Filing Details
- Accession Number:
- 0001217160-13-000293
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-07 19:22:25
- Reporting Period:
- 2013-09-30
- Filing Date:
- 2013-10-07
- Accepted Time:
- 2013-10-07 19:22:25
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 704159 | Paulson Capital Corp | PLCC | Security Brokers, Dealers & Flotation Companies (6211) | 930589534 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1472311 | George Murray Smith | 1331 Nw Lovejoy Street Portland OR 97209 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-09-30 | 3,027 | $1.13 | 12,000 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2013-10-01 | 5,000 | $1.13 | 17,000 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2013-10-01 | 5,000 | $0.00 | 5,000 | $1.13 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-07-01 | 2016-06-30 | No | 4 | M | Direct |
Billionaire Hedge Funds
