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Richard John Swanson

CIK 1325956 · last filed 2014-01-27

Richard John Swanson is a corporate insider who has filed 42 SEC Form 4 insider transactions across 3 companies since 2007. The most recent filing shows the insider was granted $1.4K of ADES on Jan 27, 2014. Across all open-market trades the lifetime net is −$455.1K, making them a net seller over the disclosed history. Current disclosed insider exposure totals $1.4M across reported positions.

"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

$1.40M

Companies

3

Total Filings

42

Lifetime Open-Market Net

-$455.1K

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
Arq, Inc. (ADES) Delisted Director 17,855 $3.36 $60.0K -$357.1K 21 2014-01-27
ASTI Director 182,844 $7.68 $1.40M $0 3 2012-01-06
Ascent Solar Technologies, Inc. (ASTIZ) Delisted Director 19,756 — — -$98.0K 18 2011-06-22

Recent Filings

42 filings
Form 4 transactions across all companies, newest first.
Filed Symbol Action Net Shares Net $ Link
2014-01-27 Arq, Inc. (ADES) Delisted Grant (A) +32 $1.4K EDGAR
2013-07-18 Arq, Inc. (ADES) Delisted Grant (A) +1,159 $47.5K EDGAR
2013-01-22 Arq, Inc. (ADES) Delisted Grant (A) +1,964 $47.5K EDGAR
2012-03-23 Arq, Inc. (ADES) Delisted Sell (S) −4,000 -$100.6K EDGAR
2012-02-16 Arq, Inc. (ADES) Delisted Grant (A) +120 $2.5K EDGAR
2012-01-06 ASTI Grant (A) +153,416 $0 EDGAR
2011-12-21 ASTI Exer (M) +4,836 $0 EDGAR
2011-09-20 ASTI Exer (M) +4,836 $0 EDGAR
2011-08-18 Arq, Inc. (ADES) Delisted Grant (A) +3,352 $58.7K EDGAR
2011-08-18 Arq, Inc. (ADES) Delisted Grant (A) +3,352 $58.7K EDGAR
Showing 1–10 of 42
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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.