Home

PHILLIP A BAUMAN

CIK 1111367 · last filed 2017-03-22

PHILLIP A BAUMAN is a corporate insider who has filed 39 SEC Form 4 insider transactions across 0 companies. 58 SEC filings were submitted jointly with 180 DEGREE CAPITAL CORP. /NY/.

"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.

Loading insider history…
Disclosed Exposure

$0

Companies

0

Total Filings

39

Lifetime Open-Market Net

$0

Filer Profile

Reported Address
111 WEST 57TH STREET
SUITE 1100
NEW YORK, NY 10019
Related Filers
180 DEGREE CAPITAL CORP. /NY/ — 58 joint filings, latest 2017-03-22
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
No companies on record.

Recent Filings

39 filings
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
2017-03-22 — Buy (P) +4,200 $5.5K
2016-11-16 — Buy (P) +4,367 $5.6K
2016-08-12 — Buy (P) +3,480 $5.5K
2016-06-07 — Grant (A) +2,000 $0
2016-05-16 — Buy (P) +3,280 $5.6K
2016-04-04 — Buy (P) +2,861 $5.5K
2015-11-13 — Buy (P) +2,588 $5.4K
2015-08-13 — Buy (P) +2,218 $5.7K
2015-06-09 — Grant (A) +2,000 $0
2015-05-18 — Buy (P) +1,960 $5.5K
Showing 1–10 of 39
Page 1 of 4
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.