KILMAN JAMES W. enters ALPHA-EN CORP with 300K shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Indirect Derivatives
Filed: 7/1/2019ACC: 0000898432-19-000956
300K
Baseline shares
0.00
Direct ownership
0 positions
500K
Derivative underlying
2 instruments
1
Security positions
300K indirect
Non-Derivative Holdings1
Common Stock
IndirectShares owned300K
Total
300K indirect300K
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 300K | Indirect |
| Total | 300K | 300K indirect |
Derivative Holdings2
Common Stock Warrants
IndirectUnderlying security
Common Stock
Underlying shares
250K
Shares owned
N/A
Exercise price
1.16
Expiration
—
Exercise window
—
Common Stock Warrants
IndirectUnderlying security
Common Stock
Underlying shares
250K
Shares owned
N/A
Exercise price
3.79
Expiration
—
Exercise window
—
Total
Underlying
500K
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Common Stock Warrants Indirect | Common Stock | 1.16 | — | — | 250K | N/A |
| Common Stock Warrants Indirect | Common Stock | 3.79 | — | — | 250K | N/A |
| Total | 500K | 0.00 | ||||