Last 12 months
Inside the activity.
8 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 6 | 0 |
| Apr 2026 | 2 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 01, 2021 Filed Nov 1, 2021 18:46 UTC |
TATUM KAY WDirector
|
OtherCommon stock | 47 | $5.68 | $266.86 |
DisclosureSEC source: 0001398344-21-020730 · fp0069654_4.xml · nonDerivative · entry 1 TATUM KAY W · CIK 0001416189 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,063 F1 · kind: On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Dr. K. Tatum received 57 shares of common stock of the Fund in the September 2021 Distribution. Read SEC document |
| October 01, 2021 Filed Nov 1, 2021 19:01 UTC |
LIEFF ANN SDirector
|
OtherCommon stock | 546 | $5.68 | $3,100.08 |
DisclosureSEC source: 0001398344-21-020735 · fp0069656_4.xml · nonDerivative · entry 1 LIEFF ANN S · CIK 0000901690 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,274 F1 · kind: On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Ms. A Lieff received 546 shares of common stock of the Fund with the September 2021 Distribution. Read SEC document |
| September 30, 2021 Filed Oct 15, 2021 12:45 UTC |
HERZFELD THOMAS JDirector
|
OtherCommon stock | 15,680 | $5.68 | $89,027.90 |
DisclosureSEC source: 0001398344-21-019980 · fp0069660_4.xml · nonDerivative · entry 1 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 558,578 F1 · kind: On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Mr. T. Herzfeld received 19,427 shares of common stock of the Fund in the September 2021 Distribution. F2 · balance_after: Includes 8,582 shares issued in two transactions as part of the dividend reinvestment plan on March 31, 2021 and June 30, 2021. Read SEC document |
| September 30, 2021 Filed Oct 15, 2021 12:38 UTC |
Paylor Ryan MPortfolio Manager
|
OtherCommon stock | 181 | $5.68 | $1,027.68 |
DisclosureSEC source: 0001398344-21-019976 · fp0069657_4.xml · nonDerivative · entry 1 Paylor Ryan M · CIK 0001767956 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,063 F1 · kind: On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Mr. R. Paylor received 181 shares of common stock of the Fund in the September 2021 Distribution. Read SEC document |
| September 30, 2021 Filed Nov 1, 2021 18:51 UTC |
Gelety John ADirector
|
OtherCommon stock | 101 | $5.68 | $573.46 |
DisclosureSEC source: 0001398344-21-020732 · fp0069655_4.xml · nonDerivative · entry 1 Gelety John A · CIK 0001560467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,269 F1 · kind: On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Mr. J. Gelety received 101 shares of common stock of the Fund in the September 2021 Distribution. Read SEC document |
| July 08, 2021 Filed Jul 12, 2021 20:07 UTC |
Paylor Ryan MPortfolio Manager
|
PurchaseCommon Stock | 1,970 | $6.14 | $12,095.80 |
DisclosureSEC source: 0001398344-21-014299 · fp0067137_4.xml · nonDerivative · entry 1 Paylor Ryan M · CIK 0001767956 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,882 F1 · balance_after: Reflects dividend reinvestments Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 17:15 UTC |
HERZFELD THOMAS JDirector
|
SaleCommon stock | 45,769 | $6.80 | $311,036.97 |
DisclosureSEC source: 0001398344-21-006421 · fp0063520_4.xml · nonDerivative · entry 1 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 534,316 F1 · balance_after: Reflects correction of previously reported amount not to include shares held by an immediate family member not living in reporting person's household F2 · balance_after: Reflects dividend reinvestments Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 17:22 UTC |
Herzfeld Erik MervinPresident
|
SaleCommon stock | 3,765 | $6.80 | $25,586.19 |
DisclosureSEC source: 0001398344-21-006423 · fp0063519_4.xml · nonDerivative · entry 1 Herzfeld Erik Mervin · CIK 0001413260 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,854 Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 17:06 UTC |
Paylor Ryan MPortfolio Manager
|
SaleCommon stock | 266 | $6.80 | $1,807.68 |
DisclosureSEC source: 0001398344-21-006419 · fp0063522.xml · nonDerivative · entry 1 Paylor Ryan M · CIK 0001767956 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,866 F1 · balance_after: Reflects dividend reinvestments Read SEC document |
| April 17, 2020 Filed Apr 21, 2020 18:33 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 1,589 | $3.55 | $5,640.95 |
DisclosureSEC source: 0001504304-20-000034 · primary_doc.xml · nonDerivative · entry 5 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,931 Read SEC document |
| April 09, 2020 Filed Apr 21, 2020 18:33 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 5,177 | $3.65 | $18,889.32 |
DisclosureSEC source: 0001504304-20-000034 · primary_doc.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,520 Read SEC document |
| April 08, 2020 Filed Apr 21, 2020 18:33 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 5,000 | $3.50 | $17,500.00 |
DisclosureSEC source: 0001504304-20-000034 · primary_doc.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,697 Read SEC document |
| April 07, 2020 Filed Apr 21, 2020 18:33 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 25,000 | $3.36 | $83,960.00 |
DisclosureSEC source: 0001504304-20-000034 · primary_doc.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,697 Read SEC document |
| April 06, 2020 Filed Apr 21, 2020 18:33 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 18,714 | $3.14 | $58,692.72 |
DisclosureSEC source: 0001504304-20-000034 · primary_doc.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,697 Read SEC document |
| April 01, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 11,700 | $3.44 | $40,250.34 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 14 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 259,411 Read SEC document |
| March 31, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
PurchaseCommon Stock | 5,365 | $3.55 | $19,045.75 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 13 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,111 Read SEC document |
| March 30, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 2,316 | $3.50 | $8,106.00 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 12 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,476 Read SEC document |
| March 27, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 410 | $3.46 | $1,419.99 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 11 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,792 Read SEC document |
| March 26, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 12,645 | $3.56 | $44,993.44 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 10 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,202 Read SEC document |
| March 25, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 30,002 | $3.32 | $99,507.63 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 9 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,847 Read SEC document |
| March 24, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 35,000 | $3.01 | $105,350.00 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 8 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,849 Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 20:22 UTC |
HERZFELD THOMAS JDirector
|
PurchaseCommon Stock | 4,153 | $2.58 | $10,700.62 |
DisclosureSEC source: 0001398344-20-006697 · fp0052181_4.xml · nonDerivative · entry 1 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550,609 Read SEC document |
| March 20, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 5,000 | $3.00 | $15,000.00 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 7 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,849 Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 20:16 UTC |
GONDOR CECILIA LDirector
|
PurchaseCommon Stock | 3,000 | $2.75 | $8,250.00 |
DisclosureSEC source: 0001398344-20-006441 · fp0052036_4.xml · nonDerivative · entry 1 GONDOR CECILIA L · CIK 0001312266 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,825 Read SEC document |
| March 19, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 5,000 | $2.82 | $14,100.00 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 6 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 361,849 Read SEC document |
| March 19, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 10,000 | $2.85 | $28,500.00 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 5 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 366,849 Read SEC document |
| March 19, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 10,000 | $2.80 | $28,000.00 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,849 Read SEC document |
| March 19, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 5,000 | $2.80 | $14,005.00 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,849 Read SEC document |
| March 18, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 608 | $3.25 | $1,976.00 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391,849 Read SEC document |
| March 17, 2020 Filed Apr 6, 2020 14:27 UTC |
GOLDSTEIN PHILLIP10% owner
|
SaleCommon Stock | 3,630 | $3.63 | $13,176.90 |
DisclosureSEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,457 Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 20:04 UTC |
HERZFELD THOMAS JDirector
|
PurchaseCommon Stock | 12,658 | $3.95 | $49,999.10 |
DisclosureSEC source: 0001398344-20-006062 · fp0051866_4.xml · nonDerivative · entry 4 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 546,456 Read SEC document |
| March 16, 2020 Filed Mar 12, 2021 17:02 UTC Amendment |
HERZFELD THOMAS JDirector
|
PurchaseCommon stock | 12,658 | $3.95 | $49,999.10 |
DisclosureSEC source: 0001398344-21-006417 · fp0063521_4a.xml · nonDerivative · entry 6 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 549,390 Read SEC document |
| March 13, 2020 Filed Mar 13, 2020 20:16 UTC |
Herzfeld Erik MervinPresident
|
PurchaseCommon Stock | 4,000 | $4.08 | $16,322.40 |
DisclosureSEC source: 0001398344-20-005994 · fp0051820_4.xml · nonDerivative · entry 4 Herzfeld Erik Mervin · CIK 0001413260 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,619 Read SEC document |
| March 13, 2020 Filed Mar 16, 2020 20:04 UTC |
HERZFELD THOMAS JDirector
|
PurchaseCommon Stock | 14,000 | $4.08 | $57,128.40 |
DisclosureSEC source: 0001398344-20-006062 · fp0051866_4.xml · nonDerivative · entry 3 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 533,798 Read SEC document |
| March 13, 2020 Filed Mar 12, 2021 17:02 UTC Amendment |
HERZFELD THOMAS JDirector
|
PurchaseCommon stock | 14,000 | $4.08 | $57,128.40 |
DisclosureSEC source: 0001398344-21-006417 · fp0063521_4a.xml · nonDerivative · entry 5 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 536,732 Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 20:16 UTC |
Herzfeld Erik MervinPresident
|
PurchaseCommon Stock | 6,205 | $4.05 | $25,120.32 |
DisclosureSEC source: 0001398344-20-005994 · fp0051820_4.xml · nonDerivative · entry 3 Herzfeld Erik Mervin · CIK 0001413260 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,619 Read SEC document |
| March 11, 2020 Filed Mar 13, 2020 20:16 UTC |
Herzfeld Erik MervinPresident
|
PurchaseCommon Stock | 20,000 | $4.63 | $92,596.00 |
DisclosureSEC source: 0001398344-20-005994 · fp0051820_4.xml · nonDerivative · entry 2 Herzfeld Erik Mervin · CIK 0001413260 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,414 Read SEC document |
| January 02, 2020 Filed Mar 13, 2020 20:16 UTC |
Herzfeld Erik MervinPresident
|
OtherCommon Stock | 7,379 | $7.10 | $52,378.36 |
DisclosureSEC source: 0001398344-20-005994 · fp0051820_4.xml · nonDerivative · entry 1 Herzfeld Erik Mervin · CIK 0001413260 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,414 F1 · kind: Dividend Reinvestment Read SEC document |
| December 31, 2019 Filed Mar 16, 2020 20:04 UTC |
HERZFELD THOMAS JDirector
|
OtherCommon Stock | 5,550 | $6.82 | $37,867.65 |
DisclosureSEC source: 0001398344-20-006062 · fp0051866_4.xml · nonDerivative · entry 2 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 519,798 F1 · kind: Dividend Reinvestment Read SEC document |
| December 31, 2019 Filed Mar 12, 2021 17:02 UTC Amendment |
HERZFELD THOMAS JDirector
|
OtherCommon stock | 5,550 | $5.82 | $32,317.65 |
DisclosureSEC source: 0001398344-21-006417 · fp0063521_4a.xml · nonDerivative · entry 4 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 522,732 Read SEC document |
| December 31, 2019 Filed Mar 12, 2021 17:02 UTC Amendment |
HERZFELD THOMAS JDirector
|
OtherCommon stock | 1,477 | $6.69 | $9,886.00 |
DisclosureSEC source: 0001398344-21-006417 · fp0063521_4a.xml · nonDerivative · entry 2 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511,452 F1 · shares: Previously unreported dividend reinvestments Read SEC document |
| October 07, 2019 Filed Mar 16, 2020 20:04 UTC |
HERZFELD THOMAS JDirector
|
OtherCommon Stock | 5,730 | $6.35 | $36,402.69 |
DisclosureSEC source: 0001398344-20-006062 · fp0051866_4.xml · nonDerivative · entry 1 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 514,248 F1 · kind: Dividend Reinvestment Read SEC document |
| October 07, 2019 Filed Mar 12, 2021 17:02 UTC Amendment |
HERZFELD THOMAS JDirector
|
OtherCommon stock | 5,730 | $6.35 | $36,402.69 |
DisclosureSEC source: 0001398344-21-006417 · fp0063521_4a.xml · nonDerivative · entry 3 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517,182 Read SEC document |
| September 30, 2019 Filed Mar 12, 2021 17:02 UTC Amendment |
HERZFELD THOMAS JDirector
|
OtherCommon stock | 1,457 | $6.50 | $9,471.08 |
DisclosureSEC source: 0001398344-21-006417 · fp0063521_4a.xml · nonDerivative · entry 1 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 509,975 F1 · shares: Previously unreported dividend reinvestments Read SEC document |
| August 27, 2019 Filed Aug 29, 2019 17:55 UTC |
GOLDSTEIN PHILLIP10% owner
|
OtherCommon Stock | 4,200 | $6.15 | $25,830.00 |
DisclosureSEC source: 0001398344-19-015568 · fp0045459_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 396,087 Read SEC document |
| August 26, 2019 Filed Aug 29, 2019 17:55 UTC |
GOLDSTEIN PHILLIP10% owner
|
OtherCommon Stock | 800 | $6.15 | $4,920.00 |
DisclosureSEC source: 0001398344-19-015568 · fp0045459_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391,887 Read SEC document |
| June 07, 2019 Filed Jun 10, 2019 20:08 UTC |
GONDOR CECILIA LDirector
|
PurchaseCommon Stock | 1,000 | $6.19 | $6,190.00 |
DisclosureSEC source: 0001398344-19-010390 · fp0043128_4.xml · nonDerivative · entry 2 GONDOR CECILIA L · CIK 0001312266 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,825 Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 20:08 UTC |
GONDOR CECILIA LDirector
|
PurchaseCommon Stock | 25 | $6.18 | $154.50 |
DisclosureSEC source: 0001398344-19-010390 · fp0043128_4.xml · nonDerivative · entry 1 GONDOR CECILIA L · CIK 0001312266 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,825 Read SEC document |
| January 03, 2019 Filed Jan 4, 2019 21:06 UTC |
HERZFELD THOMAS JDirector
|
PurchaseCommon Stock | 10,400 | $4.99 | $51,896.00 |
DisclosureSEC source: 0001398344-19-000222 · fp0038284_4.xml · nonDerivative · entry 4 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 508,518 Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:06 UTC |
HERZFELD THOMAS JDirector
|
PurchaseCommon Stock | 5,600 | $4.97 | $27,833.68 |
DisclosureSEC source: 0001398344-19-000222 · fp0038284_4.xml · nonDerivative · entry 3 HERZFELD THOMAS J · CIK 0001310710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 498,118 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.