Filing Details

Accession Number:
0001209191-23-024225
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-04-13 16:56:46
Reporting Period:
2023-04-11
Accepted Time:
2023-04-13 16:56:46
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2023-04-11 48,032 $1.53 356,700 No 4 P Indirect By family members and related entities
Common Stock Acquisiton 2023-04-12 49,890 $1.66 406,590 No 4 P Indirect By family members and related entities
Common Stock Acquisiton 2023-04-12 7,095 $1.71 507,095 No 4 P Indirect By A.G. Family L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By family members and related entities
No 4 P Indirect By family members and related entities
No 4 P Indirect By A.G. Family L.P.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 246,000 Direct
Common Stock 10,000 Indirect By spouse
Common Stock 250,000 Indirect By Tomsat Investment & Trading Co., Inc.
Common Stock 671,671 Indirect By Caldwell Mill Opportunity Fund
Footnotes
  1. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.46 to $1.60. 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.
  2. 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 (150,000 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);
  3. (Continued from footnote 2), 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).
  4. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.57 to $1.70. 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.
  5. 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 $1.75. 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.
  6. The reporting person controls the general partner of the partnership that owns the reported securities.
  7. Includes 20,000 shares held jointly with the reporting person's spouse.