Section 16b Short Swing Profits - Sample Report

$2,532,797181OUTROuterwall IncEngaged Capital LLC2016-02-12 15:21:042016-02-100PC$25.9896,000$2,493,8402016-08-11 17:23:532016-08-090SC$52.36999,000$52,308,443
$1,141,99576AERIAerie Pharmaceuticals IncForesite Capital Management Ii, LLC2016-07-26 11:10:232016-07-220PC$17.50250,000$4,375,0002016-10-11 13:05:472016-10-060SC$40.3450,000$2,016,995
$435,660119FOLDAmicus Therapeutics IncPerceptive Advisors LLC2016-08-26 16:30:322016-08-250SC$6.811,100,000$7,491,0002016-12-23 08:31:142016-12-220PC$4.51189,500$854,835
ProfitTransaction Profit
DaysTransaction Duration in Days
SymTicker Symbol
IssuerIssuer Name
OwnerOwner Name
FDateFiling Date
TDateTransaction Date
MMultiday Transaction
TTransaction Code
A - Grant, award or other acquisition
C - Conversion of derivative security
D - Disposition to the issuer of issuer equity securities
E - Expiration of short derivative position
F - Payment of exercise price or tax liability
G - Bona fide gift
H - Expiration (or cancellation) of long derivative position with value received
I - Discretionary transaction in accordance with Rule 16b-3(f)
J - Other
L - Small acquisition under Rule 16a-6
M - Exercise or conversion of derivative security
O - Exercise of out-of-the-money derivative security
P - Open market or private purchase of non-derivative or derivative security
S - Open market or private sale of non-derivative or derivative security
U - Disposition pursuant to a tender of shares in a change of control transaction
W - Acquisition or disposition by will or the laws of descent and distribution
X - Exercise of in-the-money or at-the-money derivative security
Z - Deposit into or withdrawal from voting trust
SSecurity Type
D1Senior Secured Debt/Debenture
N1Senior Secured Note
D2Senior Debt/Debenture
N2Senior Note
D3Subordinated Debt/Debenture
N3Subordinated Note
DRDepositary Receipts
LPPartnership Units
POPut Option (Right to Sell)
COCall Option (Right to Buy)
FBSold Put Option/Forward (Obligation to Buy)
FSSold Call Option/Forward (Obligation to Sell)
WXWarrant on Convertible Preferred
WCWarrant on Convertible
WPWarrant on Preferred
APAuction Preferred
CPConvertible Preferred
DODirector/Nonemployee Option
NONonqualified/Nonstatutory Option
IOIncentive/Qualified Option
EOEmployee Option
PHPhantom Stock
RURestricted Stock Units
RSRestricted Stock
PRPerformance Rights/Options
PSPerformance Shares
ARStock Appreciation Right
DSDeferred Stock
UCommon Units
EQStock/Dividend Equivalent
SPSupplemental Executive Retirement Plan
PAPaired Shares
XNo Security
NVNon-Voting Common
StrikeStrike (Conversion/Exercise) Price
PriceTransaction Price
QtyTransaction Quantity (Shares/Units)
ValTransaction Value

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