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MURPHY EMMETT M 5

Accession 0001140361-04-005259

CIK 0000893813other
View on SEC.govCompany Profile

Filed

Sep 13, 8:00 PM ET

Accepted

Sep 14, 12:40 PM ET

Size

25.7 KB

Accession

0001140361-04-005259

Insider Transaction Report

Form 5
Period: 2004-07-31
PENN OCTANE CORPPOCC
MURPHY EMMETT M
Director
Transactions
  • Purchase

    Common Stock

    2001-12-31$3.59/sh+37,000$132,886→ 1,140,000 total(indirect: Paradigm Capital / Apogee Fund)
  • Purchase

    Common Stock

    2002-09-11$2.15/sh+1,000$2,150→ 1,115,500 total(indirect: Paradigm Capital / Apogee Fund)
  • Award

    Purchase Warrants

    2003-11-16+10,000→ 10,000 total
    Exercise: $2.61From: 2004-11-16Exp: 2008-11-15→ Common Stock (10,000 underlying)
  • Sale

    Common Stock

    2002-04-23$3.20/sh−40,000$128,000→ 1,100,000 total(indirect: Paradigm Capital / Apogee Fund)
  • Purchase

    Common Stock

    2001-12-28$3.53/sh+2,000$7,064→ 1,103,000 total(indirect: Paradigm Capital / Apogee Fund)
  • Purchase

    Common Stock

    2002-09-09$2.15/sh+3,300$7,095→ 1,113,400 total(indirect: Paradigm Capital / Apogee Fund)
  • Purchase

    Common Stock

    2002-09-10$2.13/sh+1,100$2,345→ 1,114,500 total(indirect: Paradigm Capital / Apogee Fund)
  • Purchase

    Common Stock

    2001-12-27$3.60/sh+1,000$3,597→ 1,101,000 total(indirect: Paradigm Capital / Apogee Fund)
  • Award

    Purchase Warrants

    2002-11-16+10,000→ 10,000 total
    Exercise: $2.27From: 2003-11-16Exp: 2007-11-15→ Common Stock (10,000 underlying)
  • Purchase

    Common Stock

    2002-08-29$2.40/sh+10,100$24,216→ 1,110,100 total(indirect: Paradigm Capital / Apogee Fund)
Holdings

  • Purchase Warrant

    Exercise: $3.66From: 2001-11-16Exp: 2006-11-15→ Common Stock (20,000 underlying)
    20,000

  • Purchase Warrants

    Exercise: $3.66From: 2002-11-16Exp: 2006-11-15→ Common Stock (10,000 underlying)
    10,000
Footnotes (2)
  • [F1]Table I: The reporting person is the President of Paradigm Capital Corporation, a Texas Corporation, which in turn is the sole general partner of The Apogee Fund, L.P., a Delaware Limited Partnership. All of the referenced securities are owned of record by the Apogee Fund, and beneficial ownership of such securities is attributable to the Reporting Person and Paradigm Capital solely by reason of their shared voting and disposition power with respect to assets of The Apogee Fund. The Reporting Person disclaims beneficial ownership of the shares reported, except any shares attributable to him by virtue of his ownership interest in Paradigm Capital and Paradigm Capital's general partner interest in The Apogee Fund.
  • [F2]Table II: The purchase warrants vest ratably over a one year period from date of issuance.

Documents

1 file

Issuer

PENN OCTANE CORP

CIK 0000893813

→
Entity typeother

Related Parties

1
  • filerCIK 0001207639

Filing Metadata

Form type
5
Filed
Sep 13, 8:00 PM ET
Accepted
Sep 14, 12:40 PM ET
Size
25.7 KB
View on SEC.gov