SIMPSON TOM enters KASPIEN HOLDINGS INC. with 90.64K shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Direct Indirect Derivatives
Filed: 4/13/2020ACC: 0001179110-20-004847
90.64K
Baseline shares
63% direct
57K
Direct ownership
1 position
23.40K
Derivative underlying
2 instruments
4
Security positions
33.64K indirect
Non-Derivative Holdings4
Common stock, par value $0.01 per share
DirectShares owned57K
Common Stock, par value $0.01 per share
IndirectShares owned23.88K
Common Stock, par value $0.01 per share
IndirectShares owned25.00
Common Stock, par value $0.01 per share
IndirectShares owned9.74K
Total
57K direct·33.64K indirect90.64K
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common stock, par value $0.01 per share | 57K | Direct |
| Common Stock, par value $0.01 per share | 23.88K | Indirect |
| Common Stock, par value $0.01 per share | 25.00 | Indirect |
| Common Stock, par value $0.01 per share | 9.74K | Indirect |
| Total | 90.64K | 57K direct·33.64K indirect |
Derivative Holdings2
Warrant to purchase Common Stock, par value $0.01 per share
IndirectUnderlying security
Common Stock, par value $0.01 Per Share
Underlying shares
14.04K
Shares owned
N/A
Exercise price
0.01
Expiration
—
Exercise window
—
Warrant to purchase Common Stock, par value $0.01 per share
IndirectUnderlying security
Common Stock, par value $0.01 per share
Underlying shares
9.36K
Shares owned
N/A
Exercise price
.01
Expiration
—
Exercise window
—
Total
Underlying
23.40K
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Warrant to purchase Common Stock, par value $0.01 per share Indirect | Common Stock, par value $0.01 Per Share | 0.01 | — | — | 14.04K | N/A |
| Warrant to purchase Common Stock, par value $0.01 per share Indirect | Common Stock, par value $0.01 per share | .01 | — | — | 9.36K | N/A |
| Total | 23.40K | 0.00 | ||||