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, 9 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-09-25: Reporting owner TIPPMAN JOHN V SR; Form 4/A; Security Series A Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2009-09-25: Reporting owner RUFFOLO JOSEPH D; Form 4; Security Series A Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2009-09-25: Reporting owner RUFFOLO JOSEPH D; Form 4; Security Series A Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2009-09-25: Reporting owner SCHENKEL DONALD F; Form 4; Security Series A Convertible Preferred Stock; 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 |
|---|---|---|---|---|---|---|---|---|
| 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 |