Filing Details
- Accession Number:
- 0001140361-14-020075
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-12 11:43:21
- Reporting Period:
- 2014-05-09
- Filing Date:
- 2014-05-12
- Accepted Time:
- 2014-05-12 11:43:21
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1001871 | Investors Capital Holdings Ltd | ICH | Security Brokers, Dealers & Flotation Companies (6211) | 043284631 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1370222 | B Timothy Murphy | 6 Kimball Lane, Suite 150 Lynnfield MA 01940 | Chief Executive 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, $0.01 Par Value Per Share | Acquisiton | 2014-05-09 | 150,000 | $7.13 | 748,458 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Ich | Options to purchase Common Stock | Acquisiton | 2014-05-09 | 150,000 | $1.00 | 150,000 | $1.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | X | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, $0.01 Par Value Per Share | 10,500 | Indirect | Held for Acct of children |
Common Stock, $0.01 Par Value Per Share | 3,666 | Indirect | Held by Spouse |
Footnotes
- Options are immediately exercisable and have no expiration date.