4//SEC Filing
WEINER DAVID EDWARD 4
Accession 0001144204-13-000151
CIK 0001261436other
Filed
Jan 1, 7:00 PM ET
Accepted
Jan 2, 4:56 PM ET
Size
16.4 KB
Accession
0001144204-13-000151
Insider Transaction Report
Form 4
VERTIGO MANAGEMENT LLC
10% Owner
Transactions
- Sale
Common Stock
2012-12-31$0.74/sh−85,900$63,996→ 0 total(indirect: By Children) - Sale
Common Stock
2012-12-31$0.74/sh−2,145,352$1,598,287→ 0 total - Sale
Common Stock
2012-12-31$0.74/sh−112,400$83,738→ 0 total - Sale
Common Stock
2012-12-31$0.74/sh−8,000$5,960→ 0 total(indirect: By Spouse) - Purchase
Common Stock
2012-12-21$0.72/sh+23,500$16,920→ 2,145,232 total
VERTIGO CAPITAL L P
10% Owner
Transactions
- Sale
Common Stock
2012-12-31$0.74/sh−2,145,352$1,598,287→ 0 total - Sale
Common Stock
2012-12-31$0.74/sh−112,400$83,738→ 0 total - Purchase
Common Stock
2012-12-21$0.72/sh+23,500$16,920→ 2,145,232 total - Sale
Common Stock
2012-12-31$0.74/sh−85,900$63,996→ 0 total(indirect: By Children) - Sale
Common Stock
2012-12-31$0.74/sh−8,000$5,960→ 0 total(indirect: By Spouse)
WEINDER DAVID EDWARD
10% Owner
Transactions
- Sale
Common Stock
2012-12-31$0.74/sh−85,900$63,996→ 0 total(indirect: By Children) - Sale
Common Stock
2012-12-31$0.74/sh−112,400$83,738→ 0 total - Purchase
Common Stock
2012-12-21$0.72/sh+23,500$16,920→ 2,145,232 total - Sale
Common Stock
2012-12-31$0.74/sh−8,000$5,960→ 0 total(indirect: By Spouse) - Sale
Common Stock
2012-12-31$0.74/sh−2,145,352$1,598,287→ 0 total
Footnotes (5)
- [F1]These shares were owned directly by Vertigo Capital, L.P. ("Vertigo"), whose general partner is Vertigo Management, LLC ("Management"). David Weiner (who also individually owned other shares disclosed in this Form 4) is the sole member of Management. Accordingly Management and David Weiner also beneficially owned these shares for purposes of Section 13(d) of the Exchange Act (and may be deemed members of a "group" with Vertigo); and each also had an indirect interest in shares of the Issuer held by Vertigo. Management and David Weiner each disclaim beneficial ownership of those shares held directly by Vertigo which exceed their respective pecuniary interests.
- [F2]These shares were owned directly by David Weiner; 12,600 solely by him and 94,800 jointly with his wife.
- [F3]See Note 1 for David Weiner's indirect pecuniary ownership interest in shares which were held directly by Vertigo, and disclaimer of beneficial ownership of those shares which exceed his pecuniary interest.
- [F4]These shares were owned by David Weiner's wife.
- [F5]These shares were owned by David Weiner as custodian for two minor children, UTMA/NJ.
Documents
Issuer
SUMMIT FINANCIAL SERVICES GROUP INC
CIK 0001261436
Entity typeother
Related Parties
1- filerCIK 0001565727
Filing Metadata
- Form type
- 4
- Filed
- Jan 1, 7:00 PM ET
- Accepted
- Jan 2, 4:56 PM ET
- Size
- 16.4 KB