Investor Trafelet Brokaw Capital Management, L.p.
13D/G Filings

This page shows a list of all the recent 13D/G filings made by Trafelet Brokaw Capital Management, L.p. . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

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Date Form Target Prev
Shares		 Current
Shares		 Change
(Percent)		 Ownership
(Percent)		 Change
(Percent)
2017-02-13 13G AAOI / Applied Optoelectronics, Inc. 975,727 975,727
2017-02-11 13G AAOI / Applied Optoelectronics, Inc. 975,727
2014-07-21 13D/A XELB / Xcel Brands, Inc. 0
2014-02-14 13G/A PGRX / Prospect Global Resources Inc. 0
2014-02-14 13G/A / CHRISTOPHER & BANKS CORP 836,793
2013-07-01 13D/A XELB / Xcel Brands, Inc. 2,059,525
2013-06-13 13D XELB / Xcel Brands, Inc. 2,059,525
2013-06-05 13G/A XELB / Xcel Brands, Inc. 666,667
2013-02-14 13G/A HMST / HomeStreet, Inc. 719,916
2013-02-14 13G/A / CHRISTOPHER & BANKS CORP 2,589,917
2013-01-17 13G PGRX / Prospect Global Resources Inc. 3,676,471
2012-10-18 13G / CHRISTOPHER & BANKS CORP 1,905,329
2012-05-18 13G XELB / Xcel Brands, Inc. 666,667
2012-05-10 13G HMST / HomeStreet, Inc. 401,688
2012-02-14 13G/A 0
2012-02-14 13G/A MHRC / Magnum Hunter Resources Corp. 3,215,746