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
  1. Options are immediately exercisable and have no expiration date.