4//SEC Filing
AJR Financial, LLC 4
Accession 0001181431-05-042457
CIK 0000814181other
Filed
Jul 26, 8:00 PM ET
Accepted
Jul 27, 7:13 PM ET
Size
41.3 KB
Accession
0001181431-05-042457
Insider Transaction Report
Form 4
AJR Financial, LLC
10% Owner
Transactions
- Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote)
Transactions
- Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote)
Transactions
- Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote)
WHITEBOX ADVISORS LLC
10% Owner
Transactions
- Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote)
Transactions
- Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote)
Transactions
- Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote)
Transactions
- Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote)
Transactions
- Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote)
Transactions
- Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote)
Transactions
- Sale
Common Stock
2005-06-30$2.38/sh−300$714→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−900$2,187→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−800$1,944→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,100$12,393→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−5,200$12,636→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-24$2.43/sh−3,000$7,290→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−1,100$2,618→ 2,017 total(indirect: Refer to Footnote) - Sale
Common Stock
2005-06-30$2.38/sh−600$1,428→ 2,017 total(indirect: Refer to Footnote)
Footnotes (9)
- [F1]Reporting Person is Whitebox Convertible Arbitrage Partners, L.P. ("WCAP").
- [F2]Reporting Person is Whitebox Hedged High Yield Partners, L.P. ("WHHYP").
- [F3]Reporting Person is Whitebox Diversified Convertible Arbitrage Partners, L.P. ("WDCAP").
- [F4]Reporting Person is Pandora Select Partners, L.P. ("PSP").
- [F5]Reporting Person is Whitebox Advisors, LLC.
- [F6]Each of WCAP, WHHYP, WDCAP, PSP and Whitebox Advisors, LLC beneficially own Convertible Subordinated Notes of which the Common Stock of Penn Treaty American Corporation is the underlying security.
- [F7]The general partner of WCAP, is Whitebox Convertible Arbitrage Advisors, LLC ("WCAA"), which manages accounts for the benefit of its clients WCAP, Whitebox Convertible Arbitrage Fund, L.P. ("WCAFLP") and Whitebox Convertible Arbitrage Fund, Ltd. ("WCAFLTD"); the general partner of WHHYP is Whitebox Hedged High Yield Advisors, LLC ("WHHYA"), which manages accounts for the benefit of its clients WHHYP, Whitebox Hedged High Yield Fund, L.P. ("WHYYFLP") and Whitebox Hedged High Yield Fund, Ltd. ("WHHYFLTD"). The managing member and controlling owner of each of WCAA and WHHYA is Whitebox Advisors, LLC. (Cont. in footnote 8)
- [F8]The general partner of PSP is Pandora Select Advisors, LLC ("PSA"), which manages accounts for the benefit of its clients PSP, Pandora Select Fund, L.P. ("PSFLP") and Pandora Select Fund, Ltd. ("PSFLTD"). The general partner of WDCAP is Whitebox Diversified Convertible Arbitrage Advisors, LLC ("WDCAA"), which manages accounts for the benefit of its clients WDCAP Whitebox Diversified Convertible Arbitrage Fund, L.P. ("WDCAFLP") and Whitebox Diversified Convertible Arbitrage Fund, Ltd. ("WDCAFLTD"). The managing member and controlling owner of each of PSA and WDCAA is AJR Financial, LLC. Whitebox Advisors, LLC and AJR Financial, LLC each have the same sole owner and managing member. (Cont. in footnote 9)
- [F9]Based on the relationships described herein, these entities may be deemed to constitute a "group" within the meaning of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934. The filing of this statement shall not be construed as an admission that Whitebox Advisors, LLC, AJR Financial, LLC, WCCA, WHHYA, PSA, WDCAA, WCAP, WHHYP, PSP, WDCAP, WCAFLP, WHHYFLP, PSFLP, WDCAFLP, WCAFLTD, WHHYFLTD, PSFLTD and WDCAFLTD are a group, or have agreed to act as a group. Whitebox Advisors, LLC, AJR Financial, LLC, WCCA, WHHYA, PSA, WDCAA, WCAP, WHHYP, PSP, WDCAP, WCAFLP, WHHYFLP, PSFLP, WDCAFLP, WCAFLTD, WHHYFLTD, PSFLTD and WDCAFLTD each disclaim beneficial ownership of such shares of common stock except to the extent of their pecuniary interest in such shares.
Issuer
PENN TREATY AMERICAN CORP
CIK 0000814181
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001307362
Filing Metadata
- Form type
- 4
- Filed
- Jul 26, 8:00 PM ET
- Accepted
- Jul 27, 7:13 PM ET
- Size
- 41.3 KB