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Filing Details

Accession Number:: 0001209191-23-019256
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-03-16 16:02:36
Reporting Period:: 2023-03-14

Accepted Time:: 2023-03-16 16:02:36
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
86115	Safeguard Scientifics Inc	SFE	Investors, Nec (6799)	231609753

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1132317	Jr A Thomas Satterfield	15 Colley Cove Drive Gulf Breeze FL 32561		No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2023-03-14	50,000	$1.76	221,000	No	4	P	Direct
Common Stock	Acquisiton	2023-03-14	9,966	$1.77	209,966	No	4	P	Indirect	By Tomsat Investment & Trading Co., Inc.
Common Stock	Acquisiton	2023-03-15	25,000	$1.81	246,000	No	4	P	Direct
Common Stock	Acquisiton	2023-03-15	40,034	$1.80	250,000	No	4	P	Indirect	By Tomsat Investment & Trading Co., Inc.
Common Stock	Acquisiton	2023-03-15	2,078	$1.94	308,668	No	4	P	Indirect	By family members and related entities

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	By Tomsat Investment & Trading Co., Inc.
No	4	P	Direct
No	4	P	Indirect	By Tomsat Investment & Trading Co., Inc.
No	4	P	Indirect	By family members and related entities

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	10,000	Indirect	By spouse
Common Stock	500,000	Indirect	By A.G. Family L.P.
Common Stock	671,671	Indirect	By Caldwell Mill Opportunity Fund

Footnotes

The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.70 to $1.78. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Includes 20,000 shares held jointly with the reporting person's spouse.
The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.71 to $1.78. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.80 to $1.95. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.77 to $1.83. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.88 to $1.95. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
The reporting person has been granted limited powers of attorney to exercise voting and dispositive power with respect to the securities held by the following parties: Satterfield Vintage Investments LP (50,000 shares); the reporting person's father (52,078 shares); the reporting person's brother (31,555 shares); the reporting person's sister (42,500 shares); the reporting person's brother-in-law (20,000 shares); Rita Phifer (20,000 shares); the reporting person's second brother-in-law (7,500 shares); the reporting person's nephew (4,000 shares); the reporting person's niece (750 shares); the reporting person's second niece (750 shares); the reporting person's step-brother and his spouse (40,555 shares); the reporting person's daughter (2,000 shares); a trust for the reporting person's granddaughter (3,000 shares); a trust for the reporting person's second granddaughter (1,000 shares); Riachuello Ranch LLC (1,000 shares); the reporting person's step-sister (4,000 shares);
(Continued from footnote 7), the reporting person's second step-sister (2,000 shares); the reporting person's third step-sister and spouse (5,000 shares); the reporting person's fourth step-sister and spouse (5,000 shares); and the reporting person's fifth step-sister and spouse (16,000 shares).
In the reporting person's Forms 4 filed on June 13, 2022 and June 23, 2022, A.G. Family L.P.'s aggregate holdings were misreported as 618,997 shares rather than 500,000 shares as a result of (i) the inadvertent attribution of Caldwell Mill Opportunity Fund's purchase of 18,997 shares on June 9, 2022 to A.G. Family L.P. and (ii) a scrivener's error in the Form 4 filed on June 13, 2022 (reflecting an additional 100,000 shares held by A.G. Family L.P.). Caldwell Mill Opportunity Fund's aggregate holdings remained accurate in both Forms 4.
The reporting person controls the general partner of the partnership that owns the reported securities.