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4/A//SEC Filing

Edelman Fredric M 4/A

Accession 0001181431-11-022033

CIK 0001071341other
View on SEC.govCompany Profile

Filed

Apr 3, 8:00 PM ET

Accepted

Apr 4, 5:58 PM ET

Size

10.0 KB

Accession

0001181431-11-022033

Insider Transaction Report

Form 4/AAmended
Period: 2011-03-07
SANDERS MORRIS HARRIS GROUP INCSMHG
Edelman Fredric M
DirectorPresident10% Owner
Transactions
  • Award

    Restricted Stock Units

    2011-03-07−139,685→ 139,685 total
    → Common Stock (139,685 underlying)
  • Award

    Common Stock

    2011-03-07$5.18/sh+34,922$180,896→ 200,271 total
  • Exercise/Conversion

    Restricted Stock Units

    2011-03-07−34,922→ 104,763 total
    From: 2011-03-07→ Common Stock (34,922 underlying)
Holdings

  • Common Stock

    (indirect: By Edelman Financial Center, Inc.)
    3,153,288
Footnotes (4)
  • [F1]Award of restricted stock unit, vests 25% on the date of grant.
  • [F2]Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
  • [F3]Restricted stock units vest 25% on the date of grant, 50% on March 7, 2012, 75% on March 7, 2013, and 100% on March 7, 2014.
  • [F4]The restricted stock units were issued pursuant to the Issuer's 2010 Executive and Key Manager Restricted Stock Unit Sub-Plan.

Documents

1 file

Issuer

SANDERS MORRIS HARRIS GROUP INC

CIK 0001071341

→
Entity typeother

Related Parties

1
  • filerCIK 0001486404

Filing Metadata

Form type
4/A
Filed
Apr 3, 8:00 PM ET
Accepted
Apr 4, 5:58 PM ET
Size
10.0 KB
View on SEC.gov