4/A//SEC Filing
Frank James S 4/A
Accession 0001019056-10-000018
CIK 0001418919other
Filed
Jan 7, 7:00 PM ET
Accepted
Jan 8, 3:03 PM ET
Size
17.8 KB
Accession
0001019056-10-000018
Insider Transaction Report
Form 4/AAmended
Arcadia Opportunity Master Fund, LTD
10% Owner
Transactions
- Purchase
Common Stock, par value $0.01
2009-12-28$10.85/sh+20,657$224,128→ 86,657 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-30$11.09/sh+58$643→ 210,058 total - Purchase
Common Stock, par value $0.01
2009-12-29$11.00/sh+5,700$62,700→ 92,357 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-30$11.00/sh+100$1,100→ 210,158 total
Rofe Richard S
10% Owner
Transactions
- Purchase
Common Stock, par value $0.01
2009-12-29$11.00/sh+5,700$62,700→ 92,357 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-28$10.85/sh+20,657$224,128→ 86,657 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-30$11.00/sh+100$1,100→ 210,158 total - Purchase
Common Stock, par value $0.01
2009-12-30$11.09/sh+58$643→ 210,058 total
Arcadia Capital Advisors, LLC
10% Owner
Transactions
- Purchase
Common Stock, par value $0.01
2009-12-29$11.00/sh+5,700$62,700→ 92,357 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-28$10.85/sh+20,657$224,128→ 86,657 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-30$11.09/sh+58$643→ 210,058 total - Purchase
Common Stock, par value $0.01
2009-12-30$11.00/sh+100$1,100→ 210,158 total
Frank James S
10% Owner
Transactions
- Purchase
Common Stock, par value $0.01
2009-12-28$10.85/sh+20,657$224,128→ 86,657 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-29$11.00/sh+5,700$62,700→ 92,357 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-30$11.09/sh+58$643→ 210,058 total - Purchase
Common Stock, par value $0.01
2009-12-30$11.00/sh+100$1,100→ 210,158 total
Transactions
- Purchase
Common Stock, par value $0.01
2009-12-28$10.85/sh+20,657$224,128→ 86,657 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-30$11.09/sh+58$643→ 210,058 total - Purchase
Common Stock, par value $0.01
2009-12-29$11.00/sh+5,700$62,700→ 92,357 total(indirect: By Arcadia Opportunity Master Fund, Ltd.) - Purchase
Common Stock, par value $0.01
2009-12-30$11.00/sh+100$1,100→ 210,158 total
Footnotes (3)
- [F1]These securities are owned solely and directly by Arcadia Opportunity Master Fund, Ltd. (the "Fund"), which is a member of a "group" with Mr. James Frank for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Arcadia Capital Advisors, LLC, a Delaware limited liability company, is the investment manager ("Investment Manager") of the Fund and has discretionary investment authority over the Fund's assets. The managing member of the Investment Manager is M.D. Sass FinStrat Arcadia Capital Holdings, LLC (the "Managing Member").
- [F2](Continued from Footnote 1) Richard Rof? is the managing director and a principal of the Investment Manager and serves as the portfolio manager of the Fund, subject to the oversight of the Managing Member and the Investment Manager. All Reporting Persons (other than the Fund) disclaim beneficial ownership of these securities, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act or for any other purpose.
- [F3]These securities are owned solely and directly by Mr. James Frank, who is a member of a "group" with the other Reporting Persons for purposes of Section 13(d) of the Exchange Act.
Documents
Issuer
CPEX Pharmaceuticals, Inc.
CIK 0001418919
Entity typeother
Related Parties
1- filerCIK 0001480078
Filing Metadata
- Form type
- 4/A
- Filed
- Jan 7, 7:00 PM ET
- Accepted
- Jan 8, 3:03 PM ET
- Size
- 17.8 KB