| Sep 28, 2018 PForm 4 → | Oct 1, 4:36 pm EDT | Entasis Therapeutics Holdings Inc.ETTX | Novo Holdings A/S10% Owner | 1,089,835 | $15.00 | $16,347,525 | 2,181,843 | +99.8% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 2, 2:31 pm EDT | SUTRO BIOPHARMA INCSTRO | Merck & Co., Inc. +110% Owner | 666,666 | $15.00 | $9,999,990 | 2,723,509 | +32.4% | plan? |
| Sep 27, 2018 PForm 4 → | Oct 1, 6:15 pm EDT | GCP Applied Technologies Inc.GCP | Dalbergia Investments LLC +510% Owner | 293,525 | $26.16 | $7,679,990 | 4,083,932 | +7.74% | plan? |
| Sep 27, 2018 PForm 4 → | Oct 1, 6:37 pm EDT | vTv Therapeutics Inc.VTVT | Ronald O Perelman10% Owner | 1,879,699 | $1.33 | $2,500,000 | 8,658,169 | +27.7% | plan? |
| Sep 27, 2018 PForm 4 → | Oct 1, 5:10 pm EDT | Sunrun Inc.RUN | TIGER GLOBAL MANAGEMENT LLC +210% Owner | 123,700 | $12.11 | $1,498,287 | 15,000,000 | +0.83% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 10:01 am EDT | AIR T INCAIRT | Nicholas John SwensonCEO, Director, 10% Owner | 30,000 | $33.55 | $1,006,500 | 32,304 | +1,302% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 1, 5:44 pm EDT | Barings BDC, Inc.BBDC | BARINGS LLC10% Owner | 79,200 | $10.08 | $798,281 | 8,936,781 | +0.89% | plan? amended |
| Sep 27, 2018 PForm 4 → | Oct 1, 4:23 pm EDT | Odonate Therapeutics, Inc.ODT | Kevin C Tang +3Chief Executive Officer, Director, 10% Owner | 40,000 | $19.16 | $766,308 | 12,662,338 | +0.32% | plan? |
| Sep 13, 2018 PForm 4 → | Oct 1, 4:11 pm EDT | Discovery Energy Corp.DENR | Steven A Webster10% Owner | 2,740,583 | $0.125 | $342,573 | 5,340,583 | +105% | plan? late |
| Sep 27, 2018 PForm 4 → | Oct 1, 5:00 pm EDT | CONSOL Coal Resources LPCCR | CONSOL Energy Inc.Director, 10% Owner | 13,500 | $17.96 | $242,419 | 5,084,032 | +0.27% | plan? |
| Sep 27, 2018 PForm 4/A → | Oct 1, 5:59 pm EDT | SharpSpring, Inc.SHSP | CAT ROCK CAPITAL MANAGEMENT LP10% Owner | 15,064 | $13.47 | $202,975 | 1,310,181 | +1.16% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 5:42 pm EDT | FlexShopper, Inc.FPAY | T Scott KingDirector | 200,000 | $1.00 | $200,000 | 200,000 | — | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 9:14 pm EDT | Rosehill Resources Inc.ROSE | Harry QuarlsDirector | 30,000 | $6.10 | $183,055 | 91,489 | +48.8% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 4:34 pm EDT | Novan, Inc.NOVN | Robert Alexander IngramDirector | 50,000 | $2.84 | $142,000 | 119,777 | +71.7% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 8:39 pm EDT | Landmark Infrastructure Partners LPLMRK | Arthur P Brazy Jr.SEE REMARKS, Director | 8,100 | $13.79 | $111,699 | 138,952 | +6.19% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 5:38 pm EDT | FlexShopper, Inc.FPAY | James Douglas AllenDirector | 100,000 | $1.00 | $100,000 | 100,000 | — | plan? |
| Jul 1, 2014 PForm 4 → | Oct 1, 2018, 6:57 pm EDT | Evanston Alternative Opportunities Fundno symbol | John B RowsellOther | 10,000 | $10.00 | $100,000 | 10,000 | — | plan? late |
| Sep 27, 2018 PForm 4 → | Oct 1, 4:13 pm EDT | ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUNDAVK | ADVENT CAPITAL MANAGEMENTOther | 6,000 | $15.69 | $94,154 | 80,000 | +8.11% | plan? |
| Sep 27, 2018 PForm 4 → | Oct 1, 4:14 pm EDT | ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUNDAVK | Tracy V MaitlandChairman, President & CEO, Director | 6,000 | $15.69 | $94,154 | 121,250 | +5.21% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 5:47 pm EDT | FlexShopper, Inc.FPAY | Ravi RadhakrishnanChief Risk Officer | 90,000 | $1.00 | $90,000 | 156,800 | +135% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 1, 4:51 pm EDT | E.W. SCRIPPS CoSSP | Charles E Scripps10% Owner | 5,000 | $16.38 | $81,900 | 688,824 | +0.73% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 5:43 pm EDT | FlexShopper, Inc.FPAY | Carl PradelliDirector | 75,000 | $1.00 | $75,000 | 62,500 | — | plan? |
| Sep 27, 2018 PForm 4 → | Oct 1, 6:39 pm EDT | Verastem, Inc.VSTM | Robert ForresterPresident and CEO, Director | 10,500 | $7.00 | $73,500 | 219,234 | +5.03% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 5:37 pm EDT | Barings BDC, Inc.BBDC | Christopher CaryTreasurer | 6,000 | $10.01 | $60,071 | 6,000 | — | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 5:40 pm EDT | FlexShopper, Inc.FPAY | Brad Mitchell BernsteinCEO, Director | 50,000 | $1.00 | $50,000 | 50,000 | — | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 11:24 am EDT | GP STRATEGIES CORPGPX | Miriam H. StrouseDirector | 3,000 | $16.66 | $49,980 | 3,500 | +600% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 8:56 pm EDT | SECOND SIGHT MEDICAL PRODUCTS INCEYES | Gregg WilliamsDirector, 10% Owner | 25,098 | $1.88 | $47,086 | 30,398,732 | +0.08% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 2, 11:51 am EDT | Firsthand Technology Value Fund, Inc.SVVC | Kevin M LandisPresident, Director | 2,413 | $17.11 | $41,285 | 59,584 | +4.22% | plan? |
| Sep 27, 2018 PForm 4 → | Oct 1, 7:05 pm EDT | U.S. SILICA HOLDINGS, INC.SLCA | Bryan Adair ShinnPresident & CEO, Director | 2,200 | $18.45 | $40,590 | 126,243 | +1.77% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 1, 4:51 pm EDT | E.W. SCRIPPS CoSSP | Anthony S. Granado10% Owner | 2,175 | $16.48 | $35,851 | 5,483 | +65.7% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:48 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | John C Butler Jr.Other | 576 | $61.57 | $35,465 | 146 | — | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:49 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Helen Rankin ButlerOther | 576 | $61.57 | $35,465 | 146 | — | plan? |
| Oct 1, 2018 PForm 4 → | Oct 2, 3:05 pm EDT | FIRST TRUST DYNAMIC EUROPE EQUITY INCOME FUNDFDEU | Robert F KeithDirector | 1,650 | $15.59 | $25,727 | 1,100 | — | plan? |
| Sep 27, 2018 PForm 4 → | Oct 1, 4:34 pm EDT | FREQUENCY ELECTRONICS INCFEIM | Edenbrook Capital, LLC +2Director, 10% Owner | 2,318 | $10.12 | $23,458 | 1,164,766 | +0.20% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 9:00 pm EDT | Select Interior Concepts, Inc.SIC | Donald F McAleenanDirector | 2,000 | $10.72 | $21,440 | 2,000 | — | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:18 pm EDT | Spirit of Texas Bancshares, Inc.STXB | Thomas C. SooyDirector | 1,500 | $10.50 | $15,750 | 19,706 | +8.24% | plan? amended |
| Sep 29, 2018 PForm 4 → | Oct 1, 5:42 pm EDT | NEW JERSEY MINING CONJMC | Robert John MorganVP Exploration | 100,000 | $0.15 | $15,000 | 100,000 | — | plan? |
| Sep 27, 2018 PForm 4 → | Oct 1, 6:35 pm EDT | Verastem, Inc.VSTM | Dan PatersonChief Operating Officer | 2,000 | $7.03 | $14,056 | 20,286 | +10.9% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 7:08 pm EDT | NorthStar Real Estate Capital Income FundXNAFX | Daniel Joseph AltobelloDirector | 574 | $9.25 | $5,312 | 4,602 | +14.3% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 8:30 am EDT | TREX CO INCTREX | Jay T ScripterVice President, Operations | 89 | $54.95 | $4,891 | 30,756 | +0.29% | plan? |
| Sep 27, 2018 PForm 4 → | Oct 1, 5:32 pm EDT | FITLIFE BRANDS, INC.FTLF | Judd DaytonCHIEF EXECUTIVE OFFICER, Director, 10% Owner | 10,000 | $0.41 | $4,100 | 997,061 | +1.01% | plan? |
| Mar 7, 2018 PForm 4 → | Oct 2, 2:00 pm EDT | OIL STATES INTERNATIONAL, INCOIS | Robert L PotterDirector | 131 | $25.33 | $3,318 | 8,151 | +1.63% | plan? late |
| Oct 1, 2018 PForm 4/A → | Oct 2, 9:09 am EDT | Rosehill Resources Inc.ROSE | Robert Colby WillifordVice President of Land | 500 | $6.05 | $3,025 | 81,367 | +0.62% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 1, 8:51 pm EDT | OTELCO INC.OTEL | Brian A RossDirector | 165 | $17.65 | $2,912 | 11,394 | +1.47% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 2, 11:16 am EDT | RGC RESOURCES INCRGCO | Raymond D Smoot Jr.Director | 89 | $26.30 | $2,333 | 37,081 | +0.24% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 1:07 pm EDT | Spirit of Texas Bancshares, Inc.STXB | Thomas C. SooyDirector | 210 | $10.50 | $2,205 | 18,206 | +1.17% | plan? |
| Sep 28, 2018 PForm 4/A → | Oct 2, 3:27 pm EDT | Spirit of Texas Bancshares, Inc.STXB | Thomas C. SooyDirector | 210 | $10.50 | $2,205 | 18,206 | +1.17% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 2, 12:26 pm EDT | FIRST MERCHANTS CORPFRME | Gary LehmanDirector | 37 | $45.11 | $1,667 | 38,848 | +0.10% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 2, 10:33 am EDT | RGC RESOURCES INCRGCO | Nancy H AgeeDirector | 57 | $26.30 | $1,500 | 31,338 | +0.18% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:54 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Jacob A KuipersOther | 14 | $61.59 | $862 | 146 | +10.6% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:55 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Julia L RankinOther | 14 | $61.59 | $862 | 146 | +10.6% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 2, 12:27 pm EDT | FIRST MERCHANTS CORPFRME | Patrick A ShermanDirector | 11 | $45.11 | $500 | 37,131 | +0.03% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:57 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Trust dated December 21, 2004, between Claiborne R. Rankin, as trustee, & Julia L. Rankin, creating a trust FBO Julia L. RankinOther | 4 | $61.61 | $246 | 147 | +2.80% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:50 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Clara R ButlerOther | 3 | $61.57 | $185 | 146 | +2.10% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:51 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Clara Rankin Butler 2002 Trust DTD 11/5/2002Other | 3 | $61.57 | $185 | 146 | +2.10% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:51 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Griffin B ButlerOther | 3 | $61.57 | $185 | 146 | +2.10% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:52 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Griffin Bedwell Butler 2002 Trust DTD 11/5/2002Other | 3 | $61.57 | $185 | 146 | +2.10% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:53 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Evelyn R KuipersOther | 3 | $61.57 | $185 | 146 | +2.10% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:54 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | 2013 Trust fbo Evelyn R. KuipersOther | 3 | $61.57 | $185 | 146 | +2.10% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:58 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Matilda Alan KuipersOther | 3 | $61.57 | $185 | 146 | +2.10% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 3:59 pm EDT | HYSTER-YALE MATERIALS HANDLING, INC.HY | Trust for Children of Julia Kuipers fbo Matilda Alan KuipersOther | 3 | $61.57 | $185 | 146 | +2.10% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 11:01 am EDT | U S GLOBAL INVESTORS INCGROW | Thomas F Lydon Jr.Director | 100 | $1.52 | $152 | 14,300 | +0.70% | plan? |
| Sep 28, 2018 PForm 4 → | Oct 2, 10:24 am EDT | RETRACTABLE TECHNOLOGIES INCRVP | Thomas J ShawPresident and CEO, Director, 10% Owner | 133 | $0.7211 | $96 | 13,687,115 | +0.00% | plan? |