Filing Details
- Accession Number:
- 0001019687-10-000091
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-01-11 12:00:00
- Reporting Period:
- 2010-01-07
- Filing Date:
- 2010-01-11
- Accepted Time:
- 2010-01-11 14:37:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 704562 | Peregrine Pharmaceuticals Inc | PPHM | In Vitro & In Vivo Diagnostic Substances (2835) | 953698422 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1244108 | S Eric Swartz | C/O Peregrine Pharmaceuticals, Inc. 14282 Franklin Avenue Tustin CA 92780 | Yes | No | 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, $.001 Par Value | Acquisiton | 2010-01-07 | 376 | $2.77 | 376 | No | 4 | P | Indirect | By Highlight Fund, LLC |
| Common Stock, $.001 Par Value | Acquisiton | 2010-01-07 | 4,000 | $2.77 | 4,376 | No | 4 | P | Indirect | By Highlight Fund, LLC |
| Common Stock, $.001 Par Value | Acquisiton | 2010-01-07 | 1,340 | $2.95 | 5,716 | No | 4 | P | Indirect | By Highlight Fund, LLC |
| Common Stock, $.001 Par Value | Acquisiton | 2010-01-07 | 1,160 | $2.95 | 6,876 | No | 4 | P | Indirect | By Highlight Fund, LLC |
| Common Stock, $.001 Par Value | Acquisiton | 2010-01-07 | 2,000 | $2.96 | 8,876 | No | 4 | P | Indirect | By Highlight Fund, LLC |
| Common Stock, $.001 Par Value | Acquisiton | 2010-01-07 | 8,600 | $2.98 | 17,476 | No | 4 | P | Indirect | By Highlight Fund, LLC |
| Common Stock, $.001 Par Value | Acquisiton | 2010-01-07 | 1,560 | $3.02 | 19,036 | No | 4 | P | Indirect | By Highlight Fund, LLC |
| Common Stock, $.001 Par Value | Acquisiton | 2010-01-07 | 964 | $3.02 | 20,000 | No | 4 | P | Indirect | By Highlight Fund, LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Highlight Fund, LLC |
| No | 4 | P | Indirect | By Highlight Fund, LLC |
| No | 4 | P | Indirect | By Highlight Fund, LLC |
| No | 4 | P | Indirect | By Highlight Fund, LLC |
| No | 4 | P | Indirect | By Highlight Fund, LLC |
| No | 4 | P | Indirect | By Highlight Fund, LLC |
| No | 4 | P | Indirect | By Highlight Fund, LLC |
| No | 4 | P | Indirect | By Highlight Fund, LLC |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $.001 Par Value | 438,379 | Direct | |
| Common Stock, $.001 Par Value | 107,739 | Indirect | By Swartz Ventures, Inc. |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | $0.00 | 190,000 | 190,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 190,000 | 190,000 | Direct |
Footnotes
- Includes 52,978 shares held in an Individual Retirement Account (IRA) for the benefit of Eric S. Swartz.
- N/A
Billionaire Hedge Funds
