ELLIS ALEXANDER III

CIK 00012286005 companiesBOSTON, MA

SEC Profile

Transactions

Companies

Filings

CIK

0001228600

Recent Transactions

42 trades

Award
Northern Power Systems Corp.
Common Shares
2017-05-25+30,000→ 30,000 total
Award
Northern Power Systems Corp.
Common Shares
2016-11-30+30,000→ 75,000 total
Award
Northern Power Systems Corp.
Common Shares
2016-11-28+30,000→ 45,000 total
Award
Northern Power Systems Corp.
Common Shares
2015-08-25+15,000→ 15,000 total
Other
Northern Power Systems Corp.
Class B Restricted Voting Shares
2014-11-30−1,779,522→ 0 total
Other
Northern Power Systems Corp.
Common Shares
2014-11-30+1,779,522→ 4,892,665 total
Other
Northern Power Systems Corp.
Common Shares
2014-10-30+899,761→ 3,123,143 total
Other
Northern Power Systems Corp.
Class B Restricted Voting Shares
2014-10-30−899,761→ 1,769,522 total
Other
Northern Power Systems Corp.
Class B Restricted Voting Shares
2014-09-30−889,762→ 2,669,283 total
Other
Northern Power Systems Corp.
Common Shares
2014-09-30+889,762→ 2,223,382 total
Award
CDTI ADVANCED MATERIALS, INC.
Stock Option (right to buy)
2012-11-12+5,000→ 5,000 total
Award
SATCON TECHNOLOGY CORP
Stock Option (Right to Buy)
2012-06-20+23,000→ 132,000 total
Award
CDTI ADVANCED MATERIALS, INC.
Stock Option (right to buy)
2011-12-01+5,000→ 5,000 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2011-09-30+65,454→ 13,226,531 total
Sale
CDTI ADVANCED MATERIALS, INC.
Common Stock, par value $0.01 per share
2011-07-05$3.75/sh−72,800→ 329,895 total
Sale
CDTI ADVANCED MATERIALS, INC.
Common Stock, par value $0.01 per share
2011-07-05$3.75/sh−7,200→ 322,695 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2011-03-31+253,637→ 13,161,077 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2010-12-31+270,132→ 12,907,440 total
Award
CDTI ADVANCED MATERIALS, INC.
Stock Option (right to buy)
2010-11-16+5,000→ 5,000 total
Conversion
SATCON TECHNOLOGY CORP
Series C Convertible Preferred Stock
2010-10-27−15,000→ 0 total
Conversion
SATCON TECHNOLOGY CORP
Common Stock
2010-10-27+16,510,142→ 16,510,142 total
Other
CDTI ADVANCED MATERIALS, INC.
Common Stock
2010-10-15+26,842→ 402,695 total
Other
CDTI ADVANCED MATERIALS, INC.
Common Stock
2010-10-15+375,853→ 375,853 total
Other
CDTI ADVANCED MATERIALS, INC.
Warrants
2010-10-15+40,220→ 40,220 total
Other
CDTI ADVANCED MATERIALS, INC.
Warrants
2010-10-15+15,108→ 55,328 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2010-09-30+247,982→ 29,094,104 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2010-06-30+147,680→ 28,670,015 total
Award
SATCON TECHNOLOGY CORP
Stock Option (Right to Buy)
2010-06-08+23,000→ 86,000 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2010-03-31+94,456→ 28,342,541 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2009-12-31+29,030→ 28,070,266 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2009-10-03+10,747→ 27,865,393 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2009-07-03+228,000→ 26,530,489 total
Award
SATCON TECHNOLOGY CORP
Stock Option (Right to Buy)
2009-06-09+22,000→ 63,000 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2008-09-27+6,063→ 26,302,489 total
Award
SATCON TECHNOLOGY CORP
Warrant to purchase Common Stock
2008-06-28+46,427→ 26,296,426 total
Award
SATCON TECHNOLOGY CORP
Stock Option (Right to Buy)
2008-06-10+22,000→ 41,000 total
Conversion
COMVERGE, INC.
Series C Preferred Stock
2007-04-18−25,000→ 0 total
Conversion
COMVERGE, INC.
Common Stock
2007-04-18+968,483→ 1,003,282 total
Conversion
COMVERGE, INC.
Series C Preferred Stock
2007-04-18−75,000→ 0 total
Conversion
COMVERGE, INC.
Series B Preferred Stock
2007-04-18−1,861,966→ 0 total
Conversion
COMVERGE, INC.
Series B Preferred Stock
2007-04-18−620,655→ 0 total
Conversion
COMVERGE, INC.
Common Stock
2007-04-18+322,827→ 334,426 total

ELLIS ALEXANDER III

Recent Transactions

Companies

Recent Filings

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