GRIN DAVID 4
Accession 0001144204-09-044156
Filed
Aug 16, 8:00 PM ET
Accepted
Aug 17, 3:41 PM ET
Size
18.4 KB
Accession
0001144204-09-044156
Insider Transaction Report
- Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−25,491$3,090→ 2,392,330 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−44,091$5,344→ 4,138,061 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−5,606$679→ 526,116 total
- Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−5,606$679→ 526,116 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−25,491$3,090→ 2,392,330 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−44,091$5,344→ 4,138,061 total
- Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−5,606$679→ 526,116 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−44,091$5,344→ 4,138,061 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−25,491$3,090→ 2,392,330 total
- Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−25,491$3,090→ 2,392,330 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−5,606$679→ 526,116 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−44,091$5,344→ 4,138,061 total
- Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−44,091$5,344→ 4,138,061 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−5,606$679→ 526,116 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−25,491$3,090→ 2,392,330 total
- Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−25,491$3,090→ 2,392,330 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−5,606$679→ 526,116 total - Sale
Common Stock, par value $0.001 per share
2009-08-14$0.12/sh−44,091$5,344→ 4,138,061 total
Footnotes (5)
- [F1]As of August 14, 2009, Valens U.S. SPV I, LLC, a Delaware limited liability company ("Valens U.S."), held 2,392,330 shares of common stock, par value $0.001 per share ("Common Stock"), of National Investment Managers Inc., a Delaware corporation (the "Company").
- [F2]As of August 14, 2009, Valens Offshore SPV I, Ltd., a Cayman Islands limited company ("Valens SPV I"), held 526,116 shares of Common Stock.
- [F3]As of August 14, 2009, Valens Offshore SPV II, Corp., a Delaware corporation ("Valens SPV II" and, collectively with Valens U.S. and Valens SPV I, the "Investors"), held 4,138,061 shares of Common Stock.
- [F4]Each of the Investors is managed by Valens Capital Management, LLC, a Delaware limited liability company ("VCM"). Eugene Grin and David Grin (collectively with VCM and the Investors, the "Filing Parties"), through other entities, are the controlling principals of VCM and share sole voting and investment power over all securities of the Company held by the Investors. Thus, for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the Filing Parties may be deemed to beneficially own more than 10% of the shares of Common Stock of the Company deemed issued and outstanding as of the date of the transactions reported on this statement. Each of the Filing Parties is part of a "Disclaimed Group" that files beneficial ownership reports under Section 16(a) of the Exchange Act with respect to securities of the Company.
- [F5]Each of VCM, Eugene Grin and David Grin disclaims beneficial ownership of the securities of the Company held by the Investors except to the extent of such person's pecuniary interest, if any, in the Investors. The filing of this statement shall not be deemed an admission that any person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities covered by or described in this statement.
Documents
Issuer
National Investment Managers Inc.
CIK 0000770461
Related Parties
1- filerCIK 0001296339
Filing Metadata
- Form type
- 4
- Filed
- Aug 16, 8:00 PM ET
- Accepted
- Aug 17, 3:41 PM ET
- Size
- 18.4 KB