PEREGRINE SEMICONDUCTOR CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 66 rows, 66 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-08-15: Reporting owner Cable James; Form 3/A; Security Series B1 Preferred Stock; Transaction Holding.
- 2012-08-13: Reporting owner Cable James; Form 4; Security Series B1 Preferred Stock; Transaction C Conversion of derivative security.
- 2012-08-13: Reporting owner Sherwin Elton; Form 4; Security Series A1 Preferred Stock; Transaction C Conversion of derivative security.
- 2012-08-13: Reporting owner Sherwin Elton; Form 4; Security Series B1 Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-08-15 holding as of filing | Cable James Director, Officer (Chief Executive Officer) | 3/A | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-15 | ||
| 2012-08-13 | Cable James Director, Officer (Chief Executive Officer) | 4 | Series B1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −10,366 0 owned after | $0.00 | 2012-08-15 | |
| 2012-08-13 | Sherwin Elton Director | 4 | Series A1 Preferred Stock Derivative · Indirect · Ridgewood Peregrine LLC | C Conversion of derivative security | −164,391 0 owned after | $0.00 | 2012-08-14 | |
| 2012-08-13 | Sherwin Elton Director | 4 | Series B1 Preferred Stock Derivative · Indirect · Ridgewood Peregrine LLC | C Conversion of derivative security | −6,164 0 owned after | $0.00 | 2012-08-14 | |
| 2012-08-13 | Sherwin Elton Director | 4 | Series C1 Preferred Stock Derivative · Indirect · Ridgewood Peregrine LLC | C Conversion of derivative security | −1,317,311 0 owned after | $0.00 | 2012-08-14 | |
| 2012-08-13 | Sherwin Elton Director | 4 | Series D1 Preferred Stock Derivative · Indirect · Ridgewood Peregrine LLC | C Conversion of derivative security | −924,861 0 owned after | $0.00 | 2012-08-14 | |
| 2012-08-13 | Pavey Robert Director | 4 | Series A1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | C Conversion of derivative security | −1,512,031 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | Pavey Robert Director | 4 | Series B1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | C Conversion of derivative security | −413,529 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | Pavey Robert Director | 4 | Series C1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | C Conversion of derivative security | −1,263,802 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | Pavey Robert Director | 4 | Series D1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | C Conversion of derivative security | −183,302 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | D'Addario Paul N. Director | 4 | Series C1 Preferred Stock Derivative · Indirect · Palisades Non-Qualified Investors, L.P. | C Conversion of derivative security | −8,378 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | D'Addario Paul N. Director | 4 | Series C1 Preferred Stock Derivative · Indirect · Palisades Qualified Investors, L.P. | C Conversion of derivative security | −312,070 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | D'Addario Paul N. Director | 4 | Series C1 Preferred Stock Derivative · Indirect · Palisades Ventures, L.P. | C Conversion of derivative security | −1,070,312 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | D'Addario Paul N. Director | 4 | Series D1 Preferred Stock Derivative · Indirect · Palisades Non-Qualified Investors, L.P. | C Conversion of derivative security | −1,017 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | D'Addario Paul N. Director | 4 | Series D1 Preferred Stock Derivative · Indirect · Palisades Qualified Investors, L.P. | C Conversion of derivative security | −37,908 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | D'Addario Paul N. Director | 4 | Series D1 Preferred Stock Derivative · Indirect · Palisades Ventures, L.P. | C Conversion of derivative security | −130,015 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS II, LLC | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D1 Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −44,250 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS II, LLC | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D1 Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −164,486 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS II, LLC | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D1 Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −611,898 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS II, LLC | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D1 Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −224,377 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS II, LLC | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D1 Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,245,628 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS II, LLC | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D1 Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −104,350 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS II, LLC | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D1 Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −262,255 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | Ridgewood Peregrine LLC 10% Owner | 4 | Series A1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −164,391 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | Ridgewood Peregrine LLC 10% Owner | 4 | Series B1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,164 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | Ridgewood Peregrine LLC 10% Owner | 4 | Series C1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,317,311 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | Ridgewood Peregrine LLC 10% Owner | 4 | Series D1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −924,861 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | MORGENTHALER PARTNERS VI | Morgenthaler Management Partners VI LLC 10% Owner | 10% Owner | 4 | Series A1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,512,031 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | MORGENTHALER PARTNERS VI | Morgenthaler Management Partners VI LLC 10% Owner | 10% Owner | 4 | Series B1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −413,529 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | MORGENTHALER PARTNERS VI | Morgenthaler Management Partners VI LLC 10% Owner | 10% Owner | 4 | Series C1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,263,802 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-13 | MORGENTHALER PARTNERS VI | Morgenthaler Management Partners VI LLC 10% Owner | 10% Owner | 4 | Series D1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −183,302 0 owned after | $0.00 | 2012-08-13 | |
| 2012-08-08 holding as of filing | Reedy Ronald E. Officer (Chief Technology Officer) | 3 | Series A1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Reedy Ronald E. Officer (Chief Technology Officer) | 3 | Series B1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Morgenthaler Management Partners VI LLC | MORGENTHALER PARTNERS VI 10% Owner | 10% Owner | 3 | Series A1 Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Morgenthaler Management Partners VI LLC | MORGENTHALER PARTNERS VI 10% Owner | 10% Owner | 3 | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Morgenthaler Management Partners VI LLC | MORGENTHALER PARTNERS VI 10% Owner | 10% Owner | 3 | Series C1 Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Morgenthaler Management Partners VI LLC | MORGENTHALER PARTNERS VI 10% Owner | 10% Owner | 3 | Series D1 Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Pavey Robert Director | 3/A | Series A1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Pavey Robert Director | 3/A | Series B1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Pavey Robert Director | 3/A | Series C1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Pavey Robert Director | 3/A | Series D1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC | AEI 2007 VENTURE INVESTMENTS II, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D1 Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC | AEI 2007 VENTURE INVESTMENTS II, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC | AEI 2007 VENTURE INVESTMENTS II, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC | AEI 2007 VENTURE INVESTMENTS II, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC | AEI 2007 VENTURE INVESTMENTS II, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC | AEI 2007 VENTURE INVESTMENTS II, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | ADVANCED EQUITIES PEREGRINE INVESTMENTS IV LLC | Advanced Equities Financial Corp | AEI 2007 VENTURE INVESTMENTS I, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS II LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS III LLC | AEI 2007 VENTURE INVESTMENTS II, LLC | ADVANCED EQUITIES PEREGRINE INVESTMENTS I LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | D'Addario Paul N. Director | 3 | Series C1 Preferred Stock Derivative · Indirect · Palisades Non-Qualified Investors, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | D'Addario Paul N. Director | 3 | Series C1 Preferred Stock Derivative · Indirect · Palisades Qualified Investors, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | D'Addario Paul N. Director | 3 | Series C1 Preferred Stock Derivative · Indirect · Palisades Ventures, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | D'Addario Paul N. Director | 3 | Series D1 Preferred Stock Derivative · Indirect · Palisades Non-Qualified Investors, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | D'Addario Paul N. Director | 3 | Series D1 Preferred Stock Derivative · Indirect · Palisades Qualified Investors, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | D'Addario Paul N. Director | 3 | Series D1 Preferred Stock Derivative · Indirect · Palisades Ventures, L.P. | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Ridgewood Peregrine LLC 10% Owner | 3 | Series A1 Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Ridgewood Peregrine LLC 10% Owner | 3 | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Ridgewood Peregrine LLC 10% Owner | 3 | Series C1 Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Ridgewood Peregrine LLC 10% Owner | 3 | Series D1 Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Sherwin Elton Director | 3 | Series A1 Preferred Stock Derivative · Indirect · Ridgewood Peregrine LLC | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Sherwin Elton Director | 3 | Series B1 Preferred Stock Derivative · Indirect · Ridgewood Peregrine LLC | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Sherwin Elton Director | 3 | Series C1 Preferred Stock Derivative · Indirect · Ridgewood Peregrine LLC | Holding | no price filed | 2012-08-08 | ||
| 2012-08-08 holding as of filing | Sherwin Elton Director | 3 | Series D1 Preferred Stock Derivative · Indirect · Ridgewood Peregrine LLC | Holding | no price filed | 2012-08-08 | ||
| 2012-08-07 holding as of filing | Pavey Robert Director | 3 | Series A1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | Holding | no price filed | 2012-08-07 | ||
| 2012-08-07 holding as of filing | Pavey Robert Director | 3 | Series B1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | Holding | no price filed | 2012-08-07 | ||
| 2012-08-07 holding as of filing | Pavey Robert Director | 3 | Series C1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | Holding | no price filed | 2012-08-07 | ||
| 2012-08-07 holding as of filing | Pavey Robert Director | 3 | Series D1 Preferred Stock Derivative · Indirect · Morgenthaler Partners VI, L.P. | Holding | no price filed | 2012-08-07 |