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Laurence Penn

CIK 1474801 · CEO and President · last filed 2020-03-04

Laurence Penn is a CEO and President who has filed 34 SEC Form 4 insider transactions across 2 companies since 2011. The most recent filing, for EFC, was dated Mar 4, 2020. Across all open-market trades the lifetime net is +$2.1M, making them a net buyer over the disclosed history. Current disclosed insider exposure totals $2.1M 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

$2.07M

Companies

2

Total Filings

34

Lifetime Open-Market Net

$2.07M

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
EFC CEO and President 144,322 $13.28 $1.92M $1.68M 23 2020-03-04
EARN CEO and President 35,710 $4.40 $157.1K $389.7K 11 2018-05-10

Recent Filings

34 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
2020-03-04 EFC Exer (M) +38,759 $0 EDGAR
2018-11-15 EFC Buy (P) +28,631 $462.4K EDGAR
2018-11-14 EFC Mixed +32,408 $524.9K EDGAR
2018-05-15 EFC Buy (P) +3,959 $63.2K EDGAR
2018-05-14 EFC Buy (P) +23,890 $376.8K EDGAR
2018-05-10 EARN Buy (P) +15,000 $163.2K EDGAR
2018-03-26 EFC Other (J) +6,414 $0 EDGAR
2016-02-16 EARN Buy (P) +950 $10.3K EDGAR
2016-02-11 EARN Buy (P) +1,534 $16.8K EDGAR
2016-02-09 EARN Buy (P) +2,532 $28.5K EDGAR
Showing 1–10 of 34
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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.