RigNet, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 58 rows, 58 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-12-22: Reporting owner Davis Charles Louis IV; Form 3/A; Security Series C Preferred Stock; Transaction Holding.
- 2010-12-20: Reporting owner SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC; Form 4/A; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2010-12-20: Reporting owner SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC; Form 4/A; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2010-12-20: Reporting owner SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC; Form 4/A; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-12-22 holding as of filing | Davis Charles Louis IV Director | 3/A | Series C Preferred Stock Derivative · Indirect · By: SMH Private Equity Group I, L.P. | Holding | no price filed | 2010-12-22 | ||
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −37,500 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −29,845 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −101,403 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,288 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,412 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −11,598 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −34,392 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −968,618 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −17,451 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS DON A | SMH PEG Management, LLC | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −93,274 0 owned after | $1.20 | 2011-01-04 | |
| 2010-12-20 | Davis Charles Louis IV Director | 4 | Series C Preferred Derivative · Indirect · (1)(6) | C Conversion of derivative security | −666,940 0 owned after | $0.00 | 2010-12-22 | |
| 2010-12-20 | Altira Group LLC | ALTIRA TECHNOLOGY FUND III LLC | Altira Management IV LLC | ALTIRA TECHNOLOGY FUND IV L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · (1)(5)(6) | C Conversion of derivative security | −500,000 0 owned after | $0.00 | 2010-12-22 | |
| 2010-12-20 | Altira Group LLC | ALTIRA TECHNOLOGY FUND III LLC | Altira Management IV LLC | ALTIRA TECHNOLOGY FUND IV L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (1)(5)(6) | C Conversion of derivative security | −37,910 0 owned after | $0.00 | 2010-12-22 | |
| 2010-12-20 | Altira Group LLC | ALTIRA TECHNOLOGY FUND III LLC | Altira Management IV LLC | ALTIRA TECHNOLOGY FUND IV L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (1)(5)(6) | C Conversion of derivative security | −475,017 0 owned after | $0.00 | 2010-12-22 | |
| 2010-12-20 | Energy Growth AS 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −729,775 0 owned after | $0.00 | 2010-12-22 | |
| 2010-12-20 | Energy Growth AS 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −680,731 0 owned after | $0.00 | 2010-12-22 | |
| 2010-12-20 | McDermott Dirk W. Other (Former Director) | 4 | Series A Preferred Stock Derivative · Indirect · (1)(5) | C Conversion of derivative security | −500,000 0 owned after | $0.00 | 2010-12-22 | |
| 2010-12-20 | McDermott Dirk W. Other (Former Director) | 4 | Series B Preferred Stock Derivative · Indirect · (1)(5) | C Conversion of derivative security | −37,910 0 owned after | $0.00 | 2010-12-22 | |
| 2010-12-20 | McDermott Dirk W. Other (Former Director) | 4 | Series C Preferred Stock Derivative · Indirect · (1)(5) | C Conversion of derivative security | −475,017 0 owned after | $0.00 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −37,500 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −29,845 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −101,403 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,288 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,412 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −11,598 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −34,392 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −968,618 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −17,451 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SMH CAPITAL INC. | SANDERS DON A | SMH Private Equity Group II, L.P. | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS MORRIS HARRIS GROUP INC | | | | | | | | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −93,274 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −37,500 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −29,845 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −101,403 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,288 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,412 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −11,598 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −34,392 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −968,618 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −17,451 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-20 | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG MANAGEMENT II, LLC | SMH CAPITAL INC. | SMH Private Equity Group II, L.P. | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS MORRIS HARRIS GROUP INC | SMH PEG Management, LLC | SANDERS DON A | | | | | | 10% Owner | | | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −93,274 0 owned after | $1.20 | 2010-12-22 | |
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series A Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series A Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series A Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series B Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series B Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series B Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series C Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series C Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series C Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-15 holding as of filing | SMH Private Equity Group II, L.P. | SMH CAPITAL INC. | SMH PEG MANAGEMENT II, LLC | SANDERS MORRIS HARRIS GROUP INC | SANDERS MORRIS HARRIS PRIVATE EQUITY GROUP I L P | SANDERS OPPORTUNITY INSTITUTIONAL LP | SANDERS OPPORTUNITY FUND LP | SMH PEG Management, LLC | SANDERS DON A 10% Owner | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | | 10% Owner | | 3 | Series C Preferred Stock Derivative · Direct | Holding | $1.20 exercise price | 2010-12-15 | ||
| 2010-12-14 holding as of filing | Energy Growth AS 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Energy Growth AS 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2010-12-14 | ||
| 2010-12-14 holding as of filing | ALTIRA TECHNOLOGY FUND IV L P | ALTIRA TECHNOLOGY FUND III LLC | Altira Management IV LLC | Altira Group LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2010-12-14 | ||
| 2010-12-14 holding as of filing | ALTIRA TECHNOLOGY FUND IV L P | ALTIRA TECHNOLOGY FUND III LLC | Altira Management IV LLC | Altira Group LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2010-12-14 | ||
| 2010-12-14 holding as of filing | ALTIRA TECHNOLOGY FUND IV L P | ALTIRA TECHNOLOGY FUND III LLC | Altira Management IV LLC | Altira Group LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2010-12-14 | ||
| 2010-12-14 holding as of filing | McDermott Dirk W. Director | 3 | Series A Preferred Stock Derivative · Indirect · By Altira Technology Fund III LLC | Holding | no price filed | 2010-12-14 | ||
| 2010-12-14 holding as of filing | McDermott Dirk W. Director | 3 | Series B Preferred Stock Derivative · Indirect · By Altira Technology Fund III LLC | Holding | no price filed | 2010-12-14 | ||
| 2010-12-14 holding as of filing | McDermott Dirk W. Director | 3 | Series C Preferred Stock Derivative · Indirect · By Altira Technology Fund III LLC | Holding | no price filed | 2010-12-14 |