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GAVIN L JAMES

CIK 1252218 · President and CEO · last filed 2016-04-13

GAVIN L JAMES is a President and CEO who has filed 13 SEC Form 4 insider transactions across 1 company since 2012. The most recent filing shows the insider bought $11.1K of WMC on Apr 13, 2016. Across all open-market trades the lifetime net is +$1.0M, making them a net buyer over the disclosed history. 20 SEC filings were submitted jointly with JAMES W HIRSCHMANN 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.

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Disclosed Exposure

$0

Companies

1

Total Filings

13

Lifetime Open-Market Net

$1.02M

Filer Profile

Related Filers
JAMES W HIRSCHMANN III — 20 joint filings, latest 2006-08-09
S. KENNETH LEECH — 20 joint filings, latest 2006-08-09
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.

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
Western Asset Mortgage Capital Corp (WMC) Delisted President and CEO 5,588 $9.18 $51.3K $1.02M 13 2016-04-13

Recent Filings

13 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
2016-04-13 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +730 $11.1K EDGAR
2016-04-13 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +16,000 $235.0K EDGAR
2016-04-08 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +3,005 $34.7K EDGAR
2015-05-12 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +1,500 $22.2K EDGAR
2014-11-21 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +750 $11.4K EDGAR
2014-09-11 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +6,570 $99.9K EDGAR
2014-08-15 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +16,060 $235.9K EDGAR
2013-10-07 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +1,000 $15.8K EDGAR
2013-05-16 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +2,100 $41.9K EDGAR
2013-05-16 Western Asset Mortgage Capital Corp (WMC) Delisted Buy (P) +400 $8.0K EDGAR
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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.