Filing Details

Accession Number:
0001140361-13-038150
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-10-08 14:18:56
Reporting Period:
2013-10-01
Filing Date:
2013-10-08
Accepted Time:
2013-10-08 14:18:56
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1001871 Investors Capital Holdings Ltd ICH Investors, Nec (6799) 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 2013-10-01 100 $5.36 612,882 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P 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
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Ich Options to purchase $1.00 2013-10-03 150,000 150,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
150,000 150,000 Direct
Footnotes
  1. Includes 78,691 share equivalents held as units in unitized stock fund under issuer's 401(k) plan.
  2. Options have no expiration date