TOWER FINANCIAL CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 29 rows, 29 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-06-03: Reporting owner RUFFOLO JOSEPH D; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-06-03: Reporting owner RUFFOLO JOSEPH D; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-03-21: Reporting owner Glaze Scott A; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-03-07: Reporting owner HENRY JEROME F JR; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-06-03 | RUFFOLO JOSEPH D Director | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −750 0 owned after | $6.02 exercise price | 2011-07-08 | |
| 2011-06-03 | RUFFOLO JOSEPH D Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −750 0 owned after | $6.02 exercise price | 2011-07-08 | |
| 2011-03-21 | Glaze Scott A Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,000 0 owned after | $6.02 exercise price | 2011-03-22 | |
| 2011-03-07 | HENRY JEROME F JR Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −250 0 owned after | $6.02 exercise price | 2011-03-08 | |
| 2011-03-02 | BUSSE KEITH E Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $6.02 exercise price | 2011-03-03 | |
| 2011-02-23 holding as of filing | HENRY JEROME F JR Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 250 owned after | $6.02 exercise price | 2011-02-23 | |
| 2011-02-23 holding as of filing | BUSSE KEITH E Director | 4 | Series A Covertible Preferred Stock Derivative · Direct | Holding | 5,000 owned after | $6.02 exercise price | 2011-02-23 | |
| 2010-12-10 | CALLEN KATHRYN D Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −250 0 owned after | $6.02 exercise price | 2010-12-13 | |
| 2010-10-14 | SCHENKEL DONALD F Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −300 0 owned after | $6.02 exercise price | 2010-10-18 | |
| 2010-10-14 holding as of filing | BUSSE KEITH E Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 5,000 owned after | $6.02 exercise price | 2010-10-14 | |
| 2010-08-25 holding as of filing | BUSSE KEITH E Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 5,000 owned after | $6.02 exercise price | 2010-08-25 | |
| 2010-08-25 holding as of filing | RUFFOLO JOSEPH D Director | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | Holding | 750 owned after | $6.02 exercise price | 2010-08-25 | |
| 2010-08-25 holding as of filing | RUFFOLO JOSEPH D Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 750 owned after | $6.02 exercise price | 2010-08-25 | |
| 2010-08-25 holding as of filing | Glaze Scott A Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 1,000 owned after | $6.02 exercise price | 2010-08-25 | |
| 2010-07-14 | TIPPMAN JOHN V SR Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −10,000 0 owned after | $6.02 exercise price | 2010-10-20 | |
| 2010-07-14 | TIPPMAN JOHN V SR Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −18,300 0 owned after | $6.02 exercise price | 2010-10-19 | |
| 2010-07-14 | TIPPMAN JOHN V SR Director | 4 | Series A Convertible Preferred Stockc Derivative · Direct | C Conversion of derivative security | +18,300 0 owned after | $6.02 exercise price | 2010-07-15 | |
| 2010-05-04 holding as of filing | RUFFOLO JOSEPH D Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 750 owned after | $6.02 exercise price | 2010-05-04 | |
| 2010-01-15 holding as of filing | TIPPMAN JOHN V SR Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 10,000 owned after | $6.02 exercise price | 2010-01-15 | |
| 2010-01-15 holding as of filing | BUSSE KEITH E Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 5,000 owned after | $6.02 exercise price | 2010-01-15 | |
| 2009-09-25 | TIPPMAN JOHN V SR Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $100.00 | 2009-09-30 | |
| 2009-09-25 | RUFFOLO JOSEPH D Director | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +750 750 owned after | $100.00 | 2009-09-29 | |
| 2009-09-25 | RUFFOLO JOSEPH D Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +750 750 owned after | $100.00 | 2009-09-29 | |
| 2009-09-25 | SCHENKEL DONALD F Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +300 300 owned after | $100.00 | 2009-09-29 | |
| 2009-09-25 | HENRY JEROME F JR Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250 250 owned after | $100.00 | 2009-09-29 | |
| 2009-09-25 | CALLEN KATHRYN D Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250 250 owned after | $100.00 | 2009-09-29 | |
| 2009-09-25 | Glaze Scott A Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | $100.00 | 2009-09-29 | |
| 2009-09-25 | BUSSE KEITH E Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $100.00 | 2009-09-29 | |
| 2009-09-25 | TIPPMAN JOHN V SR Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 166,113 owned after | $100.00 | 2009-09-29 |