Filing Details
- Accession Number:
- 0001019056-12-000673
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2012-05-21 18:45:30
- Reporting Period:
- 2011-12-31
- Filing Date:
- 2012-05-21
- Accepted Time:
- 2012-05-21 17:45:30
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1126216 | Nts Inc. | NTS | Communications Services, Nec (4899) | 113618510 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1070170 | Neil Gagnon | 1370 Avenue Of The Americas 24Th Floor New York NY 10019 | 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 | 2008-03-19 | 3,407 | $3.30 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-03-19 | 4,603 | $3.30 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
Common Stock | Acquisiton | 2008-03-19 | 8,737 | $3.30 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
Common Stock | Acquisiton | 2008-03-20 | 468 | $3.29 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-03-20 | 632 | $3.29 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
Common Stock | Acquisiton | 2008-03-20 | 1,201 | $3.29 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
Common Stock | Acquisiton | 2008-03-24 | 1,412 | $3.27 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-03-24 | 1,907 | $3.27 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
Common Stock | Acquisiton | 2008-03-24 | 3,620 | $3.27 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
Common Stock | Acquisiton | 2008-03-25 | 3,961 | $3.30 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-03-25 | 5,353 | $3.30 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
Common Stock | Acquisiton | 2008-03-25 | 10,160 | $3.30 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
Common Stock | Acquisiton | 2008-03-26 | 304 | $3.30 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-03-26 | 410 | $3.30 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
Common Stock | Acquisiton | 2008-03-26 | 779 | $3.30 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
Common Stock | Acquisiton | 2008-04-01 | 422 | $3.53 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-04-01 | 571 | $3.53 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
Common Stock | Acquisiton | 2008-04-01 | 1,084 | $3.53 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
Common Stock | Acquisiton | 2008-04-02 | 607 | $3.58 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-04-02 | 821 | $3.58 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
Common Stock | Acquisiton | 2008-04-02 | 1,558 | $3.58 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
Common Stock | Acquisiton | 2008-04-10 | 317 | $3.30 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-04-10 | 428 | $3.30 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
Common Stock | Acquisiton | 2008-04-10 | 813 | $3.30 | 0 | No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
Common Stock | Acquisiton | 2008-04-21 | 900 | $3.05 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-04-24 | 100 | $3.03 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-04-28 | 4,847 | $3.02 | 0 | No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
Common Stock | Acquisiton | 2008-04-28 | 350 | $2.99 | 0 | No | 4 | P | Indirect | By self as Trustee of Gagnon Securiites LLC Profit Sharing Plan |
Common Stock | Acquisiton | 2008-04-28 | 1,024 | $2.99 | 0 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Managing Member of General Partner of Darwin Partnership |
No | 4 | P | Indirect | By Managing Member of General Partner of Fallen Angel Partnership |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By Limited Partner in Atkinson Investment Management |
No | 4 | P | Indirect | By self as Trustee of Gagnon Securiites LLC Profit Sharing Plan |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants | Acquisiton | 2008-01-11 | 15,758 | $3.10 | 1 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 10,000 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 20,000 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 27,183 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 163,000 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 3,893 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 1,718 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 75,000 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 50,000 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 17,500 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 800 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 583 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 343 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 12,500 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-11 | 3,245 | $3.10 | 0 | $3.10 |
Common Stock | Warrants | Acquisiton | 2008-01-15 | 10,058 | $3.10 | 0 | $3.10 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 21,280 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 52,396 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 90,821 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 762,415 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 2,780 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 3,435 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 303,000 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 190,000 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 90,000 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 5,000 | $0.00 | 0 | $0.30 |
Common Stock | Rights | Acquisiton | 2011-09-26 | 1,085 | $0.00 | 0 | $0.30 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Direct |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Direct |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Direct |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Direct |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Direct |
0 | 2008-01-11 | 2012-12-23 | No | 4 | P | Direct |
411,581 | 2008-01-11 | 2012-12-23 | No | 4 | P | Indirect |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Indirect |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Indirect |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Indirect |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Indirect |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Direct |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Direct |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Direct |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Direct |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Indirect |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Indirect |
411,581 | 2011-09-26 | 2011-09-26 | No | 4 | J | Indirect |
Footnotes
- This number reflects that the first fiscal year involved in this set of Form 5 filings has not yet ended.
- Distribution of rights to purchase common stock from the issuer
- The Reporting Person participated in a private placement and paid 3.10 for one share of common stock and one-half of one warrant.
- No additional consideration paid by the Reporting Person for such right.