WILLIAM E JAMES

CIK 1218568 · last filed 2017-04-05

WILLIAM E JAMES is a corporate insider who has filed 23 SEC Form 4 insider transactions across 2 companies since 2007. The most recent filing, for BTU, was dated Apr 5, 2017. Across all open-market trades the lifetime net is −$12.5M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $67.4K across reported positions. 12 SEC filings were submitted jointly with ALEXANDER ELLIS III.

"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

$67.4K

Companies

2

Total Filings

23

Lifetime Open-Market Net

-$12.52M

Filer Profile

Reported Address

C/O ROCKPORT CAPITAL PARTNERS LLC
160 GFEDERAL STREET
BOSTON, MA 02110-1776

Related Filers

ALEXANDER ELLIS III — 12 joint filings, latest 2012-06-22

CHARLES J MCDERMOTT — 12 joint filings, latest 2012-06-22

Stoddard Moran Wilson — 12 joint filings, latest 2012-06-22

RockPort Capital Partners II, LP — 9 joint filings, latest 2012-06-22

David J Prend — 3 joint filings, latest 2011-07-15

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
BTU	Director	2,336	$28.85	$67.4K	-$12.52M	21	2017-04-05
ENER1 INC (HEV) Delisted	Director	4,896,281	—	—	$0	1	2011-01-05

Recent Filings

23 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
2017-04-05	BTU	Other (J)	−8,231	$0	EDGAR
2016-01-06	BTU	Grant (A)	+4,333	$0	EDGAR
2015-01-06	BTU	Grant (A)	+16,796	$0	EDGAR
2014-03-17	BTU	Mixed	+1,213	-$1.2K	EDGAR
2014-01-06	BTU	Grant (A)	+6,653	$0	EDGAR
2013-01-04	BTU	Grant (A)	+5,031	$0	EDGAR
2012-01-05	BTU	Grant (A)	+3,584	$0	EDGAR
2011-01-05	ENER1 INC (HEV) Delisted	Grant (A)	+10,000	$0	EDGAR
2011-01-04	BTU	Grant (A)	+1,860	$0	EDGAR
2010-01-06	BTU	Grant (A)	+1,880	$0	EDGAR

Showing 1–10 of 23

Page 1 of 3 Next

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.