Filing Details
- Accession Number:
- 0001428154-10-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-04 13:00:00
- Reporting Period:
- 2010-04-30
- Filing Date:
- 2010-05-04
- Accepted Time:
- 2010-05-04 14:05:18
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1072847 | Tower Financial Corp | TOFC | State Commercial Banks (6022) | 352051170 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1195961 | D Joseph Ruffolo | 2820 Chichester Lane Fort Wayne IN 46815 | 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 | Acquisiton | 2010-04-30 | 35 | $7.99 | 15,035 | No | 4 | P | Indirect | Joseph D Ruffolo Revocable Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Joseph D Ruffolo Revocable Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 19,035 | Direct | |
| Common Stock | 1,000 | Indirect | Spouse |
| Common Stock | 100 | Indirect | Children |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible | $6.02 | 2009-09-25 | 12,459 | 750 | Direct | |
| Common Stock | Series A Convertible Preferred Stock | $6.02 | 2009-09-25 | 12,458 | 750 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 12,459 | 750 | Direct | |
| 12,458 | 750 | Indirect |
Footnotes
- The Series A preferred stock has no expiration date; however, Tower Financial Corp has the right to call the shares on or after September 25,2012 and until September 24, 2013 at 110% of par, after September 25, 2013 and until September 24, 2014 at 105 % of par, and at par after September 25, 2014.
Billionaire Hedge Funds
