Richard John Swanson
CIK 1325956 · last filed 2014-01-27
"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
$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 · Page 4 of 5
42 filingsForm 4 transactions across all companies, newest first.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2009-07-02 | Ascent Solar Technologies, Inc. (ASTIZ) Delisted | Exer (M) | +3,856 | $0 | EDGAR |
| 2009-04-02 | Ascent Solar Technologies, Inc. (ASTIZ) Delisted | Exer (M) | +3,856 | $0 | EDGAR |
| 2009-01-29 | Arq, Inc. (ADES) Delisted | Exer (M) | +2,592 | $10.8K | EDGAR |
| 2009-01-26 | Ascent Solar Technologies, Inc. (ASTIZ) Delisted | Grant (A) | — | $0 | EDGAR |
| 2009-01-05 | Ascent Solar Technologies, Inc. (ASTIZ) Delisted | Sell (S) | −2,475 | -$10.2K | EDGAR |
| 2008-10-17 | Arq, Inc. (ADES) Delisted | Exer (M) | +1,459 | $9.0K | EDGAR |
| 2008-08-28 | Ascent Solar Technologies, Inc. (ASTIZ) Delisted | Sell (S) | −2,220 | -$20.2K | EDGAR |
| 2008-07-15 | Ascent Solar Technologies, Inc. (ASTIZ) Delisted | Other (J) | +5,811 | $0 | EDGAR |
| 2007-10-09 | Arq, Inc. (ADES) Delisted | Exer (M) | +1,310 | $16.5K | EDGAR |
| 2007-04-19 | Arq, Inc. (ADES) Delisted | Grant (A) | — | $0 | EDGAR |
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.