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Home > Insider Trading > Filing (0001217160-13-000293)

Filing Details

Accession Number:: 0001217160-13-000293
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-10-07 19:22:25
Reporting Period:: 2013-09-30

Filing Date:: 2013-10-07
Accepted Time:: 2013-10-07 19:22:25
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
704159	Paulson Capital Corp	PLCC	Security Brokers, Dealers & Flotation Companies (6211)	930589534

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1472311	George Murray Smith	1331 Nw Lovejoy Street Portland OR 97209	Chief Financial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-09-30	3,027	$1.13	12,000	No	4	P	Direct
Common Stock	Acquisiton	2013-10-01	5,000	$1.13	17,000	No	4	M	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	M	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option	Disposition	2013-10-01	5,000	$0.00	5,000	$1.13

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2009-07-01	2016-06-30	No	4	M	Direct