SMH CAPITAL INC.

CIK 1053994 · last filed 2010-04-13

SMH CAPITAL INC. is a corporate insider who has filed 1 SEC Form 4 insider transactions across 1 company since 2010. The most recent filing, for IG, was dated Apr 13, 2010. The firm reports its address in Houston, TX. 20 SEC filings were submitted jointly with James C Gale.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

Disclosed Exposure

Companies

Total Filings

Lifetime Open-Market Net

Charts

Trading activity, where the exposure sits, and each trade against the stock price.

IG price and trades

Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.

Shares held

Shares owned after each reported transaction on this company (direct holdings as reported).

Exposure by company

latest

OfficerDirector10% owner* stale (no filing in 3 yrs)

Most recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.

Filer Profile

Reported Address

600 TRAVIS STREET
STE 5900
HOUSTON, TX

Phone

(713) 220-5100

Formerly Known As

SANDERS MORRIS HARRIS INC. (2011–2017)

SMH CAPITAL INC. (2008–2011)

SANDERS MORRIS HARRIS INC/FA (2000–2008)

SANDERS MORRIS MUNDY INC /FA (1999–1999)

Related Filers

James C Gale — 20 joint filings, latest 2014-06-05

LIFE SCIENCES OPPORTUNITIES FUND II LP — 12 joint filings, latest 2014-06-05

LOF PARTNERS LLC — 12 joint filings, latest 2014-06-05

BK Technologies Corp — 7 joint filings, latest 2006-01-17

Don A Sanders — 7 joint filings, latest 2011-08-05

SMH PEG MANAGEMENT II, LLC — 6 joint filings, latest 2011-08-05

SMH PEG Management, LLC — 6 joint filings, latest 2011-08-05

Joyce Erony — 5 joint filings, latest 2010-08-24

Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses. View filings on SEC EDGAR.

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.

Symbol	Role	Shares	Price	Disclosed Exposure	Lifetime OM Net	Filings	Latest Filed
IG	10%+ Owner	—	$19.73	—	$0	1	2010-04-13

Recent Filings

1 filing

Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.

Filed	Symbol	Action	Net Shares	Net $	Link
2010-04-13	IG	Buy (P)	—	$0	EDGAR

Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.