Brian Katz Klein
CIK 1327722 · last filed 2013-07-18
Brian Katz Klein is a corporate insider who has filed 11 SEC Form 4 insider transactions across 3 companies since 2007. The most recent filing shows the insider sold $5.6M of RFP on Jul 18, 2013. Across all open-market trades the lifetime net is +$5.5M, making them a net buyer over the disclosed history. 116 SEC filings were submitted jointly with James Michael Johnston.
"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.
Charts
Trading activity, where the exposure sits, and each trade against the stock price.
NCOC price and trades
Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.
Shares held
Shares owned after each reported transaction on this company (direct holdings as reported).
Open-market buying and selling
by monthDollar value of open-market purchases (code P, up) and sales (code S, down) across all companies, by filing month. Grants, exercises and gifts are excluded.
Exposure by company
latestMost recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.
Filer Profile
SUITE 2010
BELLEVUE, WA 98004
Holdings By Company
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| Resolute Forest Products Inc. (RFP) Delisted | 12,881,745 | $21.92 | $282.37M | -$5.61M | 2 | 2013-07-18 | |
| James River Coal CO (JRCC) Delisted | 4,152,200 | — | — | -$292.4K | 2 | 2011-09-29 | |
| NATIONAL COAL CORP (NCOC) Delisted | 1,470,403 | — | — | $11.42M | 5 | 2009-05-06 |
Recent Filings
11 filings| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2013-07-18 | Resolute Forest Products Inc. (RFP) Delisted | Sell (S) | −369,200 | -$5.61M | EDGAR |
| 2012-09-19 | Resolute Forest Products Inc. (RFP) Delisted | Buy (P) | +176,844 | $0 | EDGAR |
| 2011-09-29 | James River Coal CO (JRCC) Delisted | Sell (S) | −35,609 | -$292.4K | EDGAR |
| 2011-01-19 | — | Sell (S) | −40,500 | -$1.06M | |
| 2009-05-06 | NATIONAL COAL CORP (NCOC) Delisted | Sell (S) | −47,500 | -$120.3K | EDGAR |
| 2009-04-21 | — | Sell (S) | −2,015,000 | -$288.5K | |
| 2008-06-25 | James River Coal CO (JRCC) Delisted | Sell (S) | — | $0 | EDGAR |
| 2008-05-14 | NATIONAL COAL CORP (NCOC) Delisted | Buy (P) | +1,277,000 | $5.94M | EDGAR |
| 2008-04-30 | NATIONAL COAL CORP (NCOC) Delisted | Buy (P) | +42,012 | $198.1K | EDGAR |
| 2008-01-03 | NATIONAL COAL CORP (NCOC) Delisted | Buy (P) | — | $0 | EDGAR |
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.