SPY 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: 3 rows, 3 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-19: Reporting owner Geenen Fir; Form 4; Security Convertible Promissory Note Due; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2012-09-06: Reporting owner Geenen Fir; Form 4; Security Convertible Promissory Note Due; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2010-12-20: Reporting owner HAMOT SETH W | Roark, Rearden & Hamot LLC | Costa Brava Partnership III LP; Form 4; Security Convertible Promissory Note due December 31, 2012; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-19 | Geenen Fir Director | 4 | Convertible Promissory Note Due Derivative · Indirect · By Harlingwood (Alpha), LLC | P Open market or private purchase of non-derivative or derivative security | +500,000 357,143 owned after | $500,000.00 | 2012-12-21 | |
| 2012-09-06 | Geenen Fir Director | 4 | Convertible Promissory Note Due Derivative · Indirect · By Harlingwood (Alpha), LLC | P Open market or private purchase of non-derivative or derivative security | +1,000,000 714,285 owned after | $1,000,000.00 | 2012-09-10 | |
| 2010-12-20 | HAMOT SETH W | Roark, Rearden & Hamot LLC | Costa Brava Partnership III LP Director, 10% Owner | 10% Owner | 10% Owner | 4 | Convertible Promissory Note due December 31, 2012 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $2.25 exercise price | 2011-11-30 |