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| Keyboard |
| Lampe Conway & Co LLC
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|---|---|
| CRD # | 138194 |
| SEC # | 801-65358 |
| CIK # | 0001299982 |
| AUM | |
| Employees | 5 (100% Investors, 0% Brokers) |
| Phone | 212-581-8989 |
| Address | 680 Fifth Avenue Suite 1202 New York, NY 10019-5429 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | LC Capital Targeted Opportunities Fund LP | 2014-03-06 | 5.3 M | |
| HF | LC Capital Master Fund Ltd | 2012-03-21 | 75.2 M |
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 4.2 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 1.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 63.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 3 | 68.2 |
| By Discretionary | ||
| Discretionary | 3 | 68.2 |
| Non-Discretionary | 0 | 0.0 |
| Total | 3 | 68.2 |
| By Non-United States Persons | ||
| Non-United States Persons | 30.0 | |
| United States Persons | 38.2 | |
| Total | 3 | 68.2 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 4 | [0001299982] | |
| SC 13G | [0001299982] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Lampe Conway & Co LLC | Vuzix Corp | [2013-09-12] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.2B |
| Clients | 3 (50 non-US) |
| Serves | Institutional, Retail |
| Fund Types | Hedge Fund |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2020 · derivative
|
2020-03-05 | Other | 16,866,290.34 | ||
|
Cadiz Inc CDZI
Common Stock
|
2020-03-05 | Conversion | 2,504,434 | $6.75 | 16,904,930 |
|
Cadiz Inc CDZI
Series 1 Preferred Stock · derivative
|
2020-03-05 | Buy | 9,671 | ||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2020 · derivative
|
2020-03-05 | Sell | 26,441,360.21 | ||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2020 · derivative
|
2020-03-05 | Conversion | 16,904,930.13 | ||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2018 · derivative
|
2015-12-10 | Disposed to issuer | 26,480,000 | ||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2020 · derivative
|
2015-12-10 | Grant | 26,480,000 | ||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2018 · derivative
|
2015-03-16 | Sell | 21,000 | ||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2018 · derivative
|
2015-03-12 | Sell | 125,000 | ||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2018 · derivative
|
2015-03-11 | Sell | 100,000 | ||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2018 · derivative
|
2014-01-22 | Sell | |||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2018 · derivative
|
2014-01-21 | Sell | |||
|
Vuzix Corp VUZI
Convertible Promissory Note · derivative
|
2013-08-05 | Other | 82,549 | $0.00 | |
|
Cadiz Inc CDZI
Convertible Term Loan Tranche A-2a · derivative
|
2013-03-05 | Conversion | |||
|
Cadiz Inc CDZI
Convertible Term Loan Tranche B-1 · derivative
|
2013-03-05 | Conversion | |||
|
Cadiz Inc CDZI
7% Convertible Senior Notes due 2018 · derivative
|
2013-03-05 | Grant | $0.00 | ||
|
Cadiz Inc CDZI
Convertible Term Loan Tranche C-1 · derivative
|
2013-03-05 | Conversion | |||
|
Cadiz Inc CDZI
Convertible Term Loan Tranche B-3a · derivative
|
2013-03-05 | Conversion | |||
|
Cadiz Inc CDZI
Common Stock Warrants (right to buy) · derivative
|
2012-10-30 | Buy | 50,000 | $20.00 | 1,000,000 |
|
Cadiz Inc CDZI
Common Stock Warrants (right to buy) · derivative
|
2012-10-30 | Buy | 50,000 | $20.00 | 1,000,000 |
| showing 20 of 29 most recent transactions | |||||