Horizon Kinetics Holding Corp — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| LABER GERALD J | — | Option Exercise | 30,000 | — | — | 200,000 | Aug 25, 2021 |
| Neri Philip A | — | Option Exercise | 15,000 | $1.26 | $18,900 | 111,000 | Aug 5, 2021 |
| LABER GERALD J | — | Option Exercise | 3,401 | — | — | 211,735 | May 28, 2021 |
| Arndt David M | Chief Financial Officer | Award / Grant | 4,545 | — | — | 22,045 | Oct 2, 2020 |
| Bailey Leah S | — | Option Exercise | 1,666 | — | — | 16,666 | Oct 2, 2020 |
| Hyman Michael B. | Senior Vice President, Sales | Option Exercise | 10,279 | — | — | 55,558 | Oct 2, 2020 |
| Neri Philip A | — | Option Exercise | 6,000 | $1.25 | $7,500 | 96,000 | Aug 28, 2020 |
| LABER GERALD J | — | Option Exercise | 20,000 | $1.25 | $25,000 | 170,000 | Aug 28, 2020 |
| GOLDSTEIN MARK E | COB/President/CEO | Option Exercise | 25,000 | $1.38 | $34,500 | 572,222 | Aug 28, 2020 |
| ISZO CAPITAL LP | — | Sale | 500,000 | $1.15 | $575,000 | 950,197 | Oct 31, 2019 |
| LABER GERALD J | — | Option Exercise | 30,000 | $0.79 | $23,700 | 150,000 | May 20, 2019 |
| Neri Philip A | — | Option Exercise | 7,286 | $0.79 | $5,756 | 90,000 | May 13, 2019 |
| Neri Philip A | — | Option Exercise | 14,000 | $0.79 | $11,060 | 82,714 | Apr 22, 2019 |
| Neri Philip A | — | Option Exercise | 6,329 | $0.79 | $5,000 | 68,714 | Sep 7, 2018 |
| Neri Philip A | — | Option Exercise | 385 | $0.79 | $304 | 62,385 | Aug 28, 2018 |
| LABER GERALD J | — | Option Exercise | 30,000 | $0.47 | $14,100 | 120,000 | Jul 23, 2018 |
| ISZO CAPITAL LP | — | Purchase | 27,350 | $1.91 | $52,239 | 1,430,819 | May 17, 2018 |
| Levine Barry J | Treasurer/CFO/COO | Option Exercise | 50,000 | $0.41 | $20,500 | 150,000 | Mar 6, 2018 |
| Hyman Michael B. | Senior Vice President, Sales | Option Exercise | 35,000 | $0.41 | $14,350 | 35,000 | Feb 26, 2018 |
| ISZO CAPITAL MANAGEMENT LP | — | Purchase | 13,900 | $3.15 | $43,785 | 1,403,469 | Feb 12, 2018 |
| ISZO CAPITAL GP LLC | — | Purchase | 104,636 | $3.31 | $346,345 | 1,382,587 | Feb 9, 2018 |
| SHEEHY BRIAN L. | — | Purchase | 3,623 | $3.14 | $11,376 | 1,228,251 | Feb 7, 2018 |
| ISZO CAPITAL LP | — | Purchase | 49,700 | $3.23 | $160,531 | 1,277,951 | Feb 6, 2018 |
| Neri Philip A | — | Option Exercise | 1,813 | $0.47 | $852 | 30,000 | May 18, 2017 |
| Levine Barry J | Treasurer/CFO/COO | Option Exercise | 100,000 | $0.24 | $24,000 | 100,000 | Mar 10, 2017 |
| GARRETT SHARON D | — | Option Exercise | 10,533 | $1.25 | $13,166 | 40,533 | Apr 15, 2016 |
| Neri Philip A | — | Option Exercise | 1,875 | $0.37 | $694 | 52,862 | Apr 13, 2016 |
| GOLDSTEIN MARK E | COB/President/CEO | Option Exercise | 18,400 | $0.22 | $4,048 | 547,222 | Dec 9, 2015 |
| Neri Philip A | — | Option Exercise | 5,625 | $0.37 | $2,081 | 35,181 | Jun 23, 2015 |
| LABER GERALD J | — | Option Exercise | 5,625 | $0.20 | $1,125 | 5,625 | May 21, 2015 |
| GOLDSTEIN MARK E | COB/President/CEO | Option Exercise | 29,500 | $0.24 | $7,080 | 29,500 | Apr 13, 2015 |
| Neri Philip A | — | Option Exercise | 7,500 | $0.37 | $2,775 | 7,500 | Aug 26, 2014 |
| GARRETT SHARON D | — | Option Exercise | 30,000 | $0.79 | $23,700 | 30,000 | Jun 17, 2014 |
| LABER GERALD J | — | Option Exercise | 26,875 | $0.23 | $6,181 | 26,875 | Apr 10, 2014 |
| Goodman Mark D | — | Option Exercise | 10,700 | $0.47 | $5,029 | 10,700 | Oct 2, 2013 |
| LABER GERALD J | — | Option Exercise | 30,000 | $0.17 | $5,100 | 30,000 | Oct 2, 2013 |
| Neri Philip A | — | Option Exercise | 2,056 | $0.47 | $966 | 2,056 | Oct 2, 2013 |
| JOHNSON JEFFRY B. | — | Option Exercise | 47,300 | $0.22 | $10,406 | 47,300 | Jun 18, 2013 |
| JOHNSON JEFFRY B. | — | Option Exercise | 8,000 | $0.17 | $1,360 | 8,000 | May 23, 2013 |
| GOLDSTEIN MARK E | COB/President/CEO | Option Exercise | 50,500 | $0.24 | $12,120 | 50,500 | Feb 8, 2013 |
| HINKLE JEFFREY R | VP, Corporate Development | Option Exercise | 9,199 | $0.20 | $1,840 | 9,199 | Feb 6, 2013 |
| Heyman Stephen J | — | Sale | 32,500 | $0.12 | $3,900 | 1,044,901 | Oct 17, 2012 |
| Adelson James F | — | Sale | 88,000 | $0.25 | $22,000 | 338,608 | Mar 18, 2011 |
| Adelson James F | — | Sale | 6,000 | $0.26 | $1,560 | 338,608 | Mar 15, 2011 |
| PASSANTINO DENNIS P | V.P.-Operations and Corp.Secy. | Option Exercise | 20,000 | $0.46 | $9,200 | 50,000 | Feb 22, 2008 |
| Value Fund Advisors, LLC | — | Purchase | 5,000 | $1.02 | $5,100 | 1,529,530 | Jul 30, 2007 |
| Gillman Charles M | — | Purchase | 10,000 | $1.01 | $10,100 | 1,524,530 | Jul 16, 2007 |
| Boston Avenue Capital | — | Purchase | 30,000 | $0.96 | $28,800 | 1,479,530 | Jul 13, 2007 |
| Boston Avenue Capital | — | Purchase | 7,500 | $0.93 | $6,975 | 1,449,530 | Jul 9, 2007 |
| Yorktown Avenue Capital, LLC | — | Purchase | 2,500 | $0.89 | $2,225 | 1,434,530 | Jul 2, 2007 |