ELLIS ALEXANDER III

CIK 00012286005 companiesBOSTON, MA

SEC Profile

Transactions

Companies

Filings

CIK

0001228600

Recent Transactions

25 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.
Class B Restricted Voting Shares
2014-10-30−899,761→ 1,769,522 total
Other
Northern Power Systems Corp.
Common Shares
2014-10-30+899,761→ 3,123,143 total
Other
Northern Power Systems Corp.
Common Shares
2014-09-30+889,762→ 2,223,382 total
Other
Northern Power Systems Corp.
Class B Restricted Voting Shares
2014-09-30−889,762→ 2,669,283 total
Award
CDTI ADVANCED MATERIALS, INC.
Stock Option (right to buy)
2012-11-12+5,000→ 5,000 total
Award
CDTI ADVANCED MATERIALS, INC.
Stock Option (right to buy)
2011-12-01+5,000→ 5,000 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
CDTI ADVANCED MATERIALS, INC.
Stock Option (right to buy)
2010-11-16+5,000→ 5,000 total
Other
CDTI ADVANCED MATERIALS, INC.
Warrants
2010-10-15+40,220→ 40,220 total
Other
CDTI ADVANCED MATERIALS, INC.
Common Stock
2010-10-15+26,842→ 402,695 total
Other
CDTI ADVANCED MATERIALS, INC.
Warrants
2010-10-15+15,108→ 55,328 total
Other
CDTI ADVANCED MATERIALS, INC.
Common Stock
2010-10-15+375,853→ 375,853 total
Conversion
COMVERGE, INC.
Series C Preferred Stock
2007-04-18−25,000→ 0 total
Conversion
COMVERGE, INC.
Common Stock
2007-04-18+322,827→ 334,426 total
Conversion
COMVERGE, INC.
Common Stock
2007-04-18+968,483→ 1,003,282 total
Conversion
COMVERGE, INC.
Series B Preferred Stock
2007-04-18−620,655→ 0 total
Conversion
COMVERGE, INC.
Series B Preferred Stock
2007-04-18−1,861,966→ 0 total
Conversion
COMVERGE, INC.
Series C Preferred Stock
2007-04-18−75,000→ 0 total

Companies

Recent Filings

Address

160 FEDERAL STREET 18TH FLOOR

BOSTON, MA, 02110-1700

View on SEC.gov