4//SEC Filing
HIGHBURY FINANCIAL INC 4
Accession 0000935836-07-000240
CIK 0001335249operating
Filed
Jun 4, 8:00 PM ET
Accepted
Jun 5, 12:56 PM ET
Size
12.4 KB
Accession
0000935836-07-000240
Insider Transaction Report
Form 4
FERTIG WILLIAM D
Manager
Transactions
- Sale
Common Stock Warrants (right to buy)
2007-06-01$1.73/sh−13,808$23,888→ 1,827,892 total(indirect: See footnotes 1, 2 and 3)Exercise: $5.00From: 2007-01-25Exp: 2010-01-25→ Common Stock (13,808 underlying)
Context Capital Management, LLC
10% Owner
Transactions
- Sale
Common Stock Warrants (right to buy)
2007-06-01$1.73/sh−13,808$23,888→ 1,827,892 total(indirect: See footnotes 1, 2 and 3)Exercise: $5.00From: 2007-01-25Exp: 2010-01-25→ Common Stock (13,808 underlying)
Context Advantage Master Fund, L.P.
10% Owner
Transactions
- Sale
Common Stock Warrants (right to buy)
2007-06-01$1.73/sh−13,808$23,888→ 1,827,892 total(indirect: See footnotes 1, 2 and 3)Exercise: $5.00From: 2007-01-25Exp: 2010-01-25→ Common Stock (13,808 underlying)
ROSEN MICHAEL S
Manager
Transactions
- Sale
Common Stock Warrants (right to buy)
2007-06-01$1.73/sh−13,808$23,888→ 1,827,892 total(indirect: See footnotes 1, 2 and 3)Exercise: $5.00From: 2007-01-25Exp: 2010-01-25→ Common Stock (13,808 underlying)
Footnotes (3)
- [F1]The reporting persons are Context Capital Management, LLC, a Delaware limited liability company ("LLC"), Context Advantage Master Fund, L.P., a Cayman Islands limited partnership ("LP"), Michael S. Rosen and William D. Fertig. LLC is a registered investment adviser. Mr. Rosen and Mr. Fertig are the control persons of LLC. LP is an investment fund of which LLC is the general partner.
- [F2]LLC, LP, Mr. Rosen and Mr. Fertig are filing this Form jointly. LLC, Mr. Rosen and Mr. Fertig constitute a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), but disclaim membership in a group with any other person. LP is filing this Form jointly with the other reporting persons, but not as a member of a group, and expressly disclaims membership in a group. In addition, the filing of this Form on behalf of LP should not be construed as an admission that LP is, and LP disclaims that it is, the beneficial owner, as defined in Rule 13d-3 under the 1934 Act, of any of the securities covered by this Form.
- [F3]These securities are held directly by LP and by other investment funds and accounts of which LLC is the investment adviser or general partner, for the benefit of the investors in that partnership, those funds and those accounts. LP directly holds 595,000 shares of common stock and 1,076,850 warrants. All of the securities reported here are indirectly beneficially owned by LLC, Rosen and Fertig, who disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
Documents
Issuer
HIGHBURY FINANCIAL INC
CIK 0001335249
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001335249
Filing Metadata
- Form type
- 4
- Filed
- Jun 4, 8:00 PM ET
- Accepted
- Jun 5, 12:56 PM ET
- Size
- 12.4 KB