | |
| 2011-11-04 | SCOTT WALTER JR Director | 4 | Convertible Senior Notes due 2013 (15%) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,000 11,862 owned after | $1,307,500.00 | 2011-11-07 | |
| 2011-08-30 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −600 12,862 owned after | $833,750.00 | 2011-08-30 | |
| 2011-08-29 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,000 13,462 owned after | $1,369,166.67 | 2011-08-30 | |
| 2011-08-15 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,000 14,462 owned after | $2,857,500.00 | 2011-08-17 | |
| 2011-08-09 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −600 16,462 owned after | $787,500.00 | 2011-08-11 | |
| 2011-08-03 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,200 17,062 owned after | $1,811,500.00 | 2011-08-04 | |
| 2011-07-29 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −6,200 18,262 owned after | $9,347,277.80 | 2011-08-02 | |
| 2011-07-15 | JULIAN ROBERT E Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Direct · (m) | C Conversion of derivative security | −1,640 0 owned after | $1.80 exercise price | 2011-07-15 | |
| 2011-07-15 | JULIAN ROBERT E Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Indirect · (m) | C Conversion of derivative security | −980 0 owned after | $1.80 exercise price | 2011-07-15 | |
| 2011-07-06 | WATSA V PREM ET AL | 810679 ONTARIO LTD | FAIRFAX FINANCIAL HOLDINGS LTD/ CAN | NORTH RIVER INSURANCE CO | SIXTY TWO INVESTMENT CO LTD | Fairfax (Barbados) International Corp. | Falcon Insurance Co (Hong Kong) Ltd | 1109519 ONTARIO LTD | ODYSSEY AMERICA REINSURANCE CORP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 15% Convertible Senior Notes due 2013 (?Notes?) Derivative · Direct | C Conversion of derivative security | 0 owned after | no price filed | 2011-07-08 | |
| 2011-07-01 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Direct | G Bona fide gift | −4,908 24,462 owned after | $1.80 exercise price | 2011-07-01 | |
| 2011-05-17 holding as of filing | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Direct | Holding | 29,370 owned after | $1.80 exercise price | 2011-05-17 | |
| 2011-05-13 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Indirect · Charitable Remainder Trust | S Open market or private sale of non-derivative or derivative security | −3,200 0 owned after | $4,338,720.00 | 2011-05-17 | |
| 2011-05-13 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Indirect · Suzanne and Walter Scott CRUT | S Open market or private sale of non-derivative or derivative security | −2,116 0 owned after | $2,868,979.00 | 2011-05-17 | |
| 2011-05-13 | SCOTT WALTER JR Director | 4 | 15% Convertible Senor Notes due 2013 Derivative · Indirect · WS Charitable Remainder Unitrust II | S Open market or private sale of non-derivative or derivative security | −2,290 0 owned after | $3,104,897.00 | 2011-05-17 | |
| 2011-01-31 | 1109519 ONTARIO LTD | FAIRFAX FINANCIAL HOLDINGS LTD/ CAN | SIXTY TWO INVESTMENT CO LTD | 810679 ONTARIO LTD | WATSA V PREM ET AL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 9% Convertible Senior Discount Notes due 2013 (Notes) Derivative · Direct | J Other acquisition or disposition (describe transaction) | 0 owned after | no price filed | 2011-01-31 | |
| 2009-10-16 | 1109519 ONTARIO LTD | 810679 ONTARIO LTD | SIXTY TWO INVESTMENT CO LTD | FAIRFAX FINANCIAL HOLDINGS LTD/ CAN | WATSA V PREM ET AL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 7% Convertible Senior Notes due 2015, Series B (?Notes?) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | $75,000,000.00 | 2009-10-20 | ||
| 2009-01-05 holding as of filing | SCOTT WALTER JR Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Indirect · Suzanne and Walter Scott CRUT | Holding | 2,116 owned after | $1.80 exercise price | 2009-01-05 | |
| 2009-01-05 holding as of filing | SCOTT WALTER JR Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Indirect · WS Charitable Remainder Unitrust II | Holding | 2,290 owned after | $1.80 exercise price | 2009-01-05 | |
| 2008-12-31 | SCOTT WALTER JR Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,000 29,370 owned after | $23,000,000.00 | 2009-01-05 | |
| 2008-12-31 | SCOTT WALTER JR Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,200 3,200 owned after | $3,200,000.00 | 2009-01-05 | |
| 2008-12-31 | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes Due 2009 Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $23,000,000.00 | 2009-01-05 | |
| 2008-12-31 | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes Due 2009 Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,500 0 owned after | $3,220,000.00 | 2009-01-05 | |
| 2008-12-24 | SCOTT WALTER JR Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,370 6,370 owned after | $6,370,000.00 | 2008-12-29 | |
| 2008-12-24 | SCOTT WALTER JR Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,116 2,116 owned after | $2,116,000.00 | 2008-12-29 | |
| 2008-12-24 | SCOTT WALTER JR Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,290 2,290 owned after | $2,290,000.00 | 2008-12-29 | |
| 2008-12-24 | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,100 0 owned after | $6,370,000.00 | 2008-12-29 | |
| 2008-12-24 | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,025 0 owned after | $2,117,500.00 | 2008-12-29 | |
| 2008-12-24 | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,275 0 owned after | $2,292,500.00 | 2008-12-29 | |
| 2008-12-24 | JULIAN ROBERT E Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +420 420 owned after | $420,000.00 | 2008-12-29 | |
| 2008-12-24 | JULIAN ROBERT E Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,220 1,220 owned after | $1,220,000.00 | 2008-12-29 | |
| 2008-12-24 | JULIAN ROBERT E Director | 4 | 15% Convertible Senior Notes due 2013 Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +980 980 owned after | $980,000.00 | 2008-12-29 | |
| 2008-12-24 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,736 0 owned after | $1,215,200.00 | 2008-12-29 | |
| 2008-12-24 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −625 0 owned after | $437,500.00 | 2008-12-29 | |
| 2008-12-24 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,400 0 owned after | $980,000.00 | 2008-12-29 | |
| 2008-12-24 | SIXTY TWO INVESTMENT CO LTD | ODYSSEY RE HOLDINGS CORP | ODYSSEY AMERICA REINSURANCE CORP | NORTH RIVER INSURANCE CO | 1109519 ONTARIO LTD | Fairfax (Barbados) International Corp. | 810679 ONTARIO LTD | Falcon Insurance Co (Hong Kong) Ltd | FAIRFAX FINANCIAL HOLDINGS LTD/ CAN | WATSA V PREM ET AL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 15% Convertible Senior Notes due 2013 (?Notes?) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | $100,062,000.00 | 2008-12-24 | ||
| 2008-11-14 holding as of filing | 1109519 ONTARIO LTD | 810679 ONTARIO LTD | TIG INSURANCE CO | WATSA V PREM ET AL | ODYSSEY AMERICA REINSURANCE CORP | FAIRFAX FINANCIAL HOLDINGS LTD/ CAN | UNITED STATES FIRE INSURANCE CO | SIXTY TWO INVESTMENT CO LTD | ODYSSEY RE HOLDINGS CORP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 9% Convertible Senior Discount Notes due 2013 (?Notes?) Derivative · Indirect · See Footnote | Holding | no price filed | 2008-11-14 | ||
| 2008-11-14 holding as of filing | FAIRFAX FINANCIAL HOLDINGS LTD/ CAN | Lombard Insurance CO | MARKEL INSURANCE CO OF CANADA | Federated Insurance CO of Canada | Fairfax (Barbados) International Corp. | COMMONWEALTH INSURANCE CO | Northbridge Financial CORP | LOMBARD GENERAL INSURANCE CO OF CANADA 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 9% Convertible Senior Discount Notes due 2013 (?Notes?) Derivative · Indirect · See Footnote | Holding | no price filed | 2008-11-14 | ||
| 2008-09-11 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +200 625 owned after | $186,689.00 | 2008-11-18 | |
| 2008-09-11 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +500 1,400 owned after | $465,625.00 | 2008-11-18 | |
| 2008-07-25 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +500 1,136 owned after | $467,335.00 | 2008-11-18 | |
| 2008-07-25 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +600 1,736 owned after | $561,000.00 | 2008-11-18 | |
| 2008-05-01 | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,600 9,100 owned after | $2,271,100.00 | 2008-05-01 | |
| 2008-05-01 holding as of filing | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · Suzanne and Walter Scott CRUT | Holding | 3,025 owned after | $134.84 exercise price | 2008-05-01 | |
| 2008-05-01 holding as of filing | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · WS Charitable Remainder Unitrust II | Holding | 3,275 owned after | $134.84 exercise price | 2008-05-01 | |
| 2008-04-30 | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,000 6,500 owned after | $2,612,500.00 | 2008-05-01 | |
| 2008-04-29 | SCOTT WALTER JR Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,500 3,500 owned after | $3,019,916.67 | 2008-05-01 | |
| 2007-11-13 | SCOTT WALTER JR Director, Officer (Chairman of the Board) | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · Suzanne and Walter Scott CRUT | P Open market or private purchase of non-derivative or derivative security | +725 3,025 owned after | $674,370.83 | 2007-11-13 | |
| 2007-11-13 | SCOTT WALTER JR Director, Officer (Chairman of the Board) | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · WS Charitable Remainder Unitrust II | P Open market or private purchase of non-derivative or derivative security | +775 3,275 owned after | $720,879.17 | 2007-11-13 | |
| 2007-11-09 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +425 425 owned after | $393,131.00 | 2008-11-18 | |
| 2007-11-08 | SCOTT WALTER JR Director, Officer (Chairman of the Board) | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · Suzanne and Walter Scott CRUT | P Open market or private purchase of non-derivative or derivative security | +1,150 2,300 owned after | $1,069,116.00 | 2007-11-08 | |
| 2007-11-08 | SCOTT WALTER JR Director, Officer (Chairman of the Board) | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · WS Charitable Remainder Unitrust II | P Open market or private purchase of non-derivative or derivative security | +1,250 2,500 owned after | $1,162,083.00 | 2007-11-08 | |
| 2007-10-31 | SCOTT WALTER JR Director, Officer (Chairman of the Board) | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · Suzanne and Walter Scott CRUT | P Open market or private purchase of non-derivative or derivative security | +1,150 1,150 owned after | $1,067,583.33 | 2007-11-01 | |
| 2007-10-31 | SCOTT WALTER JR Director, Officer (Chairman of the Board) | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · WS Charitable Remainder Unitrust II | P Open market or private purchase of non-derivative or derivative security | +1,250 1,250 owned after | $1,160,416.67 | 2007-11-01 | |
| 2007-05-18 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +300 636 owned after | $289,881.00 | 2008-11-18 | |
| 2007-05-17 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +400 900 owned after | $388,000.00 | 2008-11-18 | |
| 2007-05-01 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +215 500 owned after | $208,550.00 | 2008-11-18 | |
| 2007-04-17 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +336 336 owned after | $325,860.00 | 2008-11-18 | |
| 2007-04-04 | JULIAN ROBERT E Director | 4 | 6% Convertible Subordinated Notes due 2010 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +285 285 owned after | $276,550.00 | 2008-11-18 |