SEQUENTIAL BRANDS GROUP, INC. Forms 3, 4 and 5: Preferred Stock
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 Series A Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2012-02-24: Reporting owner SWEEDLER WILLIAM; Form 3; Security Series A Preferred Stock; Transaction Holding.
- 2012-02-24: Reporting owner Gersten Richard D.; Form 3; Security Series A Preferred Stock; Transaction Holding.
- 2012-02-24: Reporting owner Eby Matthew; Form 3; Security Series A Preferred Stock; 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 | Series A Preferred Stock Non-derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,500 0 owned after | $0.00 | 2013-07-30 | |
| 2012-02-24 holding as of filing | SWEEDLER WILLIAM Director, 10% Owner | 3 | Series A Preferred Stock Non-derivative · Indirect · See Footnote | Holding | 14,500 owned after | no price filed | 2012-02-24 | |
| 2012-02-24 holding as of filing | Gersten Richard D. Director, 10% Owner | 3 | Series A Preferred Stock Non-derivative · Indirect · See Footnote | Holding | 14,500 owned after | no price filed | 2012-02-24 | |
| 2012-02-24 holding as of filing | Eby Matthew Director, 10% Owner | 3 | Series A Preferred Stock Non-derivative · Indirect · See Footnote | Holding | 14,500 owned after | no price filed | 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 | Series A Preferred Stock Non-derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,500 14,500 owned after | no price filed | 2013-01-11 | |
| 2012-02-22 | TCP WR Acquisition LLC 10% Owner | 4 | Series A Preferred Stock Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,500 14,500 owned after | no price filed | 2012-02-24 | |
| 2012-02-13 holding as of filing | TCP WR Acquisition LLC 10% Owner | 3 | Series A Preferred Stock Non-derivative · Direct | Holding | 3,000 owned after | no price filed | 2012-02-13 | |
| 2006-01-05 holding as of filing | Guez Daniel S Director, Officer (CEO, President and Secretary), 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Held by Daniel Guez as Custodian for Isabella Guez UTMA of CA | Holding | 101,750 owned after | no price filed | 2006-01-05 | |
| 2006-01-04 | DYNE COLIN 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −4,625 761,419 owned after | $10.81 | 2006-01-06 | |
| 2006-01-03 | Guez Daniel S Director, Officer (CEO, President and Secretary), 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −13,181 1,225,013 owned after | $10.81 | 2006-01-05 |