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Roderick G.H. Ellis

CIK 1518396 · Chief Accounting Officer · last filed 2017-03-02

Roderick G.H. Ellis is a Chief Accounting Officer who has filed 15 SEC Form 4 insider transactions across 2 companies since 2012. The most recent filing, for SPXX, was dated Mar 2, 2017. Across all open-market trades the lifetime net is −$2.7M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $4.0M 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

$4.02M

Companies

2

Total Filings

15

Lifetime Open-Market Net

-$2.68M

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
SPXX Chief Accounting Officer 90,835 $18.36 $1.67M $0 1 2017-03-02
IVZ Chief Accounting Officer 78,875 $29.80 $2.35M -$2.68M 14 2016-03-01

Recent Filings

15 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
2017-03-02 SPXX Mixed +7,925 -$129.9K EDGAR
2016-03-01 IVZ Mixed +8,771 -$147.3K EDGAR
2015-03-03 IVZ Mixed +5,029 -$182.5K EDGAR
2014-09-04 IVZ Sell (S) −25,000 -$1.02M EDGAR
2014-08-14 IVZ Mixed — -$743.2K EDGAR
2014-03-04 IVZ Mixed +7,139 -$125.1K EDGAR
2014-02-27 IVZ Tax (F) −2,627 -$87.0K EDGAR
2013-05-14 IVZ Mixed — -$421.9K EDGAR
2013-03-04 IVZ Mixed +11,332 -$66.4K EDGAR
2013-03-01 IVZ Tax (F) −1,160 -$30.7K EDGAR
Showing 1–10 of 15
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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.