Rand Logistics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 21 rows, 21 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-03-14: Reporting owner KNOTT DAVID M; Form 4; Security Series A Convertible Preferred Stock; Transaction Holding.
- 2016-03-14: Reporting owner KNOTT DAVID M; Form 4; Security Series A Convertible Preferred Stock; Transaction Holding.
- 2016-03-10: Reporting owner KNOTT DAVID M; Form 4; Security Series A Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2015-11-18: Reporting owner KNOTT DAVID M; Form 4; Security Series A Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-03-14 holding as of filing | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Knott Partners, L.P. | Holding | 111,070 owned after | $6.20 exercise price | 2016-03-14 | |
| 2016-03-14 holding as of filing | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Knott Partners Offshore Master Fund, L.P. | Holding | 34,410 owned after | $6.20 exercise price | 2016-03-14 | |
| 2016-03-10 | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Managed Account | J Other acquisition or disposition (describe transaction) | −3,580 0 owned after | $6.20 exercise price | 2016-03-14 | |
| 2015-11-18 holding as of filing | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Knott Partners, L.P. | Holding | 111,070 owned after | $6.20 exercise price | 2015-11-18 | |
| 2015-11-18 holding as of filing | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Knott Partners Offshore Master Fund, L.P. | Holding | 34,410 owned after | $6.20 exercise price | 2015-11-18 | |
| 2015-11-18 holding as of filing | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Managed Account | Holding | 3,580 owned after | $6.20 exercise price | 2015-11-18 | |
| 2015-11-17 | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Knott Partners Offshore (SRI) Fund Limited | J Other acquisition or disposition (describe transaction) | −940 0 owned after | $6.20 exercise price | 2015-11-18 | |
| 2012-02-09 | GMT CAPITAL CORP Other (Former 10% Holder) | 4 | Series A Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +150,000 150,000 owned after | $50.00 | 2012-04-13 | |
| 2009-03-03 holding as of filing | KNOTT PARTNERS LP 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | $6.20 exercise price | 2009-03-03 | ||
| 2007-07-26 holding as of filing | GMT CAPITAL CORP 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · Owned directly by Bay | Holding | $6.20 exercise price | 2007-07-26 | ||
| 2007-07-26 holding as of filing | GMT CAPITAL CORP 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · Owned directly by Bay II | Holding | $6.20 exercise price | 2007-07-26 | ||
| 2007-07-26 holding as of filing | GMT CAPITAL CORP 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · Owned directly by Offshore Fund | Holding | $6.20 exercise price | 2007-07-26 | ||
| 2007-07-26 holding as of filing | GMT CAPITAL CORP 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · Owned directly by Claugus | Holding | $6.20 exercise price | 2007-07-26 | ||
| 2006-03-06 | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Knott Partners, L.P. | P Open market or private purchase of non-derivative or derivative security | +111,070 111,070 owned after | $50.00 | 2006-03-14 | |
| 2006-03-06 | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Matterhorn Offshore Fund Limited | P Open market or private purchase of non-derivative or derivative security | +34,410 34,410 owned after | $50.00 | 2006-03-14 | |
| 2006-03-06 | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Finderne, LLC | P Open market or private purchase of non-derivative or derivative security | +3,580 3,580 owned after | $50.00 | 2006-03-14 | |
| 2006-03-06 | KNOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Good Steward Trading Company SPC | P Open market or private purchase of non-derivative or derivative security | +940 940 owned after | $50.00 | 2006-03-14 | |
| 2006-03-03 | GMT CAPITAL CORP 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Owned directly by Bay | P Open market or private purchase of non-derivative or derivative security | +63,878 63,878 owned after | $50.00 | 2007-07-26 | |
| 2006-03-03 | GMT CAPITAL CORP 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Owned directly by Bay II | P Open market or private purchase of non-derivative or derivative security | +41,707 41,707 owned after | $50.00 | 2007-07-26 | |
| 2006-03-03 | GMT CAPITAL CORP 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Owned directly by Offshore Fund | P Open market or private purchase of non-derivative or derivative security | +34,350 34,350 owned after | $50.00 | 2007-07-26 | |
| 2006-03-03 | GMT CAPITAL CORP 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Owned directly by Claugus | P Open market or private purchase of non-derivative or derivative security | +10,065 10,065 owned after | $50.00 | 2007-07-26 |