TRANS-LUX CORPORATION Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows, 14 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-03-06: Reporting owner SCHIELE GEORGE W; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-03-06: Reporting owner SHAIO ALBERTO; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2015-11-19: Reporting owner SCHIELE GEORGE W; Form 5; Security Series B Convertible Preferred Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-11-19: Reporting owner SHAIO ALBERTO; Form 5/A; Security Series B Convertible Preferred Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-03-06 | SCHIELE GEORGE W Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −250 0 owned after | $200.00 | 2019-10-18 | |
| 2019-03-06 | SHAIO ALBERTO Officer (President & CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −252 0 owned after | $200.00 | 2019-10-18 | |
| 2015-11-19 | SCHIELE GEORGE W Director | 5 | Series B Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +250 250 owned after | $200.00 | 2016-02-23 | |
| 2015-11-19 | SHAIO ALBERTO Director, Officer (Chief Operating Officer) | 5/A | Series B Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +252 252 owned after | $200.00 | 2016-02-19 | |
| 2015-11-19 | GREENE ALAN K Director | 5 | Series B Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +252 252 owned after | $200.00 | 2016-02-19 | |
| 2015-11-19 | SHAIO ALBERTO Director, Officer (Chief Operating Officer) | 5 | Series B Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +252 5,040 owned after | $200.00 | 2016-02-16 | |
| 2013-08-16 holding as of filing | ELSER MARCO M Director | 3/A | Series A Convertible Preferred Stock Non-derivative · Indirect · Manager of the account. | Holding | 5,000 owned after | no price filed | 2013-08-16 | |
| 2013-08-16 holding as of filing | ELSER MARCO M Director | 3/A | Series A Convertible Preferred Stock Non-derivative · Indirect · Manager of the account. | Holding | 4,000 owned after | no price filed | 2013-08-16 | |
| 2012-08-07 holding as of filing | ELSER MARCO M Director | 3 | Series A Convertible Preferred Stock Non-derivative · Indirect · Manager of the account. | Holding | 5,000 owned after | no price filed | 2012-08-07 | |
| 2012-08-07 holding as of filing | ELSER MARCO M Director | 3 | Series A Convertible Preferred Stock Non-derivative · Indirect · Manager of the account. | Holding | 4,000 owned after | no price filed | 2012-08-07 | |
| 2012-03-08 holding as of filing | Sloyer Elliot Director | 3 | Series A Convertible Preferred Stock Non-derivative · Indirect · Fund manager and investor. | Holding | 5,000 owned after | no price filed | 2012-03-08 | |
| 2012-01-16 | ZIZZA SALVATORE J Director | 4 | Series A Convertible Preferred Stock Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,500 0 owned after | $50,000.00 | 2012-01-20 | |
| 2011-11-14 | ZIZZA SALVATORE J Director | 4 | Series A Convertible Preferred Stock Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,500 2,500 owned after | $50,000.00 | 2011-11-21 | |
| 2011-11-14 | SCHIELE GEORGE W Director | 4 | Series A Convertible Preferred Stock Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,500 2,500 owned after | $50,000.00 | 2011-11-21 |