Lilis Energy, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 70 rows, 70 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-02-20: Reporting owner CARSTAIRS ILFRYN | Varde Skyway Fund UGP, LLC | VARDE INVESTMENT PARTNERS UGP, LLC; Form 3; Security Series E 8.25% Convertible Participating Preferred Stock; Transaction Holding.
- 2019-03-05: Reporting owner Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP; Form 4; Security Series C-1 9.75% Non-Convertible Participating Preferred; Transaction J Other acquisition or disposition (describe transaction).
- 2019-03-05: Reporting owner Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP; Form 4; Security Series C-2 9.75% Non-Convertible Participating Preferred; Transaction J Other acquisition or disposition (describe transaction).
- 2019-03-05: Reporting owner Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP; Form 4; Security Series D 8.25% Non-Convertible Participating Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-02-20 holding as of filing | CARSTAIRS ILFRYN | Varde Skyway Fund UGP, LLC | VARDE INVESTMENT PARTNERS UGP, LLC 10% Owner | Other (See Remarks) | Other | 3 | Series E 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | Holding | $1,000.00 exercise price | 2020-02-20 | ||
| 2019-03-05 | Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C-1 9.75% Non-Convertible Participating Preferred Non-derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +100,000 100,000 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C-2 9.75% Non-Convertible Participating Preferred Non-derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +25,000 25,000 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series D 8.25% Non-Convertible Participating Preferred Stock Non-derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +39,254 39,254 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series F 9.00% Participating Preferred Stock Non-derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +55,000 55,000 owned after | $1,000.00 | 2019-03-06 | |
| 2019-03-05 | Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series E 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +60,000 60,000 owned after | $1,000.00 | 2019-03-06 | |
| 2019-03-05 | Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C-1 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −100,000 0 owned after | $1.88 | 2019-03-06 | |
| 2019-03-05 | Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −25,000 0 owned after | $1.88 | 2019-03-06 | |
| 2019-03-05 | Varde Investment Partners G.P., LLC | Hicks George G | VARDE PARTNERS LP | VARDE PARTNERS INC | Varde Fund VI-A, L.P. | VARDE INVESTMENT PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −39,254 0 owned after | $1.88 | 2019-03-06 | |
| 2019-03-05 | Varde Fund XI (Master), L.P. | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. | Varde Fund XII UGP, LLC | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway fund G.P., LLC | Hicks George G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C-1 9.75% Non-Convertible Participating Preferred Non-derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +100,000 100,000 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Varde Fund XI (Master), L.P. | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. | Varde Fund XII UGP, LLC | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway fund G.P., LLC | Hicks George G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C-2 9.75% Non-Convertible Participating Preferred Non-derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +25,000 25,000 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Varde Fund XI (Master), L.P. | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. | Varde Fund XII UGP, LLC | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway fund G.P., LLC | Hicks George G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series D 8.25% Non-Convertible Participating Preferred Stock Non-derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +39,254 39,254 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Varde Fund XI (Master), L.P. | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. | Varde Fund XII UGP, LLC | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway fund G.P., LLC | Hicks George G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series F 9.00% Participating Preferred Stock Non-derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +55,000 55,000 owned after | $1,000.00 | 2019-03-06 | |
| 2019-03-05 | Varde Fund XI (Master), L.P. | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. | Varde Fund XII UGP, LLC | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway fund G.P., LLC | Hicks George G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series E 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +60,000 60,000 owned after | $1,000.00 | 2019-03-06 | |
| 2019-03-05 | Varde Fund XI (Master), L.P. | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. | Varde Fund XII UGP, LLC | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway fund G.P., LLC | Hicks George G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C-1 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −100,000 0 owned after | $1.88 | 2019-03-06 | |
| 2019-03-05 | Varde Fund XI (Master), L.P. | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. | Varde Fund XII UGP, LLC | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway fund G.P., LLC | Hicks George G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −25,000 0 owned after | $1.88 | 2019-03-06 | |
| 2019-03-05 | Varde Fund XI (Master), L.P. | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. | Varde Fund XII UGP, LLC | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway fund G.P., LLC | Hicks George G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −39,254 0 owned after | $1.88 | 2019-03-06 | |
| 2018-12-26 | Varde Fund VI-A, L.P. | Varde Investment Partners G.P., LLC | VARDE INVESTMENT PARTNERS LP | Varde Investment Partners (Offshore) Master, L.P. | VARDE PARTNERS INC | Hicks George G | VARDE PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-1 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −13,000 100,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Varde Fund VI-A, L.P. | Varde Investment Partners G.P., LLC | VARDE INVESTMENT PARTNERS LP | Varde Investment Partners (Offshore) Master, L.P. | VARDE PARTNERS INC | Hicks George G | VARDE PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-1 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +10,549 100,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Varde Fund VI-A, L.P. | Varde Investment Partners G.P., LLC | VARDE INVESTMENT PARTNERS LP | Varde Investment Partners (Offshore) Master, L.P. | VARDE PARTNERS INC | Hicks George G | VARDE PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-1 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +2,451 100,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Varde Fund VI-A, L.P. | Varde Investment Partners G.P., LLC | VARDE INVESTMENT PARTNERS LP | Varde Investment Partners (Offshore) Master, L.P. | VARDE PARTNERS INC | Hicks George G | VARDE PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −3,250 25,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Varde Fund VI-A, L.P. | Varde Investment Partners G.P., LLC | VARDE INVESTMENT PARTNERS LP | Varde Investment Partners (Offshore) Master, L.P. | VARDE PARTNERS INC | Hicks George G | VARDE PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +2,637 25,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Varde Fund VI-A, L.P. | Varde Investment Partners G.P., LLC | VARDE INVESTMENT PARTNERS LP | Varde Investment Partners (Offshore) Master, L.P. | VARDE PARTNERS INC | Hicks George G | VARDE PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +613 25,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Varde Fund VI-A, L.P. | Varde Investment Partners G.P., LLC | VARDE INVESTMENT PARTNERS LP | Varde Investment Partners (Offshore) Master, L.P. | VARDE PARTNERS INC | Hicks George G | VARDE PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −5,103 39,254 owned after | $5.50 exercise price | 2019-02-14 | |
| 2018-12-26 | Varde Fund VI-A, L.P. | Varde Investment Partners G.P., LLC | VARDE INVESTMENT PARTNERS LP | Varde Investment Partners (Offshore) Master, L.P. | VARDE PARTNERS INC | Hicks George G | VARDE PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +4,141 39,254 owned after | $5.50 exercise price | 2019-02-14 | |
| 2018-12-26 | Varde Fund VI-A, L.P. | Varde Investment Partners G.P., LLC | VARDE INVESTMENT PARTNERS LP | Varde Investment Partners (Offshore) Master, L.P. | VARDE PARTNERS INC | Hicks George G | VARDE PARTNERS LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +962 39,254 owned after | $5.50 exercise price | 2019-02-14 | |
| 2018-12-26 | Hicks George G | Varde Skyway fund G.P., LLC | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII UGP, LLC | Varde Skyway Master Fund, L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-1 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −13,000 100,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Hicks George G | Varde Skyway fund G.P., LLC | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII UGP, LLC | Varde Skyway Master Fund, L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-1 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +10,549 100,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Hicks George G | Varde Skyway fund G.P., LLC | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII UGP, LLC | Varde Skyway Master Fund, L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-1 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +2,451 100,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Hicks George G | Varde Skyway fund G.P., LLC | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII UGP, LLC | Varde Skyway Master Fund, L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −3,250 25,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Hicks George G | Varde Skyway fund G.P., LLC | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII UGP, LLC | Varde Skyway Master Fund, L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +2,637 25,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Hicks George G | Varde Skyway fund G.P., LLC | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII UGP, LLC | Varde Skyway Master Fund, L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +613 25,000 owned after | $6.15 exercise price | 2019-02-14 | |
| 2018-12-26 | Hicks George G | Varde Skyway fund G.P., LLC | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII UGP, LLC | Varde Skyway Master Fund, L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −5,103 39,254 owned after | $5.50 exercise price | 2019-02-14 | |
| 2018-12-26 | Hicks George G | Varde Skyway fund G.P., LLC | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII UGP, LLC | Varde Skyway Master Fund, L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +4,141 39,254 owned after | $5.50 exercise price | 2019-02-14 | |
| 2018-12-26 | Hicks George G | Varde Skyway fund G.P., LLC | Varde Skyway Mini-Master Fund, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII UGP, LLC | Varde Skyway Master Fund, L.P. | Varde Fund XI G.P., LLC | Varde Skyway Fund, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 5 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +962 39,254 owned after | $5.50 exercise price | 2019-02-14 | |
| 2018-10-10 | Varde Investment Partners G.P., LLC | VARDE PARTNERS LP | VARDE PARTNERS INC | VARDE INVESTMENT PARTNERS LP | Hicks George G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +25,000 25,000 owned after | $6.15 | 2018-10-12 | |
| 2018-10-10 | Varde Investment Partners G.P., LLC | VARDE PARTNERS LP | VARDE PARTNERS INC | VARDE INVESTMENT PARTNERS LP | Hicks George G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +39,254 39,254 owned after | $5.50 | 2018-10-12 | |
| 2018-10-10 | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway Master Fund, L.P. | Hicks George G | Varde Fund XI G.P., LLC | Varde Fund XII UGP, LLC | Varde Fund VI-A, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Skyway fund G.P., LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 9.75% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +25,000 25,000 owned after | $6.15 | 2018-10-12 | |
| 2018-10-10 | Varde Investment Partners (Offshore) Master, L.P. | Varde Skyway Master Fund, L.P. | Hicks George G | Varde Fund XI G.P., LLC | Varde Fund XII UGP, LLC | Varde Fund VI-A, L.P. | Varde Fund XI (Master), L.P. | Varde Fund XII G.P., L.P. | Varde Fund XII (Master), L.P. | Varde Skyway fund G.P., LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D 8.25% Convertible Participating Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +39,254 39,254 owned after | $5.50 | 2018-10-12 | |
| 2018-01-31 | VARDE PARTNERS INC | Varde Investment Partners G.P., LLC | VARDE PARTNERS LP | VARDE INVESTMENT PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +41,600 18,134,353 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | VARDE PARTNERS INC | Varde Investment Partners G.P., LLC | VARDE PARTNERS LP | VARDE INVESTMENT PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +29,600 12,903,290 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | VARDE PARTNERS INC | Varde Investment Partners G.P., LLC | VARDE PARTNERS LP | VARDE INVESTMENT PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +13,000 5,666,985 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | VARDE PARTNERS INC | Varde Investment Partners G.P., LLC | VARDE PARTNERS LP | VARDE INVESTMENT PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +6,000 2,615,532 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | VARDE PARTNERS INC | Varde Investment Partners G.P., LLC | VARDE PARTNERS LP | VARDE INVESTMENT PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +3,000 1,307,766 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | VARDE PARTNERS INC | Varde Investment Partners G.P., LLC | VARDE PARTNERS LP | VARDE INVESTMENT PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +6,800 2,964,269 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | Varde Fund VI-A, L.P. | Varde Investment Partners (Offshore) Master, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XI G.P., LLC | Varde Fund XI (Master), L.P. | Varde Fund XII UGP, LLC | Varde Fund XII (Master), L.P. | Varde Skyway fund G.P., LLC | Hicks George G | Varde Skyway Master Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +41,600 18,134,353 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | Varde Fund VI-A, L.P. | Varde Investment Partners (Offshore) Master, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XI G.P., LLC | Varde Fund XI (Master), L.P. | Varde Fund XII UGP, LLC | Varde Fund XII (Master), L.P. | Varde Skyway fund G.P., LLC | Hicks George G | Varde Skyway Master Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +29,600 12,903,290 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | Varde Fund VI-A, L.P. | Varde Investment Partners (Offshore) Master, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XI G.P., LLC | Varde Fund XI (Master), L.P. | Varde Fund XII UGP, LLC | Varde Fund XII (Master), L.P. | Varde Skyway fund G.P., LLC | Hicks George G | Varde Skyway Master Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +13,000 5,666,985 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | Varde Fund VI-A, L.P. | Varde Investment Partners (Offshore) Master, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XI G.P., LLC | Varde Fund XI (Master), L.P. | Varde Fund XII UGP, LLC | Varde Fund XII (Master), L.P. | Varde Skyway fund G.P., LLC | Hicks George G | Varde Skyway Master Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +6,000 2,615,532 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | Varde Fund VI-A, L.P. | Varde Investment Partners (Offshore) Master, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XI G.P., LLC | Varde Fund XI (Master), L.P. | Varde Fund XII UGP, LLC | Varde Fund XII (Master), L.P. | Varde Skyway fund G.P., LLC | Hicks George G | Varde Skyway Master Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +3,000 1,307,766 owned after | $1,000.00 | 2018-02-02 | |
| 2018-01-31 | Varde Fund VI-A, L.P. | Varde Investment Partners (Offshore) Master, L.P. | Varde Fund XII G.P., L.P. | Varde Fund XI G.P., LLC | Varde Fund XI (Master), L.P. | Varde Fund XII UGP, LLC | Varde Fund XII (Master), L.P. | Varde Skyway fund G.P., LLC | Hicks George G | Varde Skyway Master Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Paricipating Preferred Stock Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +6,800 2,964,269 owned after | $1,000.00 | 2018-02-02 | |
| 2017-04-25 | Ormand Ronald D Director, Officer (Executive Chairman) | 4 | Series B 6% Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,000 0 owned after | $0.00 | 2017-04-27 | |
| 2017-04-25 | Mirman Abraham Director, Officer (Chief Executive Officer) | 4 | Series B 6% Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,650 0 owned after | $0.00 | 2017-04-27 | |
| 2017-01-30 | Dawson R Glenn Director | 4 | Series B 6% Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −125 0 owned after | $0.00 | 2017-02-02 | |
| 2016-08-24 | NANKE KEVIN K Officer (Executive Vice President & CFO) | 4 | Series B 6% Convertible Preferred Stock Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +200 200 owned after | no price filed | 2016-08-26 | |
| 2016-08-24 | Mirman Abraham Director, Officer (Chief Executive Officer) | 4 | Series B 6% Convertible Preferred Stock Derivative · Indirect · See footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200 1,650 owned after | no price filed | 2016-08-26 | |
| 2016-08-22 | Dawson R Glenn Director | 4 | Series B 6% Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +125 125 owned after | no price filed | 2016-08-23 | |
| 2016-06-23 | Ormand Ronald D Director | 4 | Series A 8% Convertible Preferred Stock Derivative · Indirect · Perugia Investments, L.P. | C Conversion of derivative security | −500 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | Mirman Abraham Director, Officer (Chief Executive Officer) | 4 | Series A 8% Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −250 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | MCPEAK MERRILL A Director | 4 | Series A 8% Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −250 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | BRANDOLINI NUNO Director | 4 | Series A 8% Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −100 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-14 | Ormand Ronald D Director | 4 | Series B 6% Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | no price filed | 2016-06-16 | |
| 2016-06-14 | Mirman Abraham Director, Officer (Chief Executive Officer) | 4 | Series B 6% Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +1,850 1,850 owned after | no price filed | 2016-06-16 | |
| 2015-03-27 holding as of filing | Ormand Ronald D Director | 3 | Series A 8% Convertible Preferred Stock Derivative · Indirect · By Perugia Investments, L.P. | Holding | no price filed | 2015-03-27 | ||
| 2015-02-09 holding as of filing | MCPEAK MERRILL A Director | 3 | Series A 8% Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-02-09 | ||
| 2014-12-09 holding as of filing | RUNNELS G TYLER Director | 3 | Series A 8% Convertible Preferred Stock Derivative · Indirect · By T.R. Winston & Company, LLC | Holding | no price filed | 2014-12-09 | ||
| 2014-12-09 holding as of filing | RUNNELS G TYLER Director | 3 | Series A 8% Convertible Preferred Stock Derivative · Indirect · By Runnels Family Trust DTD 1-11-2000 | Holding | no price filed | 2014-12-09 | ||
| 2014-09-16 | Mirman Abraham Director, Officer (CEO) | 4 | Series A 8% Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250 250 owned after | no price filed | 2014-09-16 | |
| 2014-05-30 | Mirman Abraham Officer (Chief Executive Officer) | 4 | Series A 8% Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250 250 owned after | no price filed | 2014-06-03 | |
| 2014-05-30 | BRANDOLINI NUNO Director | 4 | Series A 8% Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 100 owned after | no price filed | 2014-06-03 |