Equity Managment III SBIC Montreux

CIK 1397992 · last filed 2010-03-22

Equity Managment III SBIC Montreux is a corporate insider who has filed 1 SEC Form 4 insider transactions across 1 company since 2010. The most recent filing shows the insider sold $57.4M of SOMX on Mar 22, 2010. Across all open-market trades the lifetime net is −$57.4M, making them a net seller over the disclosed history. 4 SEC filings were submitted jointly with HOWARD D PALEFSKY.

"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

1

Total Filings

1

Lifetime Open-Market Net

-$57.44M

Filer Profile

Reported Address

3000 SAND HILL ROAD
BUILDING 1, SUITE 260
MENLO PARK, CA 94025

Phone

(650) 234-1200

State of Incorporation

Related Filers

HOWARD D PALEFSKY — 4 joint filings, latest 2010-03-22

DANIEL K TURNER III — 4 joint filings, latest 2010-03-22

MONTREUX EQUITY MANAGEMENT II SBIC LLC — 3 joint filings, latest 2010-03-22

John Savarese — 1 joint filings, latest 2007-05-02

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
Pernix Sleep, Inc. (SOMX) Delisted	10%+ Owner	86,938	—	—	-$57.44M	1	2010-03-22

Recent Filings

1 filing

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
2010-03-22	Pernix Sleep, Inc. (SOMX) Delisted	Sell (S)	−9,000,000	-$57.44M	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.