Rand Logistics, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 97 rows, 97 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2008-10-31: Reporting owner RCG Crimson Partners, LP | RCG BALDWIN LP | RAMIUS ADVISORS LLC | RCG Enterprise Ltd | RCG PB, Ltd | RAMIUS LLC; Form 3/A; Security Warrants (right to buy); Transaction Holding.
- 2008-10-31: Reporting owner COHEN PETER A | STARK MORGAN B | STRAUSS THOMAS W | C4S & CO LLC | SOLOMON JEFFREY M; Form 3/A; Security Warrants (right to buy); Transaction Holding.
- 2008-10-28: Reporting owner SOLOMON JEFFREY M | STRAUSS THOMAS W | COHEN PETER A | C4S & CO LLC | STARK MORGAN B; Form 4; Security Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2008-10-28: Reporting owner RCG PB, Ltd | RCG Crimson Partners, LP | RAMIUS LLC | RCG Enterprise Ltd | RCG BALDWIN LP | RAMIUS ADVISORS LLC; Form 4; Security Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2008-10-31 holding as of filing | RCG Crimson Partners, LP | RCG BALDWIN LP | RAMIUS ADVISORS LLC | RCG Enterprise Ltd | RCG PB, Ltd | RAMIUS LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Warrants (right to buy) Derivative · Indirect · By Ramius Enterprise Master Fund Ltd | Holding | $5.00 exercise price | 2008-10-31 | ||
| 2008-10-31 holding as of filing | COHEN PETER A | STARK MORGAN B | STRAUSS THOMAS W | C4S & CO LLC | SOLOMON JEFFREY M | | | 10% Owner | | 3/A | Warrants (right to buy) Derivative · Indirect · By Ramius Enterprise Master Fund Ltd | Holding | $5.00 exercise price | 2008-10-31 | ||
| 2008-10-28 | SOLOMON JEFFREY M | STRAUSS THOMAS W | COHEN PETER A | C4S & CO LLC | STARK MORGAN B | | | 10% Owner | | 4 | Warrants (right to buy) Derivative · Indirect · By Ramius Enterprise Master Fund Ltd | X Exercise of in-the-money or at-the-money derivative security | −64,900 0 owned after | $5.00 exercise price | 2008-10-29 | |
| 2008-10-28 | RCG PB, Ltd | RCG Crimson Partners, LP | RAMIUS LLC | RCG Enterprise Ltd | RCG BALDWIN LP | RAMIUS ADVISORS LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By Ramius Enterprise Master Fund Ltd | X Exercise of in-the-money or at-the-money derivative security | −64,900 0 owned after | $5.00 exercise price | 2008-10-29 | |
| 2008-10-24 | Bravener Scott Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14 53,475 owned after | $5.00 exercise price | 2008-10-28 | |
| 2008-10-24 | Bravener Scott Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −53,475 0 owned after | $5.00 exercise price | 2008-10-28 | |
| 2008-10-24 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 0 owned after | $5.00 exercise price | 2008-10-28 | |
| 2008-10-24 | KIER ISAAC Director | 4 | Warrant Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −366,000 0 owned after | $5.00 exercise price | 2008-10-27 | |
| 2008-10-24 | KIER ISAAC Director | 4 | Warrant Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −34,000 0 owned after | $5.00 exercise price | 2008-10-27 | |
| 2008-10-24 | KIER ISAAC Director | 4 | Warrant Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −200,000 0 owned after | $5.00 exercise price | 2008-10-27 | |
| 2008-10-24 | KIER ISAAC Director | 4 | Warrant Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 0 owned after | $5.00 exercise price | 2008-10-27 | |
| 2008-10-24 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,700 0 owned after | $5.00 exercise price | 2008-10-27 | |
| 2008-10-24 | Brodie Jonathan Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,700 0 owned after | $5.00 exercise price | 2008-10-27 | |
| 2008-10-24 | LEVY LAURENCE S Director, Officer (CEO) | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −808,775 0 owned after | $5.00 exercise price | 2008-10-27 | |
| 2008-10-23 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 40,000 owned after | $5.00 exercise price | 2008-10-24 | |
| 2008-10-23 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,902 50,000 owned after | $5.00 exercise price | 2008-10-23 | |
| 2008-10-20 | McHugh Joseph W JR Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,708 0 owned after | $5.00 exercise price | 2008-10-21 | |
| 2008-10-14 | LODGE H CABOT III Director | 4/A | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8 1,700 owned after | $5.00 exercise price | 2008-10-22 | |
| 2008-10-14 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8 1,700 owned after | $5.00 exercise price | 2008-10-22 | |
| 2008-09-29 | MHR FUND MANAGEMENT LLC | MHR Capital Partners Master Account LP | MHR ADVISORS LLC | RACHESKY MARK H MD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (Right to buy) Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −44,019 589,199 owned after | $0.16 | 2008-09-29 | |
| 2008-09-29 | MHR FUND MANAGEMENT LLC | MHR Capital Partners Master Account LP | MHR ADVISORS LLC | RACHESKY MARK H MD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (Right to buy) Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −5,981 80,053 owned after | $0.16 | 2008-09-29 | |
| 2008-09-26 | MHR FUND MANAGEMENT LLC | MHR Capital Partners Master Account LP | MHR ADVISORS LLC | RACHESKY MARK H MD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (Right to buy) Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −352,154 633,218 owned after | $0.16 | 2008-09-29 | |
| 2008-09-26 | MHR FUND MANAGEMENT LLC | MHR Capital Partners Master Account LP | MHR ADVISORS LLC | RACHESKY MARK H MD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (Right to buy) Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −47,846 86,034 owned after | $0.16 | 2008-09-29 | |
| 2008-09-25 | MHR FUND MANAGEMENT LLC | MHR Capital Partners Master Account LP | MHR ADVISORS LLC | RACHESKY MARK H MD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (Right to buy) Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −34,335 985,372 owned after | $0.18 | 2008-09-29 | |
| 2008-09-25 | MHR FUND MANAGEMENT LLC | MHR Capital Partners Master Account LP | MHR ADVISORS LLC | RACHESKY MARK H MD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (Right to buy) Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −4,665 133,880 owned after | $0.18 | 2008-09-29 | |
| 2008-08-13 | RAMIUS ADVISORS LLC | RCG Enterprise Ltd | RCG BALDWIN LP | RCG PB, Ltd | RCG Crimson Partners, LP | RAMIUS LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By RCG Enterprise, Ltd | S Open market or private sale of non-derivative or derivative security | −500 64,915 owned after | $0.96 | 2008-08-13 | |
| 2008-08-13 | COHEN PETER A | C4S & CO LLC | STRAUSS THOMAS W | STARK MORGAN B | SOLOMON JEFFREY M | 10% Owner | | | | 4 | Warrants (right to buy) Derivative · Indirect · By RCG Enterprise, Ltd | S Open market or private sale of non-derivative or derivative security | −500 64,915 owned after | $0.96 | 2008-08-13 | |
| 2008-08-07 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +21,500 1,708 owned after | $0.40 | 2008-08-11 | |
| 2008-06-23 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,500 23,208 owned after | $0.40 | 2008-07-22 | |
| 2008-06-09 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 20,708 owned after | $0.40 | 2008-07-22 | |
| 2008-06-06 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,000 15,708 owned after | $0.40 | 2008-07-22 | |
| 2008-06-05 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,500 7,708 owned after | $0.40 | 2008-07-22 | |
| 2008-06-04 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,500 5,208 owned after | $0.40 | 2008-07-22 | |
| 2008-04-09 holding as of filing | C4S & CO LLC | STRAUSS THOMAS W | COHEN PETER A | SOLOMON JEFFREY M | STARK MORGAN B 10% Owner | | | | | 3 | Warrants (right to buy) Derivative · Indirect · See Footnotes | Holding | $5.00 exercise price | 2008-04-09 | ||
| 2008-04-09 holding as of filing | RCG PB, Ltd | RCG Crimson Partners, LP | RAMIUS ADVISORS LLC | RCG BALDWIN LP | RAMIUS CAPITAL GROUP LLC | RCG Enterprise Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · By RCG Enterprise, Ltd | Holding | $5.00 exercise price | 2008-04-09 | ||
| 2008-03-20 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +199 70,902 owned after | $0.46 | 2008-03-27 | |
| 2008-02-27 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +242 70,703 owned after | $0.80 | 2008-03-18 | |
| 2008-02-26 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +242 70,461 owned after | $1.00 | 2008-03-18 | |
| 2008-02-21 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +157 70,219 owned after | $1.00 | 2008-03-18 | |
| 2007-09-06 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +125 70,062 owned after | $1.23 | 2008-03-18 | |
| 2007-04-30 | KNOTT DAVID M 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By Commonfund Hedged Equity Company | X Exercise of in-the-money or at-the-money derivative security | −88,600 0 owned after | no price filed | 2007-05-02 | |
| 2007-04-30 | KNOTT DAVID M 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By Shoshone Partners, LP | X Exercise of in-the-money or at-the-money derivative security | −441,600 0 owned after | no price filed | 2007-05-02 | |
| 2007-04-30 | KNOTT DAVID M 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By Knott Partners Offshore Master Fund, LP | X Exercise of in-the-money or at-the-money derivative security | −600,000 0 owned after | no price filed | 2007-05-02 | |
| 2007-04-30 | KNOTT DAVID M 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By Good Steward Trading Company SPC | X Exercise of in-the-money or at-the-money derivative security | −17,800 0 owned after | no price filed | 2007-05-02 | |
| 2007-04-30 | KNOTT DAVID M 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By Knott Partners, LP | X Exercise of in-the-money or at-the-money derivative security | −345,200 0 owned after | no price filed | 2007-05-02 | |
| 2007-04-30 | KNOTT DAVID M 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By Finderne, LLC | X Exercise of in-the-money or at-the-money derivative security | −10,200 0 owned after | no price filed | 2007-05-02 | |
| 2007-04-30 | KNOTT DAVID M 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By Managed Account | X Exercise of in-the-money or at-the-money derivative security | −600 0 owned after | no price filed | 2007-05-02 | |
| 2007-01-19 holding as of filing | Berner Edgar | Berner Richard | John Lang, Inc. | ISLANDIA LP | Berner Thomas 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant Derivative · Direct | Holding | $5.00 exercise price | 2007-01-19 | ||
| 2006-11-21 | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD MICROCAP VALUE FUND LP | HUMMINGBIRD CONCENTRATED FUND LP | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD MANAGEMENT LLC | SONKIN PAUL D | | | | | | 4 | Common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 322,255 owned after | $2.11 | 2006-11-22 | |
| 2006-11-17 | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD MICROCAP VALUE FUND LP | HUMMINGBIRD CONCENTRATED FUND LP | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD MANAGEMENT LLC | SONKIN PAUL D | | | | | | 4 | Common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,500 312,255 owned after | $1.96 | 2006-11-22 | |
| 2006-11-07 | HUMMINGBIRD MICROCAP VALUE FUND LP | HUMMINGBIRD MANAGEMENT LLC | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD VALUE FUND LP | SONKIN PAUL D | HUMMINGBIRD CONCENTRATED FUND LP | | | | | | 4 | Common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,000 310,755 owned after | $2.05 | 2006-11-13 | |
| 2006-11-07 | HUMMINGBIRD MANAGEMENT LLC | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD CONCENTRATED FUND LP | SONKIN PAUL D | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD MICROCAP VALUE FUND LP | | | | | | 4 | Common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,000 307,755 owned after | $1.85 | 2006-11-08 | |
| 2006-11-03 | HUMMINGBIRD MANAGEMENT LLC | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD CONCENTRATED FUND LP | HUMMINGBIRD MICROCAP VALUE FUND LP | SONKIN PAUL D | | | | | | 4 | Common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +27,500 305,755 owned after | $1.76 | 2006-11-06 | |
| 2006-11-02 | SONKIN PAUL D | HUMMINGBIRD MICROCAP VALUE FUND LP | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD CONCENTRATED FUND LP | HUMMINGBIRD MANAGEMENT LLC | | | | | | 4 | Common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +11,500 278,255 owned after | $1.75 | 2006-11-03 | |
| 2006-11-01 | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD MICROCAP VALUE FUND LP | SONKIN PAUL D | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD MANAGEMENT LLC | HUMMINGBIRD CONCENTRATED FUND LP | | | | | | 4 | Common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +218,000 266,755 owned after | $1.62 | 2006-11-02 | |
| 2006-10-31 | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD MICROCAP VALUE FUND LP | SONKIN PAUL D | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD MANAGEMENT LLC | HUMMINGBIRD CONCENTRATED FUND LP | | | | | | 4 | Common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +23,400 48,755 owned after | $1.40 | 2006-11-02 | |
| 2006-10-30 | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD MICROCAP VALUE FUND LP | SONKIN PAUL D | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD MANAGEMENT LLC | HUMMINGBIRD CONCENTRATED FUND LP | | | | | | 4 | Common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +25,355 25,355 owned after | $1.01 | 2006-11-02 | |
| 2006-10-27 | Levy Edward Officer (President) | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,475 69,937 owned after | $0.98 | 2006-12-20 | |
| 2006-10-27 | LEVY LAURENCE S Director, Officer (CEO), 10% Owner | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +650 808,784 owned after | $0.98 | 2006-10-30 | |
| 2006-10-27 | Brodie Jonathan Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +125 1,708 owned after | $0.98 | 2006-10-30 | |
| 2006-10-27 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +125 1,708 owned after | $0.98 | 2006-10-30 | |
| 2006-10-27 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,475 19,937 owned after | $0.98 | 2006-10-30 | |
| 2006-10-27 | McHugh Joseph W JR Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +125 1,708 owned after | $0.98 | 2006-10-30 | |
| 2006-10-19 | Bravener Scott Director | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,362 1,362 owned after | $0.78 | 2006-11-15 | |
| 2006-10-19 | Bravener Scott Director | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,363 2,725 owned after | $0.79 | 2006-11-15 | |
| 2006-10-19 | Bravener Scott Director | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,725 5,450 owned after | $0.83 | 2006-11-15 | |
| 2006-10-19 | Bravener Scott Director | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,450 10,900 owned after | $0.87 | 2006-11-15 | |
| 2006-10-19 | Bravener Scott Director | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,450 16,350 owned after | $0.94 | 2006-11-15 | |
| 2006-10-19 | Bravener Scott Director | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,725 19,075 owned after | $0.95 | 2006-11-15 | |
| 2006-10-19 | Bravener Scott Director | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,022 34,097 owned after | $0.98 | 2006-11-15 | |
| 2006-10-19 | Bravener Scott Director | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +19,392 53,489 owned after | $1.00 | 2006-11-15 | |
| 2006-10-19 | Bravener Scott Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,305 1,305 owned after | $0.78 | 2006-11-01 | |
| 2006-10-19 | Bravener Scott Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,305 2,610 owned after | $0.79 | 2006-11-01 | |
| 2006-10-19 | Bravener Scott Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,610 5,220 owned after | $0.83 | 2006-11-01 | |
| 2006-10-19 | Bravener Scott Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,220 10,440 owned after | $0.87 | 2006-11-01 | |
| 2006-10-19 | Bravener Scott Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,220 15,660 owned after | $0.94 | 2006-11-01 | |
| 2006-10-19 | Bravener Scott Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,610 18,270 owned after | $0.95 | 2006-11-01 | |
| 2006-10-19 | Bravener Scott Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +14,389 32,659 owned after | $0.98 | 2006-11-01 | |
| 2006-10-19 | Bravener Scott Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +18,574 51,233 owned after | $1.00 | 2006-11-01 | |
| 2006-10-19 | Brodie Jonathan Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,583 1,583 owned after | $0.99 | 2006-10-23 | |
| 2006-10-19 | LODGE H CABOT III Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,583 1,583 owned after | $0.99 | 2006-10-23 | |
| 2006-10-19 | LEVY LAURENCE S Director, Officer (CEO), 10% Owner | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,134 808,134 owned after | $0.99 | 2006-10-23 | |
| 2006-10-19 | McHugh Joseph W JR Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,583 1,583 owned after | $0.99 | 2006-10-23 | |
| 2006-10-19 | Levy Edward Officer (President) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +18,462 68,462 owned after | $0.99 | 2006-10-23 | |
| 2006-08-03 holding as of filing | HUMMINGBIRD MICROCAP VALUE FUND LP | SONKIN PAUL D | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD MANAGEMENT LLC | | | | | 3 | Common stock warrants Derivative · Direct | Holding | $5.00 exercise price | 2006-08-03 | ||
| 2006-08-03 holding as of filing | HUMMINGBIRD MICROCAP VALUE FUND LP | SONKIN PAUL D | HUMMINGBIRD CAPITAL LLC | HUMMINGBIRD VALUE FUND LP | HUMMINGBIRD MANAGEMENT LLC | | | | | 3 | Common stock warrants Derivative · Direct | Holding | $5.00 exercise price | 2006-08-03 | ||
| 2006-06-08 holding as of filing | Levy Edward Officer (President) | 3 | Warrant Derivative · Direct | Holding | $5.00 exercise price | 2006-06-08 | ||
| 2006-03-29 | KNOTT DAVID M 10% Owner | 4/A | Common Stock Warrants (right to buy) Derivative · Indirect · By Managed Account | S Open market or private sale of non-derivative or derivative security | −127,400 88,600 owned after | $5.00 exercise price | 2007-01-31 | |
| 2006-03-29 | KNOTT DAVID M 10% Owner | 4/A | Common Stock Warrants (right to buy) Derivative · Indirect · By Shoshone Partners, L.P. | S Open market or private sale of non-derivative or derivative security | −192,400 441,600 owned after | $5.00 exercise price | 2007-01-31 | |
| 2006-03-29 | KNOTT DAVID M 10% Owner | 4/A | Common Stock Warrants (right to buy) Derivative · Indirect · By Knott Partners Offshore Master Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +316,000 600,000 owned after | $5.00 exercise price | 2007-01-31 | |
| 2006-03-29 | KNOTT DAVID M 10% Owner | 4/A | Common Stock Warrants (right to buy) Derivative · Indirect · By Managed Account | P Open market or private purchase of non-derivative or derivative security | +3,800 17,800 owned after | $5.00 exercise price | 2007-01-31 | |
| 2006-03-29 | KNOTT DAVID M 10% Owner | 4/A | Common Stock Warrants (right to buy) Derivative · Indirect · By Commonfund Hedged Equity Company | S Open market or private sale of non-derivative or derivative security | −127,400 88,600 owned after | $5.00 exercise price | 2006-09-18 | |
| 2006-03-29 | KNOTT DAVID M 10% Owner | 4/A | Common Stock Warrants (right to buy) Derivative · Indirect · By Shoshone Partners, LP | S Open market or private sale of non-derivative or derivative security | −192,400 441,600 owned after | $5.00 exercise price | 2006-09-18 | |
| 2006-03-29 | KNOTT DAVID M 10% Owner | 4/A | Common Stock Warrants (right to buy) Derivative · Indirect · By Matterhorn Offshore Fund Ltd. | P Open market or private purchase of non-derivative or derivative security | +316,000 600,000 owned after | $5.00 exercise price | 2006-09-18 | |
| 2006-03-29 | KNOTT DAVID M 10% Owner | 4/A | Common Stock Warrants (right to buy) Derivative · Indirect · By Good Steward Trading Company SPC | P Open market or private purchase of non-derivative or derivative security | +3,800 17,800 owned after | $5.00 exercise price | 2006-09-18 | |
| 2006-03-10 holding as of filing | SEEMORE ADVISORS LLC | RACHESKY MARK H MD | MHR ADVISORS LLC | MHR Capital Partners Master Account LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See footnote | Holding | $5.00 exercise price | 2006-03-10 | ||
| 2006-03-10 holding as of filing | SEEMORE ADVISORS LLC | RACHESKY MARK H MD | MHR ADVISORS LLC | MHR Capital Partners Master Account LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See footnote | Holding | $5.00 exercise price | 2006-03-10 |