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20130214
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X0306 5 2012-12-31 1 0 0 0001311370 Lazard Ltd LAZ 0001520422 Hittner Richard C/O LAZARD LTD 30 ROCKEFELLER PLAZA NEW YORK NY 10020 0 0 0 1 Former Chief Acct Officer Restricted Stock Units 2012-11-23 5 A 0 149 0 A Class A common stock 149 21359 D Restricted Stock Units 2012-12-17 5 F 0 559 0 D Class A common stock 559 ...
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0001311370-13-000002
20130214
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20121231
X0306 5 2012-12-31 1 0 0 0001311370 Lazard Ltd LAZ 0001478933 Parr Gary C/O LAZARD LTD 30 ROCKEFELLER PLAZA NEW YORK NY 10020 0 0 0 1 Former Director Class A common stock 2012-11-15 5 C 0 150045 0 A 1170547 D Class A common stock 2012-12-17 5 A 0 279778 0 A 1450325 D Class A common stock 2012-12-17 5 D 0 128698 29.86 D...
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20050721
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20050630
X0202 5 2005-06-30 0 0 0 0000947011 ROYCE BIOMEDICAL INC RYBO 0001311433 Sienkiewicz Joseph C 530 JEFFERSON DRIVE SUITE 109 DEERFIELD BEACH FL 33442 1 1 0 0 Chief Financial Officer Common Stock 2005-02-11 5 A 0 10000000 0.001 A 10000000 D Sienkiewicz, Joseph C 2005-07-21
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0001311677-13-000002
20130913
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20130731
X0306 5 2013-07-31 0 0 0 0000827773 PUTNAM PREMIER INCOME TRUST PPT 0001193637 BAXTER JAMESON A BAXTER ASSOCIATES INC 1250 W NORTHWEST HIGHWAY PALATINE IL 60067 1 0 0 0 Closed-end Fund 2013-07-31 5 J 0 50.46 5.25 A 872.528 D Dividends reinvested for fiscal year end 7/31/2013. Price as of 7/31/2013. Jameson A. Baxter 20...
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0001311677-13-000003
20130913
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20130731
X0306 5 2013-07-31 0 0 0 0000827773 PUTNAM PREMIER INCOME TRUST PPT 0000903969 HILL JOHN A 20 N. BROADWAY OKLAHOMA CITY OK 73012 1 0 0 0 Closed-end Fund 2013-07-31 5 J 0 212.167 5.25 A 3668.53 D Dividends reinvested for fiscal year 7/31/2013. Price as of 7/31/2013. John A. Hill 2013-09-13
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0001311677-13-000004
20130913
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20130731
X0306 5 2013-07-31 0 0 0 0000827773 PUTNAM PREMIER INCOME TRUST PPT 0001198272 CURTIS B CHARLES C/O PUTNAM LLC ONE POST OFFICE SQUARE L5 BOSTON MA 02109 1 0 0 0 Closed-end Fund 2013-07-31 5 J 0 23.855 5.25 A 412.543 D Dividends reinvested for fiscal year end 7/31/2013. Price as of 7/31/2013. Charles B. Curtis 2013-09-1...
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0001311677-13-000005
20131015
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20130831
X0306 5 2013-08-31 0 0 0 0000810943 PUTNAM HIGH INCOME SECURITIES FUND PCF 0001193637 BAXTER JAMESON A BAXTER ASSOCIATES INC 1250 W NORTHWEST HIGHWAY PALATINE IL 60067 1 0 0 0 Closed-End Fund 2013-08-31 5 J 0 146.442 7.68 A 2523156 D Dividends reinvested as of fiscal year-end, 8/31/2013. Price as of 8/31/2013. Jameson ...
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0001311677-13-000006
20131015
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20130831
X0306 5 2013-08-31 0 0 0 0000810943 PUTNAM HIGH INCOME SECURITIES FUND PCF 0000903969 HILL JOHN A 20 N. BROADWAY OKLAHOMA CITY OK 73012 1 0 0 0 Closed-End Fund 2013-08-31 5 J 0 499.664 7.68 A 8609.057 D Dividends reinvested as of fiscal year-end, 8/31/2013. Price as of 8/31/2013. John A. Hill 2013-10-15
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0001311677-13-000007
20131015
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20130831
X0306 5 2013-08-31 0 0 0 0000810943 PUTNAM HIGH INCOME SECURITIES FUND PCF 0001198272 CURTIS B CHARLES C/O PUTNAM LLC ONE POST OFFICE SQUARE L5 BOSTON MA 02109 1 0 0 0 Closed-End Fund 2013-08-31 5 J 0 34.355 7.68 A 591.896 D Dividends reinvested as of fiscal year-end, 8/31/2013. Price as of 8/31/2013. Charles B. Curtis...
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0001311677-13-000008
20131015
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20130831
X0306 5 2013-08-31 0 0 0 0000810943 PUTNAM HIGH INCOME SECURITIES FUND PCF 0001389056 SALVIN ROBERT LEONARD PUTNAM INVESTMENTS ONE POST OFFICE SQUARE BOSTON MA 02109 0 1 0 1 Portfolio Manager to the Putnam Mutual Funds Closed-End Fund 2013-08-31 5 J 0 26.746 7.68 A 5430.955 D Dividends reinvested as of fiscal year-end ...
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0001311677-13-000010
20131101
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20130930
X0306 5 2013-09-30 0 0 0 0000830622 PUTNAM MASTER INTERMEDIATE INCOME TRUST PIM 0001193637 BAXTER JAMESON A BAXTER ASSOCIATES INC 1250 W NORTHWEST HIGHWAY PALATINE IL 60067 1 0 0 0 Closed-End Fund 2013-09-30 5 J 0 49.39 4.85 A 836.558 D Dividends reinvested as of fiscal year-end, 9/30/2013 Price as of 9/30/2013 Jameson...
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0001311677-13-000011
20131101
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20130930
X0306 5 2013-09-30 0 0 0 0000830622 PUTNAM MASTER INTERMEDIATE INCOME TRUST PIM 0000903969 HILL JOHN A 20 N. BROADWAY OKLAHOMA CITY OK 73012 1 0 0 0 Closed-End Fund 2013-09-30 5 J 0 26.57 4.85 A 450.185 D Dividends reinvested for fiscal year-end, 9/30/2013 Price as of 9/30/2013 John A. Hill 2013-11-01
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0001311677-13-000012
20131101
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20130930
X0306 5 2013-09-30 0 0 0 0000830622 PUTNAM MASTER INTERMEDIATE INCOME TRUST PIM 0001198272 CURTIS B CHARLES C/O PUTNAM LLC ONE POST OFFICE SQUARE BOSTON MA 02109 1 0 0 0 Closed-End Fund 2013-09-30 5 J 0 12.28 4.85 A 207.98 D Dividends reinvested as of fiscal year-end, 9/30/13 Price as of 9/30/2013 Charles B. Curtis 201...
<?xml version="1.0"?> <ownershipDocument> <schemaVersion>X0306</schemaVersion> <documentType>5</documentType> <periodOfReport>2014-04-30</periodOfReport> <notSubjectToSection16>0</notSubjectToSection16> <form3HoldingsReported>0</form3HoldingsReported> <form4TransactionsReported>0</form4Tra...
0001311677-14-000003
20140603
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20140430
X0306 5 2014-04-30 0 0 0 0000900422 PUTNAM MUNICIPAL OPPORTUNITIES TRUST PMO 0001193637 BAXTER JAMESON A BAXTER ASSOCIATES INC 1250 W NORTHWEST HIGHWAY PALATINE IL 60067 1 0 0 0 Closed-end Fund 2014-04-30 5 J 0 380.001 11.61 A 6362.717 D Dividends reinvested for fiscal year end 4/30/2014. Price as of 4/30/2014. Jameson...
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0001311677-14-000004
20140603
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20140430
X0306 5 2014-04-30 0 0 0 0000900422 PUTNAM MUNICIPAL OPPORTUNITIES TRUST PMO 0000903969 HILL JOHN A 20 N. BROADWAY OKLAHOMA CITY OK 73012 1 0 0 0 Closed-end Fund 2014-04-30 5 J 0 33.741 11.61 A 564.968 D Dividends reinvested for fiscal year end 4/30/2014. Price as of 4/30/2014. John A. Hill 2014-06-03
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0001311677-14-000005
20140603
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20140430
X0306 5 2014-04-30 0 0 0 0000900422 PUTNAM MUNICIPAL OPPORTUNITIES TRUST PMO 0001198272 CURTIS B CHARLES C/O PUTNAM LLC ONE POST OFFICE SQUARE L5 BOSTON MA 02109 1 0 0 0 Closed-end Fund 2014-04-30 5 J 0 31.204 11.61 A 522.477 D Dividends reinvested for fiscal year end 4/30/2014. Price as of 4/30/2014. Charles B. Curtis...
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0001311677-14-000006
20140829
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20140731
X0306 5 2014-07-31 0 0 0 0000827773 PUTNAM PREMIER INCOME TRUST PPT 0001193637 BAXTER JAMESON A BAXTER ASSOCIATES INC 1250 W NORTHWEST HIGHWAY PALATINE IL 60067 1 0 0 0 Closed-End Fund 2014-07-31 5 J 0 51.209 5.47 A 923.737 D Dividends reinvested for fiscal year end 7/31/2014. Price as of 7/31/2014. Jameson A. Baxter 2...
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0001311677-14-000007
20140829
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20140731
X0306 5 2014-07-31 0 0 0 0000827773 PUTNAM PREMIER INCOME TRUST PPT 0000903969 HILL JOHN A 20 N. BROADWAY OKLAHOMA CITY OK 73012 1 0 0 0 Closed-End Fund 2014-07-31 5 J 0 215.31 5.47 A 3883.838 D Dividends reinvested for fiscal year end 7/31/2014. Price as of 7/31/2014. John A Hill 2014-08-29
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0001311677-14-000008
20140829
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20140731
X0306 5 2014-07-31 0 0 0 0000827773 PUTNAM PREMIER INCOME TRUST PPT 0001198272 CURTIS B CHARLES C/O PUTNAM LLC ONE POST OFFICE SQUARE L5 BOSTON MA 02109 1 0 0 0 Closed-End Fund 2014-07-31 5 J 0 24.214 5.47 A 436.757 D Dividends reinvested for fiscal year end 7/31/2014. Price as of 7/31/2014. Charles B. Curtis 2014-08-2...
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0001311677-14-000010
20141120
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20141031
X0306 5 2014-10-31 0 0 0 0000844790 PUTNAM MANAGED MUNICIPAL INCOME TRUST PMM 0001193637 BAXTER JAMESON A BAXTER ASSOCIATES INC 1250 W NORTHWEST HIGHWAY PALATINE IL 60067 1 0 0 0 Closed-end Fund 2014-10-31 5 J 0 42.284 7.17 A 666.888 D Dividends reinvested for fiscal year end 10/31/2014. Price as of 10/31/2014. Jameson...
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0001311677-14-000011
20141120
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20141031
X0306 5 2014-10-31 0 0 0 0000844790 PUTNAM MANAGED MUNICIPAL INCOME TRUST PMM 0000903969 HILL JOHN A 20 N. BROADWAY OKLAHOMA CITY OK 73012 1 0 0 0 Closed-end Fund 2014-10-31 5 J 0 25.46 7.17 A 401.563 D Dividends reinvested for fiscal year end 10/31/2014. Price as of 10/31/2014. John A. Hill 2014-11-20
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0001311677-14-000012
20141120
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20141031
X0306 5 2014-10-31 0 0 0 0000844790 PUTNAM MANAGED MUNICIPAL INCOME TRUST PMM 0001198272 CURTIS B CHARLES C/O PUTNAM LLC ONE POST OFFICE SQUARE L5 BOSTON MA 02109 1 0 0 0 Closed-end Fund 2014-10-31 5 J 0 22.919 7.17 A 361.481 D Dividends reinvested for fiscal year end 10/31/2014. Price as of 10/31/2014. Charles B. Curt...
<?xml version="1.0"?> <ownershipDocument> <schemaVersion>X0306</schemaVersion> <documentType>5</documentType> <periodOfReport>2016-07-31</periodOfReport> <notSubjectToSection16>0</notSubjectToSection16> <form3HoldingsReported>0</form3HoldingsReported> <form4TransactionsReported>0</form4Tra...
0001311677-16-000001
20160902
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20160731
X0306 5 2016-07-31 0 0 0 0000827773 PUTNAM PREMIER INCOME TRUST PPT 0001193637 BAXTER JAMESON A BAXTER ASSOCIATES INC 1250 W NORTHWEST HIGHWAY PALATINE IL 60067 1 0 0 0 Closed-end Fund 2016-07-31 5 J 0 64.638 4.72 A 1043.74 D Dividends reinvested for fiscal year end 7/31/16. Price as of 7/31/2016. Jameson A. Baxter 201...
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0001311677-16-000002
20160902
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20160731
X0306 5 2016-07-31 0 0 0 0000827773 PUTNAM PREMIER INCOME TRUST PPT 0000903969 HILL JOHN A 20 N. BROADWAY OKLAHOMA CITY OK 73012 1 0 0 0 Closed-end Fund 2016-07-31 5 J 0 271.763 4.72 A 4388.389 D Dividends reinvested for fiscal year end 7/31/2016. Price as of 7/31/2016. John A. Hill 2016-09-02
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0001311741-05-000004
20051109
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20050930
X0202 5 2005-09-30 0 0 0000070145 NATIONAL FUEL GAS CO NFG 0001311741 CIPRICH PAULA M 6363 MAIN STREET WILLIAMSVILLE NY 14221 0 1 0 0 General Counsel, NFG Co. Common stock 4413 D Common stock 2005-09-30 5 J 0 253 0 A 4242 I 401(k) Trust Routine acquisitions under the NFG 401(k) Trust Plan, exempt under Rule 16b-3(c), a...
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0001311742-06-000001
20060818
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20060531
X0202 5 2006-05-31 1 0 0 0000901823 PUTNAM MANAGED HIGH YIELD TRUST ptm 0001191606 BONEPARTH JOHN F PUTNAM LLC ONE POST OFFICE SQUARE BOSTON MA 02109 0 1 0 0 Former Putnam Officer John F. Boneparth 2006-08-18
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0001311742-06-000002
20060818
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20060531
X0202 5 2006-05-31 1 0 0 0000887398 PUTNAM TAX FREE HEALTH CARE FUND pmh 0001191606 BONEPARTH JOHN F PUTNAM LLC ONE POST OFFICE SQUARE BOSTON MA 02109 0 1 0 0 Former Putnam Officer John A. Boneparth 2006-08-18
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0001311742-06-000003
20060818
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20060731
X0202 5 2006-07-31 1 0 0 0000827773 PUTNAM PREMIER INCOME TRUST ppt 0001191606 BONEPARTH JOHN F PUTNAM LLC ONE POST OFFICE SQUARE BOSTON MA 02109 0 1 0 0 Former Putnam Officer John F. Boneparth 2006-08-18
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0001311742-06-000004
20060818
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20060531
X0202 5 2006-05-31 1 0 0 0000901823 PUTNAM MANAGED HIGH YIELD TRUST ptm 0001198279 JACOBS JEROME J C/O PUTNAM LLC ONE POST OFFICE SQUARE L5 BOSTON MA 02109 0 1 0 0 Former Putnam Officer Jerome J. Jacobs 2006-08-18
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0001311742-06-000005
20060818
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20060531
X0202 5 2006-05-31 1 0 0 0000887398 PUTNAM TAX FREE HEALTH CARE FUND pmh 0001198279 JACOBS JEROME J C/O PUTNAM LLC ONE POST OFFICE SQUARE L5 BOSTON MA 02109 0 1 0 0 Former Putnam Officer Jerome J. Jacobs 2006-08-18
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0001311742-06-000006
20060818
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20060731
X0202 5 2006-07-31 1 0 0 0000827773 PUTNAM PREMIER INCOME TRUST ppt 0001198279 JACOBS JEROME J C/O PUTNAM LLC ONE POST OFFICE SQUARE L5 BOSTON MA 02109 0 1 0 0 Former Putnam Officer Jerome J. Jacobs 2006-08-18
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0001311742-06-000007
20060818
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20060331
X0202 5 2006-03-31 1 0 0 0000848077 PUTNAM HIGH YIELD MUNICIPAL TRUST pym 0001311727 MILLER CHRISTOPHER GRAHAM PUTNAM INVESTMENTS ONE POST OFFICE SQUARE BOSTON MA 02109 0 1 0 0 Former Putnam Officer Christopher G Miller 2006-08-18
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0001311742-06-000008
20060818
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20060430
X0202 5 2006-04-30 1 0 0 0000892980 PUTNAM CALIFORNIA INVESTMENT GRADE MUNICIPAL TRUST pca 0001311727 MILLER CHRISTOPHER GRAHAM PUTNAM INVESTMENTS ONE POST OFFICE SQUARE BOSTON MA 02109 0 1 0 0 Former Putnam Officer Christopher G. Miller 2006-08-18
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0001311742-06-000009
20060818
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20060430
X0202 5 2006-04-30 1 0 0 0000892884 PUTNAM MUNICIPAL BOND FUND pmg 0001311727 MILLER CHRISTOPHER GRAHAM PUTNAM INVESTMENTS ONE POST OFFICE SQUARE BOSTON MA 02109 0 1 0 0 Former Putnam Officer Christopher G. Miller 2006-08-18
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0001311761-05-000003
20050211
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20041231
X0202 5 2004-12-31 0 0 0001025996 KILROY REALTY CORP NYSE: KRC 0001214283 SCOTT STEVEN R 12200 W. OLYMPIC BLVD. SUITE 200 LOS ANGELES CA 90064 0 1 0 0 SVP, San Diego Development Common stock, par value $0.01 per share 2004-10-15 5 L 0 7 39.19 A 15489 D Common stock, par value $0.01 per share 2004-11-22 5 L 0 120 39.58 ...
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0001311761-06-000004
20060125
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20051231
X0202 5 2005-12-31 0 0 0001025996 KILROY REALTY CORP NYSE: KRC 0001214283 SCOTT STEVEN R 12200 W. OLYMPIC BOULEVARD SUITE 200 LOS ANGELES CA 90064 0 1 0 0 SVP, San Diego Development Common stock, par value $0.01 per share 2005-10-18 5 L 0 13 52.62 A 23120 D These shares have been acquired through the Company's Dividend...
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0001311828-09-000001
20090206
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20081231
X0303 5 2008-12-31 0 0 1 0001311828 Independence Bancshares, Inc. IEBS 0001436644 Rex Donald H. Jr. 500 EAST WASHINGTON STREET GREENVILLE SC 29601 1 0 0 0 Director Stock Option (right to buy) 10 2008-07-22 4 A 0 L 5000 0 A 2018-07-22 Common Stock 5000 5000 D The option vests in three equal annual installments beginning...
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0001311828-09-000002
20090206
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20081231
X0303 5 2008-12-31 0 0 1 0001311828 Independence Bancshares, Inc. IEBS 0001254685 MCLEAN A A III P O BOX 6429 GREENVILLE SC 296066429 1 0 0 0 Director Stock Option (right to buy) 10 2008-07-22 4 A 0 L 5000 0 A 2018-07-22 Common Stock 5000 5000 D The option vests in three equal annual installments beginning on July 22, ...
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0001311929-05-000002
20050621
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20050430
X0202 5 2005-04-30 0 1 1 0001101661 SONORAN ENERGY INC SNRN 0001311929 Ostenfeld-Rosenthal Peter Peng FLAT 49 47-60 CHENISTON GARDENS LONDON X0 W8 6TJ UNITED KINGDOM 1 1 0 0 President/CEO Common Stock 3 2250000 D Common Stock 2004-12-17 4 G 0 L 50000 0 D 2200000 D Common Stock Option 0.8 3 2004-03-22 2006-03-22 Common ...
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0001311962-05-000003
20050721
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20050630
X0202 5 2005-06-30 0 0 0 0000947011 ROYCE BIOMEDICAL INC RYBO 0001311962 GEE DONALD 4460 ATLEE AVENUE BURNABY A1 V5G 3R6 BRITISH COLUMBIA, CANADA 1 1 0 0 Chief Executive Officer Common Stock 2005-02-11 5 A 0 10000000 0.001 A 10000000 D Gee, Donald 2005-07-21
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0001312086-08-000001
20080507
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20080430
X0202 5 2008-04-30 1 0 0 0000900422 PUTNAM MUNICIPAL OPPORTUNITIES TRUST pmo 0001312086 QUISTBERG PAUL T PUTNAM INVESTMENTS ONE POST OFFICE SQUARE BOSTON MA 02109 0 1 0 1 Man. Dir. of Putnam, issuer's indirect parent holding co. Paul Quistberg 2008-05-07
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0001312086-08-000002
20080507
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20080430
X0202 5 2008-04-30 1 0 0 0000900422 PUTNAM MUNICIPAL OPPORTUNITIES TRUST pmo 0001231820 ROBIE RICHARD S III 0 1 0 1 Man. Dir. of Putnam, issuer's indirect parent holding co. Richard S. Robie 2008-05-07
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0001312086-08-000003
20080507
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20080430
X0202 5 2008-04-30 1 0 0 0000900422 PUTNAM MUNICIPAL OPPORTUNITIES TRUST pmo 0001389562 TOWELL JOSEPH HAMPTON PUTNAM INVESTMENTS ONE POST OFFICE SQUARE BOSTON MA 02109 0 1 0 1 Man. Dir. of Putnam, issuer's indirect parent holding co. Joseph H. Towell 2008-05-07
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0001312086-08-000004
20080507
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20080430
X0202 5 2008-04-30 1 0 0 0000900422 PUTNAM MUNICIPAL OPPORTUNITIES TRUST pmo 0001231820 ROBIE RICHARD S III 0 1 0 1 Sr.Mg.Dir.of Putnam, issuer's indirect parent holding co. Richard S. Robie III 2008-05-07
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0001312109-21-000022
20210212
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20201231
X0306 5 2020-12-31 0 0 0 0001312109 Silvergate Capital Corp SI 0001757644 Eisele Derek J. 4250 EXECUTIVE SQUARE SUITE 300 LA JOLLA CA 92037 0 1 0 0 Executive Vice President Class A Common Stock 2020-12-03 5 G 0 595 0 D 0 D Class A Common Stock 2020-12-03 5 G 0 595 0 A 109969 I By Self and Spouse as Trustees of Eisele F...
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0001312109-22-000012
20220118
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20211231
X0306 5 2021-12-31 0 0 0 0001312109 Silvergate Capital Corp SI 0001232737 LANE ALAN J 4250 EXECUTIVE SQUARE SUITE 300 LA JOLLA CA 92037 1 1 0 0 President and CEO Class A Common Stock 2021-12-20 5 G 0 1398 0 D 0 D Class A Common Stock 2021-12-20 5 G 0 1398 0 A 142123 I By Self and Spouse as Trustees of Lane Trust /s/ Jo...
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0001312109-22-000014
20220118
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20211231
X0306 5 2021-12-31 0 0 0 0001312109 Silvergate Capital Corp SI 0001757644 Eisele Derek J. 4250 EXECUTIVE SQUARE SUITE 300 LA JOLLA CA 92037 0 1 0 0 Executive Vice President Class A Common Stock 2021-12-07 5 G 0 250 0 D 103446 I By Self and Spouse as Trustees of Eisele Family Trust The Reporting Person gifted 125 shares...
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0001312265-05-000001
20050706
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20050630
X0202 5 2005-06-30 0 0 0 0000880406 HERZFELD CARIBBEAN BASIN FUND INC CUBA 0001312265 WEINTRAUB ALBERT L THE HERZFELD CARIBBEAN BASIN FUND INC P O BOX 161465 MAIMI FL 33116 1 0 0 0 common shares 2004-11-30 5 S 0 500 5.3 D 500 I By spouse and children common shares 2004-11-30 5 P 0 500 5.3 A 500 I By spouse and children...
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0001312455-16-000002
20160201
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20151231
X0306 5 2015-12-31 0 0 1 0000923139 FLUSHING FINANCIAL CORP FFIC 0001312455 DIorio Steven J 220 RXR PLAZA UNIONDALE NY 11556 1 0 0 0 Common Stock 2013-11-07 4 S 0 L 10105 19.78 D 35845 D Common Stock 2014-07-21 4 S 0 L 5253 19.09 D 30592 D Commo nStock 2014-10-03 4 S 0 L 5474 18.43 D 25118 D Common Stock 2014-12-09 4 S...
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0001312973-06-000001
20060118
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20050930
X0202 5 2005-09-30 0 0 0 0000814183 InZon CORP izON 0001312973 Dea Richard Fredrick 238 N E 1ST AVENUE DELRAY BEACH FL 33444 1 1 0 0 CFO common Stock 2005-09-30 5 J 0 0 0 A 1000000 D Richard Dea 2006-01-18
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0001312973-07-000004
20071205
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20060930
X0202 5 2006-09-30 0 0 0 0000814183 InZon CORP IZON 0001312973 Dea Richard Fredrick 238 N E 1ST AVENUE DELRAY BEACH FL 33444 1 1 0 0 Chief Financial Officer Common Stock 2006-09-30 5 P 0 105000 A 1105000 D See Form 4's previously filed Richard Dea 2007-12-05
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0001312973-07-000006
20071205
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20070930
X0202 5 2007-09-30 0 0 0 0000814183 InZon CORP IZON 0001312973 Dea Richard Fredrick 238 N E 1ST AVENUE DELRAY BEACH FL 33444 1 1 0 0 Chief Financial Officer Common Stock 2007-09-30 2007-09-30 5 P 0 1300000 A 2405000 D Annual Report See Form 4 previously filed Richard Dea 2007-12-05
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0001313066-06-000002
20060118
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20050930
X0202 5 2005-09-30 0 0 0 0000814183 InZon CORP IZON 0001313066 Levy David FRANKLIN 238 N.E. 1ST AVENUE DELRAY BEACH FL 33444 1 1 1 0 Chairman/CEO Common Stock 2005-09-30 5 J 0 0 0 A 10940675 D David F Levy 2006-01-18
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0001313066-07-000004
20071206
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20060930
X0202 5 2006-09-30 0 0 0 0000814183 InZon CORP IZON 0001313066 Levy David FRANKLIN 238 N.E. 1ST AVENUE DELRAY BEACH FL 33444 1 0 0 0 Common Stock 11105675 D David F. Levy 2007-12-06
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0001313066-07-000006
20071206
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20070930
X0202 5 2007-09-30 0 0 0 0000814183 InZon CORP IZON 0001313066 Levy David FRANKLIN 238 N.E. 1ST AVENUE DELRAY BEACH FL 33444 1 0 0 0 Common Stock 13571527 D David F. Levy 2007-12-06
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0001313219-06-000002
20060214
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20051231
X0202 5 2005-12-31 0 0 1 0000706874 PALMETTO BANCSHARES INC n/a 0001313219 Hopkins John D Jr 301 HILLCREST DRIVE POST OFFICE BOX 49 LAURENS SC 29360 1 0 0 0 Common Stock, $5 Par Value 2005-04-25 4 P 0 L 450 33 A 40200 D Common Stock, $5 Par Value 2005-12-16 5 P 0 100 35 A 40200 I In Custodian for Daughter Common Stock,...
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0001313219-11-000001
20110214
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20101231
X0303 5 2010-12-31 0 0 1 0000706874 PALMETTO BANCSHARES INC n/a 0001313219 Hopkins John D Jr 301 HILLCREST DRIVE POST OFFICE BOX 49 LAURENS SC 29360 1 0 0 0 Common Stock $0.01 par value 2010-10-07 5 P 0 384 2.6 A 47360 D Common Stock $0.01 par value 2010-11-05 4 S 0 L 25000 2.6 D 22360 D Common Stock $0.01 par value 42...
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0001313219-12-000001
20120104
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20111231
X0304 5 2011-12-31 0 0 0 0000706874 PALMETTO BANCSHARES INC PLMT 0001313219 Hopkins John D Jr 301 HILLCREST DRIVE POST OFFICE BOX 49 LAURENS SC 29360 1 0 0 0 Common Stock, $0.01 par value 2011-03-02 5 S 0 500 10.4 D 1000 I Wife and Custodian for Children Common Stock, $0.01 par value 2011-06-28 5 J 0 0 0 A 43296 D Stoc...
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0001313256-05-000002
20050114
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20041231
X0202 5 2004-12-31 0 0 1 0000318245 SWISS MEDICA INC SWME 0001313256 Quinn Thomas C/O SWISS MEDICA 53 YONGE STREET, 3RD FLOOR TORONTO A6 A1 M5E 1J3 ONTARIO, CANADA 0 1 0 0 Vice President, Sales Common Stock 2004-10-18 2004-10-18 4 P 0 L 50000 0.11 A 807500 D Common Stock 2004-10-22 2004-10-22 4 P 0 L 100000 0.113 A 807...
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0001313319-11-000001
20110214
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20101231
X0303 5 2010-12-31 0 0 0 0000706874 PALMETTO BANCSHARES INC n/a 0001313319 ERWIN SAMUEL L PO BOX 2086 ORANGEBURG SC 29116 1 1 0 0 CEO Common Stock $0.01 par value 2010-12-31 5 P 0 500 2.6 A 500 D Common Stock $0.01 par value 2010-12-31 5 P 0 500 2.6 A 500 D Commmon Stock $0.01 par value 77307 D Custodian FBO Samuel Erw...
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0001313387-05-000005
20051110
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20050930
X0202 5 2005-09-30 0 0 0000070145 NATIONAL FUEL GAS CO NFG 0001313387 DeCarolis Donna L 165 LAWRENCE BELL DRIVE SUITE 120 WILLIAMSVILLE NY 14221 0 1 0 0 President, Natl Fuel Resources Common stock 2005-01-15 5 J 0 13 27.767 A 1317 D Common stock 2005-04-15 5 J 0 13 28.2483 A 1330 D Common stock 2005-07-15 5 J 0 13 29.4...
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0001313590-05-000001
20050114
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20041231
X0202 5 2004-12-31 1 0 0 0000318245 SWISS MEDICA INC swme 0001313590 JOHNSON GRANT C/O SWISS MEDICA 53 YONGE STREET TORONTO A6 A1 M5E 1J3 ONTARIO, CANADA 0 0 0 1 spouse of president Jennifer Johnson 2004-12-16 2004-12-16 5 P 0 100000 0.21 A 108000 D This transaction was completed by my wife in December of last year and...
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0001313606-13-000001
20130212
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20121231
X0306 5 2012-12-31 0 0 1 0001096339 SARATOGA RESOURCES INC /TX SARA 0001313606 Rhea John William IV 317 EXPLORER AUSTIN TX 78734 1 0 0 0 Common Stock 2012-11-06 4 S 0 L 550 4.9273 D 14909 D Common Stock 2012-11-07 4 S 0 L 550 4.7754 D 14909 D Common Stock 2012-11-08 4 S 0 L 815 4.512 D 14909 D Common Stock 2012-11-09 4...
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0001313617-05-000004
20050209
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20041230
X0202 5 2004-12-30 0 0 0001053507 AMERICAN TOWER CORP /MA/ AMT 0001060571 GEARON J MICHAEL JR 116 HUNTINGTON AVE. BOSTON MA 02116 0 1 0 0 Pres., American Tower Int'l Class A Common Stock 2004-12-30 5 G 0 1220 0 D 1515779 D Class A Common Stock 2004-12-30 5 G 0 1220 0 D 1514559 D Class A Common Stock 2004-12-30 5 G 0 12...
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0001313797-07-000001
20070214
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20061231
X0202 5 2006-12-31 0 0 1 0001020017 INX Inc INXI 0001313797 Fontana Brian 6401 SOUTHWEST FREEWAY HOUSTON TX 77074 0 1 0 0 Vice President Stock Option 6.58 2006-05-03 4 A 0 L 50000 0 A 2016-05-02 Common Stock 50000 135000 D Stock Option 4.5 2005-11-03 4 A 0 L 10000 0 A 2015-11-02 Common Stock 10000 135000 D 10,000 share...
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0001313931-11-000001
20110128
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20101031
X0303 5 2010-10-31 0 0 1 0001173738 CDEX INC CEXI 0001313931 McCommon Stephen C/O CDEX, INC. 4555 S. PALO VERDE, SUITE 123 TUCSON AZ 85714 0 1 0 0 CFO Convertible Promissory Note 0.08 2010-08-23 2010-08-23 4 J 0 L 359779 0.08 A 2010-08-23 2012-02-01 Class A Common Stock 359779 559779 D On August 28, 2010, Mr. McCommon ...
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0001313972-05-000002
20050516
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20050331
X0202 5 2005-03-31 1 0 0 0000733269 ACXIOM CORP ACXM 0001313972 Marr Holly ACXIOM CORPORATION 1 INFORMATION WAY LITTLE ROCK AR 72202 0 1 0 0 Delivery Center Org Leader Common Stock, $.10 Par Value 2005-01-05 5 J 0 68.5905 22.355 A 6157.36 D Common Stock, $.10 Par Value 2005-02-03 5 J 0 89.2038 19.618 A 6246.5638 D Comm...
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0001314112-14-000002
20140128
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20131231
X0306 5 2013-12-31 0 0 0000768710 RELIV INTERNATIONAL INC RELV 0001314112 Hastings Steven G 136 CHESTERFIELD INDUSTRIAL BOULEVARD CHESTERFIELD MO 63005 0 1 0 0 Vice President Stock Option (Right to Purchase) 1.17 2013-03-08 5 A 0 19000 0 A 2014-03-08 2018-03-08 Common Stock 19000 92000 D All 100% of the shares granted ...
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0001314113-14-000001
20140128
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20131231
X0306 5 2013-12-31 0 0 0000768710 RELIV INTERNATIONAL INC RELV 0001314113 Montgomery Ryan Andrew 136 CHESTERFIELD INDUSTRIAL BOULEVARD CHESTERFIELD MO 63005 0 1 0 0 Vice President Stock Option (Right to Purchase) 1.17 2013-03-08 5 A 0 49000 0 A 2014-03-08 2018-03-08 Common Stock 49000 167500 D All 100% of the shares gr...
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0001314114-14-000001
20140128
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20131231
X0306 5 2013-12-31 0 0 0000768710 RELIV INTERNATIONAL INC RELV 0001314114 Montgomery Scott 136 CHESTERFIELD INDUSTRIAL BOULEVARD CHESTERFIELD MO 63005 0 1 0 0 Vice President Stock Option (Right to Purchase) 1.17 2013-03-08 5 A 0 49000 0 A 2014-03-08 2018-03-08 Common Stock 49000 192500 D All 100% of the shares granted ...
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0001314175-05-000005
20050518
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20050331
X0202 5 2005-03-31 0 0 0 0000005768 AMERICAN SCIENCE & ENGINEERING INC ASEI 0001314175 Brown Denis R C/O AMERICAN SCIENCE & ENGINEERING,INC 829 MIDDLESEX TURNPIKE BILLERICA MA 01821 1 0 0 0 Common Stock 2005-02-25 5 P 0 L 500 43.7 A 2809 D William F. Grieco, Attorney in Fact 2005-05-18
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0001314460-06-000004
20060207
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20051231
X0202 5 2005-12-31 1 0 0 0001133016 HUB INTERNATIONAL LTD HBG 0001209548 BARTON R CRAIG HUB INTERNATIONAL LTD 55 E JACKSON BLVD CHICAGO IL 60604 0 1 0 0 President, Canadian Operations Common Shares 112582 D Common Shares 56513 I By Librico Properties Limited Common Shares 12610 I by Spouse Common Shares 225872 I by R. ...
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0001314460-06-000006
20060210
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20051231
X0202 5 2005-12-31 1 0 0 0001133016 HUB INTERNATIONAL LTD HBG 0001212289 SABANOS MICHAEL P 55 EAST JACKSON BLVD CHICAGO IL 60603 0 1 0 0 Director - Mergers and Common Stock 2005-12-30 5 J 0 381 20.83 A 548 I By 401(k) Plan By: Megan D. Green, Attorney in Fact For: Michael P. Sabanos 2006-02-10
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0001314598-06-000162
20061219
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20061130
X0202 5 2006-11-30 0 0 0000063754 MCCORMICK & CO INC MKC 0001188640 CONTINO FRANCIS A MCCORMICK & COMPANY, INCORPORATED 18 LOVETON CIRCLE SPARKS MD 21152 1 1 0 0 Executive Vice President, Common Stock - Voting 12825 D Common Stock-Voting 27137 I Trust Common Stock - Voting 24334.343 I Profit Sharing Plan Common Stock -...
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0001314598-06-000163
20061219
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20061130
X0202 5 2006-11-30 0 0 0000063754 MCCORMICK & CO INC MKC 0001188639 BEARD PAUL C MCCORMICK & COMPANY, INCORPORATED 18 LOVETON CIRCLE SPARKS MD 21152 0 1 0 0 Vice President - Finance & Common Stock - Voting 14557 D Common Stock - Non Voting 1996 D Downward adjustment to shares due to clerical error. Sonia G. Cudd- Attor...
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0001314844-05-000002
20050520
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20050331
X0202 5 2005-03-31 0 0 0 0001108891 GLOBAL INNOVATIVE SYSTEMS INC GBSY 0001314844 Chang Victor Tin Duk 2701 ADMIRALTY CENTRE, TOWER ONE 18 HARCOURT RD. HONG KONG K3 ---------- HONG KONG 0 1 0 0 Business Development Manager Common Shares 2005-01-13 5 P 1 291603 A 291603 D P/K The Common Shares were acquired through a sh...
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0001315098-22-000016
20220211
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20211231
X0306 5 2021-12-31 0 0 0 0001315098 Roblox Corp RBLX 0001834989 Carvalho Christopher C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO CA 94403 1 0 0 0 Class A Common Stock 2021-11-26 5 G 0 40000 0 D 1231957 D Class A Common Stock 160968 I See Footnotes Represents a transfer of shares to a Donor Advised Fund. These share...
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0001315098-22-000018
20220211
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20211231
X0306 5 2021-12-31 0 0 0 0001315098 Roblox Corp RBLX 0001834991 Baszucki David C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO CA 94403 1 1 1 0 President & CEO Class A Common Stock 2021-03-10 5 J 0 1 0 A 1 D Class A Common Stock 750000 I See Footnote Class A Common Stock 375000 I See Footnote Class A Common Stock 13125...
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0001315098-22-000020
20220211
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20211231
X0306 5 2021-12-31 0 0 0 0001315098 Roblox Corp RBLX 0001615151 Messing Barbara C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO CA 94403 0 1 0 0 CMKtg & People Exper Officer Class A Common Stock 2021-03-10 5 J 0 1 0 A 19553 D Represents a gift of one (1) share to all current employees. /s/ Mark Reinstra Attorney-in-Fac...
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0001315098-22-000022
20220211
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20211231
X0306 5 2021-12-31 0 0 0 0001315098 Roblox Corp RBLX 0001834992 Donato Craig C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO CA 94403 0 1 0 0 Chief Business Officer Class A Common Stock 2021-03-10 5 J 0 1 0 A 1123098 D Class A Common Stock 2021-11-18 5 G 0 40000 0 D 1083098 D Class A Common Stock 2021-11-18 5 G 0 40000...
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0001315098-22-000024
20220211
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20211231
X0306 5 2021-12-31 0 0 0 0001315098 Roblox Corp RBLX 0001607880 Guthrie Michael C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO CA 94403 0 1 0 0 Chief Financial Officer Class A Common Stock 2021-03-10 5 J 0 1 0 A 75099 D Represents a gift of one (1) share to all current employees. A portion of these securities are Rest...
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0001315098-22-000026
20220211
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20211231
X0306 5 2021-12-31 0 0 0 0001315098 Roblox Corp RBLX 0001835039 Tolley Brett C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO CA 94403 0 1 0 0 Principal Accounting Officer Class A Common Stock 2021-03-10 5 J 0 1 0 A 7875 D Represents a gift of one (1) share to all current employees. A portion of these securities are Res...
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0001315098-22-000028
20220211
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20211231
X0306 5 2021-12-31 0 0 0 0001315098 Roblox Corp RBLX 0001835042 Sturman Daniel C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO CA 94403 0 1 0 0 Chief Technology Officer Class A Common Stock 2021-03-10 5 J 0 1 0 A 58737 D Class A Common Stock 111982 I See Footnotes Class A Common Stock 111983 I See Footnote Represents a...
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0001315098-22-000030
20220211
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20211231
X0306 5 2021-12-31 0 0 0 0001315098 Roblox Corp RBLX 0001834990 Baszucki Gregory C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO CA 94403 1 0 0 0 Class A Common Stock 2021-12-24 5 G 0 20000 0 D 9913603 I See Footnotes Class A Common Stock 2481 D Class A Common Stock 869250 I See Footnotes Class A Common Stock 869250 I ...
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0001315098-23-000012
20230209
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20221231
X0306 5 2022-12-31 0 0 0 0001315098 Roblox Corp RBLX 0001834991 Baszucki David C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO CA 94403 1 1 1 0 President & CEO Class A Common Stock 2022-05-27 5 G 0 568529 0 D 543971 I See Footnote Class A Common Stock 750000 I See Footnote Class A Common Stock 375000 I See Footnote Cla...
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0001315188-06-000001
20060815
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20060630
X0202 5 2006-06-30 0 0 0 0001083742 INTREPID TECHNOLOGY & RESOURCE INC iesv 0001315188 Whitesides Steven 501 W. BROADWAY SUITE 200 IDAHO FALLS ID 83402 1 0 0 0 IESV Common Stock 6666666 I Co-owner of business (Dairy Farm) to which shares issued IESV Common Stock 275000 D IESV Common Stock 2005-12-29 5 P 0 160000 0.05 A...
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0001315188-07-000001
20070815
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20070630
X0202 5 2007-06-30 0 0 0 0001083742 INTREPID TECHNOLOGY & RESOURCES, INC. iesv 0001315188 Whitesides Steven 501 W. BROADWAY SUITE 200 IDAHO FALLS ID 83402 1 0 0 0 IESV Common Stock 7105600 D IESV Common Stock 2006-12-15 5 P 0 163934 0.061 A 7105600 D 6,666,666 shares held in name of Dairy of which Mr. Whitesides is co-...
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0001315232-05-000003
20050125
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20030630
X0202 5 2003-06-30 0 0 0 0000313116 ENERCORP INC encp 0001315232 parlatore salvatore 2937 MIX PATH STEVENSVILLE MI 48334 1 0 0 0 None 0 D The above reporting person had no holdings in Enercorp securities as of the end of the fiscal year reported upon. Salvatore Parlatore 2005-01-25
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0001315232-05-000004
20050125
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20040630
X0202 5 2004-06-30 0 0 0 0000313116 ENERCORP INC encp 0001315232 parlatore salvatore 2937 MIX PATH STEVENSVILLE MI 48334 1 0 0 0 None 0 D No securities beneficilly owned by the above reporting person as of the end of the fiscal year reported upon. Salvatore Parlatore 2005-01-25
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0001315232-05-000005
20050125
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20030630
X0202 5 2003-06-30 0 0 0 0000313116 ENERCORP INC encp 0001301893 Rautio Jeffrey E 37191 SEABROOK DR LIVONIA MI 48152 1 0 0 0 None 0 D The above person did not own any securities in Enercorp as of the end of the fiscal year reported upon. Jeffrey E. Rautio 2005-01-25
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0001315232-05-000006
20050125
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20040630
X0202 5 2004-06-30 0 0 0 0000313116 ENERCORP INC encp 0001301893 Rautio Jeffrey E 37191 SEABROOK DR LIVONIA MI 48152 1 0 0 0 None 0 D The above reporting person did not own any securities in Enercorp as of of the end of the fiscal year reported upon. Jeffrey E. Rautio 2005-01-25
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0001315232-08-000002
20080418
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20030630
X0202 5 2003-06-30 0 0 0 0000313116 ENERCORP INC encp 0001315232 parlatore salvatore 2937 MIX PATH STEVENSVILLE MI 48334 1 0 0 0 NONE 0 D NONE NONE 0 0 D NONE SALVATORE PARLATORE 2008-04-18
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0001315232-08-000003
20080418
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20040630
X0202 5 2004-06-30 0 0 0 0000313116 ENERCORP INC encp 0001315232 parlatore salvatore 2937 MIX PATH STEVENSVILLE MI 48334 1 0 0 0 none 0 D none none 0 0 D none Salvatore Parlatore 2008-04-18
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0001315232-08-000004
20080418
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20050630
X0202 5 2005-06-30 0 0 0 0000313116 ENERCORP INC encp 0001315232 parlatore salvatore 2937 MIX PATH STEVENSVILLE MI 48334 1 0 0 0 NONE 0 D NONE NONE 0 0 D NONE SALVATORE PARLATORE 2008-04-18
<?xml version="1.0"?> <ownershipDocument> <schemaVersion>X0202</schemaVersion> <documentType>5</documentType> <periodOfReport>2006-06-30</periodOfReport> <notSubjectToSection16>0</notSubjectToSection16> <form3HoldingsReported>0</form3HoldingsReported> <form4TransactionsReported>0</form4Tra...
0001315232-08-000005
20080418
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20060630
X0202 5 2006-06-30 0 0 0 0000313116 ENERCORP INC encp 0001315232 parlatore salvatore 2937 MIX PATH STEVENSVILLE MI 48334 1 0 0 0 NONE 0 D NONE NONE 0 0 D NONE SALVATORE PARLATORE 2008-04-18
<?xml version="1.0"?> <ownershipDocument> <schemaVersion>X0202</schemaVersion> <documentType>5</documentType> <periodOfReport>2007-06-30</periodOfReport> <notSubjectToSection16>0</notSubjectToSection16> <form3HoldingsReported>0</form3HoldingsReported> <form4TransactionsReported>0</form4Tra...
0001315232-08-000006
20080418
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20070630
X0202 5 2007-06-30 0 0 0 0000313116 ENERCORP INC encp 0001315232 parlatore salvatore 2937 MIX PATH STEVENSVILLE MI 48334 1 0 0 0 NONE 0 D NONE NONE 0 0 D NONE SALVATORE PARLATORE 2008-04-18
<?xml version="1.0"?> <ownershipDocument> <schemaVersion>X0306</schemaVersion> <documentType>5</documentType> <periodOfReport>2019-12-31</periodOfReport> <notSubjectToSection16>0</notSubjectToSection16> <form3HoldingsReported>0</form3HoldingsReported> <form4TransactionsReported>0</form4Tra...
0001315255-20-000025
20200228
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20191231
X0306 5 2019-12-31 0 0 0 0001315255 GTT Communications, Inc. GTT 0001086564 THOMPSON H BRIAN C/O GTT COMMUNICATIONS INC. 7900 TYSONS ONE PLACE, SUITE 1450 MCLEAN VA 22102 1 0 1 0 Common Stock, par value $.0001 per share 2019-01-14 5 G 0 L 900 25.86 D 616721 D Common Stock, par value $.0001 per share 27350 I By Spouse D...
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0001315278-05-000008
20050412
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20041231
X0202 5 2004-12-31 0 0 0 0001118344 DND TECHNOLOGIES INC DNDT 0001267259 DIXON DOUGLAS N 375 E ELLIOT ROAD BLDG 6 CHANDLER AZ 85225 1 1 1 0 CEO & President Common Stock 2004-12-30 5 G 0 400000 0 D 14200000 D /s/ Douglas N. Dixon 2005-04-11
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0001315320-09-000001
20090217
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20081231
X0303 5 2008-12-31 0 0 0 0001315320 InfoLogix Inc IFLG 0001410710 Vermeil Richard A. C/O INFOLOGIX, INC. 101 E. COUNTY LINE ROAD, SUITE 210 HATBORO PA 19040 1 0 0 0 Common Stock 2008-05-21 5 G 0 27500 0 D 25000 D Represents gifts of 2,500 shares of common stock of InfoLogix Inc. by the reporting person to each of his e...
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0001315399-22-000007
20220201
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20211231
X0306 5 2021-12-31 0 0 0 0001315399 PARKE BANCORP, INC. PKBK 0001328254 DALTON DANIEL J 601 DELSEA DRIVE SEWELL NJ 08080 1 0 0 0 Common Stock 147904 D Common Stock 1367 I UGMA Stock Options Right-to-buy 20.14 2019-08-22 2028-08-22 Common Stock 13750.0 13750 D Stock Options Right-to-buy 12.29 2021-04-24 2030-04-24 Commo...