Spectrum Galaxy Fund Ltd.

CIK 1313253 · last filed 2009-03-13

Spectrum Galaxy Fund Ltd. is a corporate insider who has filed 10 SEC Form 4 insider transactions across 4 companies since 2007. The most recent filing shows the insider sold $343.3K of SPOR on Mar 13, 2009. Across all open-market trades the lifetime net is −$3.8M, making them a net seller over the disclosed history. The firm reports its address in Road Town, Tortola, D8. 229 SEC filings were submitted jointly with DANIEL ZEFF.

"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

$0

Companies

4

Total Filings

10

Lifetime Open-Market Net

-$3.76M

Filer Profile

Reported Address

9 COLUMBUS CENTER
PELICAN DRIVE
ROAD TOWN, TORTOLA, D8 D8

Phone

(415) 439-5273

Related Filers

DANIEL ZEFF — 229 joint filings, latest 2009-03-13

Zeff Holding Company, LLC — 212 joint filings, latest 2009-03-13

Zeff Capital Partners I, L.P. — 211 joint filings, latest 2009-03-13

DAVID W BERRY — 6 joint filings, latest 2007-05-04

KAIZEN MANAGEMENT, L.P. — 6 joint filings, latest 2007-05-04

Kaizen Capital, L.L.C. — 6 joint filings, latest 2007-05-04

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
SPORT HALEY INC (SPOR) Delisted	10%+ Owner	0	—	—	-$452.0K	2	2009-03-13
COMMERCE ENERGY GROUP, INC. (EGR) Delisted	10%+ Owner	1,318,984	—	—	-$697.6K	4	2008-01-09
DOCUMENT SCIENCES CORP (DOCX) Delisted	10%+ Owner	259,250	—	—	-$2.29M	3	2007-10-18
GSE SYSTEMS INC (GVP) Delisted	10%+ Owner	140,893	$4.59	$646.7K	-$321.1K	1	2007-02-14

Recent Filings

10 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
2009-03-13	SPORT HALEY INC (SPOR) Delisted	Sell (S)	−1,373,052	-$343.3K	EDGAR
2009-03-04	SPORT HALEY INC (SPOR) Delisted	Sell (S)	−589,200	-$108.8K	EDGAR
2008-01-09	COMMERCE ENERGY GROUP, INC. (EGR) Delisted	Sell (S)	−112,000	-$137.3K	EDGAR
2007-12-26	COMMERCE ENERGY GROUP, INC. (EGR) Delisted	Sell (S)	−47,200	-$61.3K	EDGAR
2007-10-18	DOCUMENT SCIENCES CORP (DOCX) Delisted	Sell (S)	−55,104	-$562.0K	EDGAR
2007-10-16	COMMERCE ENERGY GROUP, INC. (EGR) Delisted	Buy (P)	−98,000	-$217.7K	EDGAR
2007-09-12	DOCUMENT SCIENCES CORP (DOCX) Delisted	Sell (S)	−13,992	-$141.5K	EDGAR
2007-08-28	DOCUMENT SCIENCES CORP (DOCX) Delisted	Sell (S)	−158,188	-$1.58M	EDGAR
2007-07-26	COMMERCE ENERGY GROUP, INC. (EGR) Delisted	Sell (S)	−126,400	-$281.2K	EDGAR
2007-02-14	GSE SYSTEMS INC (GVP) Delisted	Mixed	+1,959,000	-$321.1K	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.