SEQUENTIAL BRANDS GROUP, INC. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-03-28: Reporting owner SWEEDLER WILLIAM | Eby Matthew | Tengram Capital Associates, LLC | Gersten Richard D. | TCP WR Acquisition LLC; Form 4; Security Convertible Debentures; Transaction C Conversion of derivative security.
- 2012-02-24: Reporting owner SWEEDLER WILLIAM; Form 3; Security Convertible Debenture; Transaction Holding.
- 2012-02-24: Reporting owner SWEEDLER WILLIAM; Form 3; Security Convertible Debenture; Transaction Holding.
- 2012-02-24: Reporting owner Gersten Richard D.; Form 3; Security Convertible Debenture; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-03-28 | SWEEDLER WILLIAM | Eby Matthew | Tengram Capital Associates, LLC | Gersten Richard D. | TCP WR Acquisition LLC Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Convertible Debentures Derivative · Direct | C Conversion of derivative security | −14,500,000 0 owned after | $2.27 | 2013-07-30 | |
| 2012-02-24 holding as of filing | SWEEDLER WILLIAM Director, 10% Owner | 3 | Convertible Debenture Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | SWEEDLER WILLIAM Director, 10% Owner | 3 | Convertible Debenture Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | Gersten Richard D. Director, 10% Owner | 3 | Convertible Debenture Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | Gersten Richard D. Director, 10% Owner | 3 | Convertible Debenture Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | Eby Matthew Director, 10% Owner | 3 | Convertible Debenture Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | Eby Matthew Director, 10% Owner | 3 | Convertible Debenture Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-22 | Eby Matthew | Gersten Richard D. | SWEEDLER WILLIAM | Tengram Capital Associates, LLC | TCP WR Acquisition LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4/A | Convertible Debentures Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,500,000 5,523,809 owned after | $0.18 exercise price | 2013-01-11 | |
| 2012-02-22 | TCP WR Acquisition LLC 10% Owner | 4 | Convertible Debenture Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,714,286 82,857,142 owned after | $0.18 exercise price | 2012-02-24 | |
| 2012-02-13 holding as of filing | TCP WR Acquisition LLC 10% Owner | 3 | Convertible Debenture Derivative · Direct | Holding | $0.18 exercise price | 2012-02-13 |