Filing Details
- Accession Number:
- 0001019056-10-000018
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2010-01-08 12:00:00
- Reporting Period:
- 2009-12-28
- Filing Date:
- 2010-01-08
- Accepted Time:
- 2010-01-08 15:03:21
- Original Submission Date:
- 2009-12-30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1418919 | Cpex Pharmaceuticals Inc. | CPEX | Pharmaceutical Preparations (2834) | 261172076 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1475843 | Arcadia Capital Advisors, Llc | 175 Great Neck Road, Suite 406 Great Neck NY 11021 | No | No | Yes | No | |
| 1479796 | Arcadia Opportunity Master Fund, Ltd | 175 Great Neck Road, Suite 406 Great Neck NY 11021 | No | No | Yes | No | |
| 1479797 | Md Sass Finstrat Arcadia Capital Holdings, Llc | 175 Great Neck Road, Suite 406 Great Neck NY 11021 | No | No | Yes | No | |
| 1480078 | S James Frank | 175 Great Neck Road, Suite 406 Great Neck NY 11021 | No | No | Yes | No | |
| 1480082 | S Richard Rofe | 175 Great Neck Road, Suite 406 Great Neck NY 11021 | No | No | Yes | 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, Par Value $0.01 | Acquisiton | 2009-12-28 | 20,657 | $10.85 | 86,657 | No | 4 | P | Indirect | By Arcadia Opportunity Master Fund, Ltd. |
| Common Stock, Par Value $0.01 | Acquisiton | 2009-12-29 | 5,700 | $11.00 | 92,357 | No | 4 | P | Indirect | By Arcadia Opportunity Master Fund, Ltd. |
| Common Stock, Par Value $0.01 | Acquisiton | 2009-12-30 | 58 | $11.09 | 210,058 | No | 4 | P | Direct | |
| Common Stock, Par Value $0.01 | Acquisiton | 2009-12-30 | 100 | $11.00 | 210,158 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Arcadia Opportunity Master Fund, Ltd. |
| No | 4 | P | Indirect | By Arcadia Opportunity Master Fund, Ltd. |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Footnotes
- These securities are owned solely and directly by Arcadia Opportunity Master Fund, Ltd. (the "Fund"), which is a member of a "group" with Mr. James Frank for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Arcadia Capital Advisors, LLC, a Delaware limited liability company, is the investment manager ("Investment Manager") of the Fund and has discretionary investment authority over the Fund's assets. The managing member of the Investment Manager is M.D. Sass FinStrat Arcadia Capital Holdings, LLC (the "Managing Member").
- (Continued from Footnote 1) Richard Rof? is the managing director and a principal of the Investment Manager and serves as the portfolio manager of the Fund, subject to the oversight of the Managing Member and the Investment Manager. All Reporting Persons (other than the Fund) disclaim beneficial ownership of these securities, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act or for any other purpose.
- These securities are owned solely and directly by Mr. James Frank, who is a member of a "group" with the other Reporting Persons for purposes of Section 13(d) of the Exchange Act.
Billionaire Hedge Funds
