TIMIOS NATIONAL CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-04: Reporting owner YA Global Investments; Form 3; Security Convertible Preferred Stock Series J; Transaction Holding.
- 2012-08-28: Reporting owner McMillen Charles Thomas; Form 4; Security Series H Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2012-08-28: Reporting owner McMillen Charles Thomas; Form 4; Security Series J Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-08-28: Reporting owner BRIGANTE MICHAEL THOMAS; Form 4; Security Series H Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-04 holding as of filing | YA Global Investments 10% Owner | 3 | Convertible Preferred Stock Series J Derivative · Direct | Holding | $0.32 exercise price | 2013-12-04 | ||
| 2012-08-28 | McMillen Charles Thomas Director, Officer (President and CEO) | 4 | Series H Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −438 0 owned after | $0.01 | 2012-08-29 | |
| 2012-08-28 | McMillen Charles Thomas Director, Officer (President and CEO) | 4 | Series J Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +47,690 47,690 owned after | $0.32 exercise price | 2012-08-29 | |
| 2012-08-28 | BRIGANTE MICHAEL THOMAS Officer (Vice Pres. of Finance & CFO) | 4 | Series H Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −23 0 owned after | $0.01 | 2012-08-29 | |
| 2012-08-28 | BRIGANTE MICHAEL THOMAS Officer (Vice Pres. of Finance & CFO) | 4 | Series J Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,548 9,548 owned after | $0.32 exercise price | 2012-08-29 | |
| 2012-08-28 | KAPLAN ZEV E Director | 4 | Series H Preferred Stock Derivative · Indirect · By FFZ Family Trust | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −57 0 owned after | $0.01 | 2012-08-29 | |
| 2012-08-28 | KAPLAN ZEV E Director | 4 | Series J Preferred Stock Derivative · Indirect · By FFZ Family Trust | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,810 23,810 owned after | $0.32 exercise price | 2012-08-29 | |
| 2012-08-28 | Stoffer Trevor Officer (Pres. and CEO of Timios. Inc.) | 4 | Series H Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −157 0 owned after | $0.01 | 2012-08-29 | |
| 2012-08-28 | Stoffer Trevor Officer (Pres. and CEO of Timios. Inc.) | 4 | Series J Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +303,809 303,809 owned after | $0.32 exercise price | 2012-08-29 | |
| 2012-06-13 | BRIGANTE MICHAEL THOMAS Officer (Senior V.P. of Finance & CFO) | 4 | Series H Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +23 23 owned after | $0.01 | 2012-06-14 | |
| 2012-06-13 | McMillen Charles Thomas Director, Officer (Chairman, Pres. & C.E.O.), 10% Owner | 4 | Series H Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +113 438 owned after | $0.01 | 2012-06-14 | |
| 2012-06-13 | KAPLAN ZEV E Director | 4 | Series H Preferred Stock Derivative · Indirect · By FFZ Family Trust | P Open market or private purchase of non-derivative or derivative security | +57 57 owned after | $0.01 | 2012-06-14 | |
| 2012-06-13 | Stoffer Trevor Officer (Pres. and CEO of Timios, Inc.) | 4 | Series H Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +157 157 owned after | $0.01 | 2012-06-14 | |
| 2009-11-12 holding as of filing | Macrae John Howard JR Officer (*See Remarks) | 3 | Series I Convertible Preferred Stock Derivative · Direct | Holding | $6.00 exercise price | 2009-11-12 | ||
| 2009-01-07 holding as of filing | McMillen Charles Thomas Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series H Convertible Preferred Stock Derivative · Direct | Holding | 0 owned after | $0.03 exercise price | 2009-01-07 | |
| 2008-09-10 | McMillen Charles Thomas Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series H Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +0 0 owned after | $0.03 | 2008-09-12 | |
| 2008-08-22 holding as of filing | YORKVILLE BHN SPA | YORKVILLE ADVISORS LLC | YA Global Investments | ANGELO MARK | PRETE MARCO 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Convertible Preferred Stock Series F Derivative · Direct | Holding | no price filed | 2008-08-22 | ||
| 2008-08-22 holding as of filing | YORKVILLE BHN SPA | YORKVILLE ADVISORS LLC | YA Global Investments | ANGELO MARK | PRETE MARCO 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Convertible Preferred Stock Series G Derivative · Direct | Holding | no price filed | 2008-08-22 | ||
| 2008-08-22 holding as of filing | YORKVILLE BHN SPA | YORKVILLE ADVISORS LLC | YA Global Investments | ANGELO MARK | PRETE MARCO 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Convertible Preferred Stock Series H Derivative · Direct | Holding | no price filed | 2008-08-22 | ||
| 2008-08-15 holding as of filing | YORKVILLE ADVISORS LLC 10% Owner | 3 | Convertible Preferred Stock Series F Derivative · Indirect · As Investment Manager to YA Global Investments, L.P. | Holding | $10.00 exercise price | 2008-08-15 | ||
| 2008-08-15 holding as of filing | YORKVILLE ADVISORS LLC 10% Owner | 3 | Convertible Preferred Stock Series G Derivative · Indirect · As Investment Manager to YA Global Investments, L.P. | Holding | $4.50 exercise price | 2008-08-15 | ||
| 2008-08-15 holding as of filing | YORKVILLE ADVISORS LLC 10% Owner | 3 | Convertible Preferred Stock Series H Derivative · Indirect · As Investment Manager to YA Global Investments, L.P. | Holding | $33,334.00 exercise price | 2008-08-15 | ||
| 2008-08-15 holding as of filing | YA Global Investments 10% Owner | 3 | Convertible Preferred Stock Series F Derivative · Direct | Holding | $10.00 exercise price | 2008-08-15 | ||
| 2008-08-15 holding as of filing | YA Global Investments 10% Owner | 3 | Convertible Preferred Stock Series G Derivative · Direct | Holding | $4.50 exercise price | 2008-08-15 | ||
| 2008-08-15 holding as of filing | YA Global Investments 10% Owner | 3 | Convertible Preferred Stock Series H Derivative · Direct | Holding | $33,334.00 exercise price | 2008-08-15 | ||
| 2008-04-01 | McMillen Charles Thomas Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series H Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,166,667 2,166,667 owned after | $0.03 | 2008-04-16 | |
| 2008-03-28 holding as of filing | LEICHTWEIS CHRISTOPHER PAUL Director, Officer (PRESIDENT), 10% Owner | 3 | Series I Convertible Preferred Stock Derivative · Direct | Holding | $0.03 exercise price | 2008-03-28 |