WILLIAM ROTH
CIK 1474958 · Chief Investment Officer · last filed 2019-01-30
"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
$2.30M
Companies
3
Total Filings
29
Lifetime Open-Market Net
-$1.31M
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 |
|---|---|---|---|---|---|---|---|
| TWO | Chief Investment Officer | 172,874 | $12.11 | $2.09M | -$2.30M | 12 | 2019-01-30 |
| GPMT | Director | 153,829 | $1.34 | $206.1K | $468.1K | 2 | 2017-11-13 |
| TWO HARBORS INVESTMENT CORP. (TWO.WS) Delisted | Vice President, CIO | 337,311 | — | — | $525.0K | 15 | 2013-05-31 |
Recent Filings · Page 2 of 3
29 filingsInsider 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 |
|---|---|---|---|---|---|
| 2015-06-02 | TWO | Sell (S) | −30,000 | -$320.7K | EDGAR |
| 2015-05-18 | TWO | Grant (A) | +227,920 | $2.40M | EDGAR |
| 2015-02-09 | TWO | Sell (S) | −30,000 | -$304.2K | EDGAR |
| 2014-02-07 | TWO | Grant (A) | +263,023 | $0 | EDGAR |
| 2013-05-31 | TWO HARBORS INVESTMENT CORP. (TWO.WS) Delisted | Grant (A) | +256,011 | $2.88M | EDGAR |
| 2013-02-21 | TWO HARBORS INVESTMENT CORP. (TWO.WS) Delisted | Buy (P) | +3,000 | $37.1K | EDGAR |
| 2012-11-20 | TWO HARBORS INVESTMENT CORP. (TWO.WS) Delisted | Buy (P) | +10,000 | $110.8K | EDGAR |
| 2012-05-18 | TWO HARBORS INVESTMENT CORP. (TWO.WS) Delisted | Buy (P) | +7,300 | $73.9K | EDGAR |
| 2012-02-15 | TWO HARBORS INVESTMENT CORP. (TWO.WS) Delisted | Buy (P) | +5,000 | $49.5K | EDGAR |
| 2011-08-19 | TWO HARBORS INVESTMENT CORP. (TWO.WS) Delisted | Buy (P) | +2,000 | $18.8K | 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.
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.