RigNet, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 88 rows, 88 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-04-29: Reporting owner Davis Charles Louis IV; Form 4; Security Common Stock Warrants (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-04-29: Reporting owner Davis Charles Louis IV; Form 4; Security Common Stock Warrants (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-04-29: Reporting owner Davis Charles Louis IV; Form 4; Security Common Stock Warrants (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-04-29: Reporting owner Davis Charles Louis IV; Form 4; Security Common Stock Warrants (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-04-29 | Davis Charles Louis IV Director | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · I | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,204 107,316 owned after | $7.00 exercise price | 2014-05-05 | |
| 2014-04-29 | Davis Charles Louis IV Director | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · I | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,204 78,762 owned after | $7.00 exercise price | 2014-05-05 | |
| 2014-04-29 | Davis Charles Louis IV Director | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · I | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −88,543 2,618 owned after | $7.00 exercise price | 2014-05-05 | |
| 2014-04-29 | Davis Charles Louis IV Director | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · I | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,522 1,309 owned after | $7.00 exercise price | 2014-05-05 | |
| 2014-04-29 | Davis Charles Louis IV Director | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · I | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,523 0 owned after | $7.00 exercise price | 2014-05-05 | |
| 2014-04-29 | Jimmerson Martin L. Officer (CFO and Vice President) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,285 180,381 owned after | $7.00 exercise price | 2014-05-05 | |
| 2014-04-29 | Jimmerson Martin L. Officer (CFO and Vice President) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,742 180,381 owned after | $0.04 exercise price | 2014-05-05 | |
| 2014-04-29 | Slaughter Mark B. Director, Officer (Chief Executive Officer & Pres) | 4 | Common Stock Warrants Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,428 300,338 owned after | $7.00 exercise price | 2014-05-05 | |
| 2014-04-29 | Slaughter Mark B. Director, Officer (Chief Executive Officer & Pres) | 4 | Common Stock Warrants Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,112 300,338 owned after | $0.04 exercise price | 2014-05-05 | |
| 2013-09-24 | KKR Europe III Ltd | Digital Oilfield Investments LP | KKR Associates Europe III, Limited Partnership | KKR European Fund III, Limited Partnership | Digital Oilfield Investments GP Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −246,598 0 owned after | $0.04 exercise price | 2013-09-26 | |
| 2013-09-24 | KKR Europe III Ltd | Digital Oilfield Investments LP | KKR Associates Europe III, Limited Partnership | KKR European Fund III, Limited Partnership | Digital Oilfield Investments GP Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −446,999 0 owned after | $7.00 exercise price | 2013-09-26 | |
| 2013-09-24 | KKR Europe III Ltd | Digital Oilfield Investments LP | KKR Associates Europe III, Limited Partnership | KKR European Fund III, Limited Partnership | Digital Oilfield Investments GP Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −6,712 0 owned after | $7.00 exercise price | 2013-09-26 | |
| 2013-09-24 | KKR Group Holdings L.P. | ROBERTS GEORGE R | KKR Fund Holdings GP Ltd | KKR Fund Holdings L.P. | KRAVIS HENRY R | KKR Management LLC | KKR & Co. L.P. | KKR Group Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −246,598 0 owned after | $0.04 exercise price | 2013-09-26 | |
| 2013-09-24 | KKR Group Holdings L.P. | ROBERTS GEORGE R | KKR Fund Holdings GP Ltd | KKR Fund Holdings L.P. | KRAVIS HENRY R | KKR Management LLC | KKR & Co. L.P. | KKR Group Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −446,999 0 owned after | $7.00 exercise price | 2013-09-26 | |
| 2013-09-24 | KKR Group Holdings L.P. | ROBERTS GEORGE R | KKR Fund Holdings GP Ltd | KKR Fund Holdings L.P. | KRAVIS HENRY R | KKR Management LLC | KKR & Co. L.P. | KKR Group Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −6,712 0 owned after | $7.00 exercise price | 2013-09-26 | |
| 2013-09-23 holding as of filing | KKR Associates Europe III, Limited Partnership | KKR European Fund III, Limited Partnership | Digital Oilfield Investments LP | KKR Europe III Ltd | Digital Oilfield Investments GP Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $0.04 exercise price | 2013-09-23 | ||
| 2013-09-23 holding as of filing | KKR Associates Europe III, Limited Partnership | KKR European Fund III, Limited Partnership | Digital Oilfield Investments LP | KKR Europe III Ltd | Digital Oilfield Investments GP Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $7.00 exercise price | 2013-09-23 | ||
| 2013-09-23 holding as of filing | KKR Associates Europe III, Limited Partnership | KKR European Fund III, Limited Partnership | Digital Oilfield Investments LP | KKR Europe III Ltd | Digital Oilfield Investments GP Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $7.00 exercise price | 2013-09-23 | ||
| 2013-09-23 holding as of filing | KKR Fund Holdings GP Ltd | KKR Fund Holdings L.P. | KKR Group Holdings L.P. | KKR Management LLC | KRAVIS HENRY R | KKR Group Ltd | KKR & Co. L.P. | ROBERTS GEORGE R 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $0.04 exercise price | 2013-09-23 | ||
| 2013-09-23 holding as of filing | KKR Fund Holdings GP Ltd | KKR Fund Holdings L.P. | KKR Group Holdings L.P. | KKR Management LLC | KRAVIS HENRY R | KKR Group Ltd | KKR & Co. L.P. | ROBERTS GEORGE R 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $7.00 exercise price | 2013-09-23 | ||
| 2013-09-23 holding as of filing | KKR Fund Holdings GP Ltd | KKR Fund Holdings L.P. | KKR Group Holdings L.P. | KKR Management LLC | KRAVIS HENRY R | KKR Group Ltd | KKR & Co. L.P. | ROBERTS GEORGE R 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $7.00 exercise price | 2013-09-23 | ||
| 2013-09-12 | Energy Growth AS 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −6,711 0 owned after | $23.00 | 2014-02-12 | |
| 2013-09-12 | Energy Growth AS 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −447,000 0 owned after | $23.00 | 2014-02-12 | |
| 2013-09-12 | Energy Growth AS 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −246,597 0 owned after | $29.96 | 2014-02-12 | |
| 2013-09-05 | Energy Growth AS 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −133,010 246,597 owned after | $29.96 | 2014-02-12 | |
| 2011-01-04 holding as of filing | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 14,481 owned after | $7.00 exercise price | 2011-01-04 | |
| 2011-01-04 holding as of filing | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 11,525 owned after | $7.00 exercise price | 2011-01-04 | |
| 2011-01-04 holding as of filing | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 39,146 owned after | $7.00 exercise price | 2011-01-04 | |
| 2011-01-04 holding as of filing | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 154,950 owned after | $7.00 exercise price | 2011-01-04 | |
| 2011-01-04 holding as of filing | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 241 owned after | $7.00 exercise price | 2011-01-04 | |
| 2011-01-04 holding as of filing | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 192 owned after | $7.00 exercise price | 2011-01-04 | |
| 2011-01-04 holding as of filing | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 652 owned after | $7.00 exercise price | 2011-01-04 | |
| 2011-01-04 holding as of filing | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 3,125 owned after | $7.00 exercise price | 2011-01-04 | |
| 2010-12-22 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,367 0 owned after | $0.04 | 2011-01-04 | |
| 2010-12-22 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −12,897 0 owned after | $0.04 | 2011-01-04 | |
| 2010-12-22 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −41,252 0 owned after | $0.04 | 2011-01-04 | |
| 2010-12-22 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −113,575 0 owned after | $0.04 | 2011-01-04 | |
| 2010-12-22 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,367 0 owned after | $0.04 | 2010-12-22 | |
| 2010-12-22 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −12,897 0 owned after | $0.04 | 2010-12-22 | |
| 2010-12-22 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −41,252 0 owned after | $0.04 | 2010-12-22 | |
| 2010-12-22 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −113,575 0 owned after | $0.04 | 2010-12-22 | |
| 2010-12-22 holding as of filing | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 14,481 owned after | $7.00 exercise price | 2010-12-22 | |
| 2010-12-22 holding as of filing | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 11,525 owned after | $7.00 exercise price | 2010-12-22 | |
| 2010-12-22 holding as of filing | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 39,146 owned after | $7.00 exercise price | 2010-12-22 | |
| 2010-12-22 holding as of filing | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 154,950 owned after | $7.00 exercise price | 2010-12-22 | |
| 2010-12-22 holding as of filing | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 241 owned after | $7.00 exercise price | 2010-12-22 | |
| 2010-12-22 holding as of filing | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 192 owned after | $7.00 exercise price | 2010-12-22 | |
| 2010-12-22 holding as of filing | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 652 owned after | $7.00 exercise price | 2010-12-22 | |
| 2010-12-22 holding as of filing | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | 3,125 owned after | $7.00 exercise price | 2010-12-22 | |
| 2010-12-21 | Davis Charles Louis IV Director | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · (1)(7) | X Exercise of in-the-money or at-the-money derivative security | −113,927 0 owned after | $0.04 exercise price | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −14,481 0 owned after | $7.00 | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −11,525 0 owned after | $7.00 | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −39,146 0 owned after | $7.00 | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −154,950 0 owned after | $7.00 | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −241 0 owned after | $7.00 | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −192 0 owned after | $7.00 | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −652 0 owned after | $7.00 | 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −3,125 0 owned after | $7.00 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,431 0 owned after | $7.00 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −12,937 0 owned after | $0.04 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −41,380 0 owned after | $0.04 | 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 & B Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −113,927 0 owned after | $0.04 | 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | $7.00 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | $7.00 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | $7.00 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 | Junior Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | $7.00 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | $7.00 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | $7.00 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | $7.00 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 | Warrants to Purchase Stock (Right to Buy) Derivative · Direct | Holding | $7.00 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 & B Warrants (Right to Buy) Derivative · Direct | Holding | $0.04 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 & B Warrants (Right to Buy) Derivative · Direct | Holding | $0.04 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 & B Warrants (Right to Buy) Derivative · Direct | Holding | $0.04 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 & B Warrants (Right to Buy) Derivative · Direct | Holding | $0.04 exercise price | 2010-12-15 | ||
| 2010-12-14 holding as of filing | Energy Growth AS 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $7.00 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Energy Growth AS 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $7.00 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Energy Growth AS 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $0.04 exercise price | 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 | Common Stock Warrants (right to buy) Derivative · Indirect · See footnotes | Holding | $7.00 exercise price | 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 | Common Stock Warrants (right to buy) Derivative · Indirect · See footnotes | Holding | $0.04 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Slaughter Mark B. Officer (CEO & President) | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $7.00 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Slaughter Mark B. Officer (CEO & President) | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $0.04 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Davis Charles Louis IV Director | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By: SMH Private Equity Group II, LP | Holding | $7.00 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Davis Charles Louis IV Director | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By: SMH Private Equity Group II, LP | Holding | $7.00 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Davis Charles Louis IV Director | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By: SMH Private Equity Group II, LP | Holding | $0.04 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Jimmerson Martin L. Officer (Chief Financial Officer) | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $7.00 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | Jimmerson Martin L. Officer (Chief Financial Officer) | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $0.04 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | McDermott Dirk W. Director | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By Altira Technology Fund IV L.P. | Holding | $7.00 exercise price | 2010-12-14 | ||
| 2010-12-14 holding as of filing | McDermott Dirk W. Director | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By Altira Technology Fund IV L.P. | Holding | $0.04 exercise price | 2010-12-14 |