U.S. Securities & Exchange Commission
SEC Seal
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U.S. Securities and Exchange Commission


AUSTIN JOSIAH T (0000932267)
Mailing Address
4673 CHRISTOPHER PLACE
DALLAS TX 75204
Ownership Reports for Issuers: (Click on issuer name to see other owners for the issuer, or CIK for issuer filings.)

Issuer Filings Transaction Date Type of Owner
GOODRICH PETROLEUM CORP 0000943861 2016-09-22 director
Protea Biosciences Group, Inc. 0001335103 2015-03-31 director, 10 percent owner
NOVOGEN LTD 0001075880 2013-11-04 10 percent owner
Chelsea Therapeutics International, Ltd. 0001333763 2012-12-14 10 percent owner
MEI Pharma, Inc. 0001262104 2012-12-06 10 percent owner
PHARMACOPEIA INC 0001273013 2008-09-24 10 percent owner
EMERGENCY FILTRATION PRODUCTS INC/ NV
Current Name:NMI Health, Inc.
0001088213 2007-10-04 10 percent owner
NORTH FORK BANCORPORATION INC 0000352510 2006-12-01 director
MONTEREY BAY BANCORP INC 0000930429 2003-07-01 director, 10 percent owner


Items 1 - 80

The information presented below contains only portions of the information presented in the referenced filing or filings.
You should consult the original filing for complete information. Hyperlinks to the forms are provided for your convenience.

Acquistion or Disposition Transaction Date Deemed Execution Date Issuer Form Transaction Type Direct or Indirect Ownership Number of Securities Transacted Number of Securities Owned Line Number Issuer CIK Security Name
D 2016-10-07   GOODRICH PETROLEUM CORP 4 S-Sale --D 13912.0000 0.0000 2 0000943861 10.00% Series E Cumulative Convertible Preferred Stock
D 2016-09-22   GOODRICH PETROLEUM CORP 4 S-Sale --D 316319.0000 323.0000 1 0000943861 Common Stock
A 2015-12-18   Protea Biosciences Group, Inc. 4 A-Award --D 66667.0000 66667.0000 8 0001335103 Director Stock Option (right to buy)
A 2015-12-18   Protea Biosciences Group, Inc. 4 A-Award --D 100000.0000 4841411.0000 6 0001335103 Common Stock
D 2015-12-16   GOODRICH PETROLEUM CORP 4 S-Sale --D 13912.0000 0.0000 2 0000943861 9.75% Series D Cumulative Preferred Stock
A 2015-12-16   GOODRICH PETROLEUM CORP 4 P-Purchase --D 13912.0000 13912.0000 3 0000943861 10.00% Series E Cumulative Convertible Preferred Stock
A 2015-07-08   Protea Biosciences Group, Inc. 4 P-Purchase --D $200000.0000 7 0001335103 10% Convertible Promissory Note
A 2015-07-08   Protea Biosciences Group, Inc. 4 J-Other --D 90910.0000 4741411.0000 5 0001335103 Common Stock
A 2015-06-30   Protea Biosciences Group, Inc. 4 J-Other --D 913945.0000 10493254.0000 4 0001335103 Common Stock
A 2015-06-18   GOODRICH PETROLEUM CORP 4 P-Purchase --D 6912.0000 83912.0000 6 0000943861 Depositary Shares
A 2015-06-17   GOODRICH PETROLEUM CORP 4 P-Purchase --D 7000.0000 77000.0000 5 0000943861 Depositary Shares
A 2015-05-29   GOODRICH PETROLEUM CORP 4 A-Award --I 63636.0000 153242.0000 1 0000943861 Common Stock
A 2015-05-29   GOODRICH PETROLEUM CORP 4/A A-Award --D 63636.0000 70642.0000 1 0000943861 Common Stock
A 2015-04-14   Protea Biosciences Group, Inc. 4 J-Other --I 1712333.0000 14229810.0000 3 0001335103 Common Stock
A 2015-03-31   Protea Biosciences Group, Inc. 4 J-Other --I 142504.0000 12517477.0000 2 0001335103 Common Stock
A 2015-03-31   Protea Biosciences Group, Inc. 4 J-Other --I 5700248.0000 12374973.0000 1 0001335103 Common Stock
A 2014-09-11   Protea Biosciences Group, Inc. 4 P-Purchase --I 174545.0000 11892680.0000 4 0001335103 Warrant
A 2014-09-11   Protea Biosciences Group, Inc. 4 P-Purchase --I 290909.0000 11718135.0000 2 0001335103 Convertible Note
A 2014-09-11   Protea Biosciences Group, Inc. 4 P-Purchase --D 174545.0000 11892680.0000 3 0001335103 Warrant
A 2014-09-11   Protea Biosciences Group, Inc. 4 P-Purchase --D 290909.0000 11718135.0000 1 0001335103 Convertible Note
A 2014-08-14   Protea Biosciences Group, Inc. 4 P-Purchase --D 185455.0000 11427226.0000 3 0001335103 Warrant
A 2014-08-14   Protea Biosciences Group, Inc. 4 P-Purchase --D 309091.0000 11241771.0000 1 0001335103 Convertible Note
A 2014-08-14   Protea Biosciences Group, Inc. 4 P-Purchase --I 185455.0000 11427226.0000 4 0001335103 Warrant
A 2014-08-14   Protea Biosciences Group, Inc. 4 P-Purchase --I 309091.0000 11241771.0000 2 0001335103 Convertible Note
A 2014-07-11   Protea Biosciences Group, Inc. 4 P-Purchase --I 130909.0000 10932680.0000 5 0001335103 Warrant
A 2014-07-11   Protea Biosciences Group, Inc. 4 P-Purchase --I 218182.0000 10801771.0000 3 0001335103 Convertible Note
A 2014-07-11   Protea Biosciences Group, Inc. 4 P-Purchase --D 130909.0000 10932680.0000 4 0001335103 Warrant
A 2014-07-11   Protea Biosciences Group, Inc. 4 P-Purchase --D 218182.0000 10801771.0000 2 0001335103 Convertible Note
A 2014-06-30   Protea Biosciences Group, Inc. 4 P-Purchase --D 363636.0000 10353032.0000 1 0001335103 Convertible Note
A 2014-06-30   Protea Biosciences Group, Inc. 4 P-Purchase --I 218182.0000 10571214.0000 4 0001335103 Warrant
A 2014-06-30   Protea Biosciences Group, Inc. 4 P-Purchase --I 363636.0000 10353032.0000 2 0001335103 Convertible Note
A 2014-06-30   Protea Biosciences Group, Inc. 4 P-Purchase --D 218182.0000 10571214.0000 3 0001335103 Warrant
A 2014-06-20   Protea Biosciences Group, Inc. 4 P-Purchase --D 27273.0000 9989396.0000 3 0001335103 Warrant
A 2014-06-20   Protea Biosciences Group, Inc. 4 P-Purchase --D 45455.0000 9962123.0000 1 0001335103 Convertible Note
A 2014-06-20   Protea Biosciences Group, Inc. 4 P-Purchase --I 27273.0000 9989396.0000 4 0001335103 Warrant
A 2014-06-20   Protea Biosciences Group, Inc. 4 P-Purchase --I 45455.0000 9962123.0000 2 0001335103 Convertible Note
A 2014-06-06   Protea Biosciences Group, Inc. 4 P-Purchase --D 272727.0000 9753031.0000 1 0001335103 Convertible Note
A 2014-06-06   Protea Biosciences Group, Inc. 4 P-Purchase --I 163637.0000 9916668.0000 4 0001335103 Warrant
A 2014-06-06   Protea Biosciences Group, Inc. 4 P-Purchase --I 272727.0000 9753031.0000 2 0001335103 Convertible Note
A 2014-06-06   Protea Biosciences Group, Inc. 4 P-Purchase --D 163637.0000 9916668.0000 3 0001335103 Warrant
A 2014-05-29   Protea Biosciences Group, Inc. 4 P-Purchase --D 190909.0000 9480304.0000 3 0001335103 Warrant
A 2014-05-29   Protea Biosciences Group, Inc. 4 P-Purchase --D 318182.0000 9289395.0000 1 0001335103 Convertible Note
A 2014-05-29   Protea Biosciences Group, Inc. 4 P-Purchase --I 190909.0000 9480304.0000 4 0001335103 Warrant
A 2014-05-29   Protea Biosciences Group, Inc. 4 P-Purchase --I 318182.0000 9289395.0000 2 0001335103 Convertible Note
A 2014-05-20   GOODRICH PETROLEUM CORP 4 A-Award --I 7006.0000 89606.0000 1 0000943861 Common Stock
A 2014-05-15   Protea Biosciences Group, Inc. 4 P-Purchase --D 90909.0000 8916667.0000 1 0001335103 Convertible Note
A 2014-05-15   Protea Biosciences Group, Inc. 4 P-Purchase --I 54546.0000 8971213.0000 4 0001335103 Warrant
A 2014-05-15   Protea Biosciences Group, Inc. 4 P-Purchase --I 90909.0000 8916667.0000 2 0001335103 Convertible Note
A 2014-05-15   Protea Biosciences Group, Inc. 4 P-Purchase --D 54546.0000 8971213.0000 3 0001335103 Warrant
A 2014-05-09   Protea Biosciences Group, Inc. 4 P-Purchase --D 109091.0000 8825758.0000 8 0001335103 Warrant
A 2014-05-09   Protea Biosciences Group, Inc. 4 P-Purchase --D 181818.0000 8716667.0000 6 0001335103 Convertible Note
A 2014-05-09   Protea Biosciences Group, Inc. 4 P-Purchase --I 109091.0000 8825758.0000 9 0001335103 Warrant
A 2014-05-09   Protea Biosciences Group, Inc. 4 P-Purchase --I 181818.0000 8716667.0000 7 0001335103 Convertible Note
A 2014-05-06   Protea Biosciences Group, Inc. 4 P-Purchase --D 90909.0000 8480303.0000 2 0001335103 Convertible Note
A 2014-05-06   Protea Biosciences Group, Inc. 4 P-Purchase --I 54546.0000 8534849.0000 5 0001335103 Warrant
A 2014-05-06   Protea Biosciences Group, Inc. 4 P-Purchase --I 90909.0000 8480303.0000 3 0001335103 Convertible Note
A 2014-05-06   Protea Biosciences Group, Inc. 4 P-Purchase --D 54546.0000 8534849.0000 4 0001335103 Warrant
A 2014-04-02   Protea Biosciences Group, Inc. 4 P-Purchase --D 318182.0000 8186110.0000 1 0001335103 Convertible Note
A 2014-04-02   Protea Biosciences Group, Inc. 4 P-Purchase --I 190909.0000 8377019.0000 4 0001335103 Warrant
A 2014-04-02   Protea Biosciences Group, Inc. 4 P-Purchase --I 318182.0000 8186110.0000 2 0001335103 Convertible Note
A 2014-04-02   Protea Biosciences Group, Inc. 4 P-Purchase --D 190909.0000 8377019.0000 3 0001335103 Warrant
D 2013-12-30   Protea Biosciences Group, Inc. 5 C-Conversion -LI 254584.0000 7809970.0000 36 0001335103 Convertible Note
D 2013-12-30   Protea Biosciences Group, Inc. 4 C-Conversion --D 254584.0000 7809970.0000 35 0001335103 Convertible Note
A 2013-12-30   Protea Biosciences Group, Inc. 5 P-Purchase -LD 254584.0000 7932678.0000 31 0001335103 Warrant
A 2013-12-30   Protea Biosciences Group, Inc. 4 P-Purchase --D 254584.0000 6674725.0000 9 0001335103 Common Stock
A 2013-12-30   Protea Biosciences Group, Inc. 5 P-Purchase -LI 127292.0000 8059970.0000 34 0001335103 Warrant
A 2013-12-30   Protea Biosciences Group, Inc. 4 P-Purchase --D 127292.0000 8059970.0000 33 0001335103 Warrant
A 2013-12-30   Protea Biosciences Group, Inc. 5 P-Purchase -LI 254584.0000 6674725.0000 10 0001335103 Common Stock
D 2013-12-30   Protea Biosciences Group, Inc. 4 C-Conversion --I 254584.0000 7809970.0000 36 0001335103 Convertible Note
A 2013-12-30   Protea Biosciences Group, Inc. 5 P-Purchase -LI 254584.0000 7932678.0000 32 0001335103 Warrant
A 2013-12-30   Protea Biosciences Group, Inc. 4 P-Purchase --D 254584.0000 7932678.0000 31 0001335103 Warrant
A 2013-12-30   Protea Biosciences Group, Inc. 4 P-Purchase --I 254584.0000 6674725.0000 10 0001335103 Common Stock
D 2013-12-30   Protea Biosciences Group, Inc. 5 C-Conversion -LD 254584.0000 7809970.0000 35 0001335103 Convertible Note
A 2013-12-30   Protea Biosciences Group, Inc. 4 P-Purchase --I 127292.0000 8059970.0000 34 0001335103 Warrant
A 2013-12-30   Protea Biosciences Group, Inc. 5 P-Purchase -LD 127292.0000 8059970.0000 33 0001335103 Warrant
A 2013-12-30   Protea Biosciences Group, Inc. 4 P-Purchase --I 254584.0000 7932678.0000 32 0001335103 Warrant
A 2013-12-30   Protea Biosciences Group, Inc. 5 P-Purchase -LD 254584.0000 6674725.0000 9 0001335103 Common Stock
D 2013-11-05   NOVOGEN LTD 4 S-Sale --I 23922.0000 385749.0000 2 0001075880 Sponsored ADRs, each convertible into 25 ordinary shares
D 2013-11-04   NOVOGEN LTD 4 S-Sale --I 25400.0000 409671.0000 1 0001075880 Sponsored ADRs, each convertible into 25 ordinary shares
A 2013-11-01   Protea Biosciences Group, Inc. 5 P-Purchase -LI 1026111.0000 5296663.0000 20 0001335103 Warrant

http://www.sec.gov/cgi-bin/own-disp


Modified: 04/22/2016