Filing Details
- Accession Number:
- 0001514726-11-000112
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-04 10:48:42
- Reporting Period:
- 2011-08-02
- Filing Date:
- 2011-08-04
- Accepted Time:
- 2011-08-04 10:48:42
- 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 |
|---|---|---|---|---|---|---|---|
| 1304675 | Everett Theodore Charles | 65 Eastern Point Blvd. Gloucester MA 01930 | Former Chairman, Ceo & Pres | No | No | 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, $.01 Par Value | Disposition | 2011-08-02 | 2,947,820 | $4.25 | 18,257 | No | 4 | S | Direct | |
| Common Stock, $.01 Par Value | Disposition | 2011-08-02 | 52,000 | $4.25 | 0 | No | 4 | S | Indirect | Owned by Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | Owned by Spouse |
Footnotes
- Disposition pursuant to the underwriting agreement, dated as of July 28, 2011, entered into by and among the issuer, Mr. Charles, his spouse, the other selling stockholders listed therein, and underwriters, as reported in the Current Report on Form 8-K filed by the issuer on July 28, 2011.
- Price does not reflect underwriter discounts or commissions.
- Reflects 18,257 shares held by the Investors Capital Holdings, Ltd. 401(k) Plan for the benefit of Mr. Charles.
Billionaire Hedge Funds
