Last 12 months
Inside the activity.
0 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 | 0 | 0 |
| Apr 2026 | 0 | 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 |
|---|---|---|---|---|---|---|
| August 28, 2026 Filed Sep 1, 2026 16:40 UTC |
BANK OF AMERICA CORP /DE/10% owner
BANK OF AMERICA NA10% owner
|
OtherMandatory Redeemable Preferred Shares, Series D | 100 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000070858-26-000460 · primary_doc.xml · nonDerivative · entry 1 BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner BANK OF AMERICA NA · CIK 0001102113 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 500 F1 · kind: The 100 Mandatory Redeemable Preferred Shares, Series D reported as acquired in Table I represent preferred shares (the "MRPS Shares") beneficially owned by Bank of America NA ("BANA") that were acquired from Neuberger High Yield Strategies Fund (the "Issuer") at a price of $100,000 per share. Prior to this filing, BANA beneficially owned 400 MRPS Shares. BANA is a wholly owned subsidiary of Bank of America Corporation. F2 · kind: This statement is jointly filed by Bank of America Corporation ("BAC") and BANA. BAC holds an indirect interest in the securities listed in Table I by virtue of its 100% ownership of its subsidiary BANA. F1 · shares: The 100 Mandatory Redeemable Preferred Shares, Series D reported as acquired in Table I represent preferred shares (the "MRPS Shares") beneficially owned by Bank of America NA ("BANA") that were acquired from Neuberger High Yield Strategies Fund (the "Issuer") at a price of $100,000 per share. Prior to this filing, BANA beneficially owned 400 MRPS Shares. BANA is a wholly owned subsidiary of Bank of America Corporation. F1 · price: The 100 Mandatory Redeemable Preferred Shares, Series D reported as acquired in Table I represent preferred shares (the "MRPS Shares") beneficially owned by Bank of America NA ("BANA") that were acquired from Neuberger High Yield Strategies Fund (the "Issuer") at a price of $100,000 per share. Prior to this filing, BANA beneficially owned 400 MRPS Shares. BANA is a wholly owned subsidiary of Bank of America Corporation. F2 · ownership.nature: This statement is jointly filed by Bank of America Corporation ("BAC") and BANA. BAC holds an indirect interest in the securities listed in Table I by virtue of its 100% ownership of its subsidiary BANA. F3 · ownership.nature: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. Read SEC document |
| April 15, 2026 Filed Apr 24, 2026 23:40 UTC |
Lind JosephPortfolio Manager
|
OtherTransferable Subscription Rights with Oversubscription Priv · Derivative | 12,833 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-26-000280 · form4.xml · derivative · entry 2 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,833 shares Expires 2026-04-15 F1 · derivative.exercise_price: Neuberger High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on March 23, 2026 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F2 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on April 15, 2026. On April 23, 2026, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. Shares reported include shares acquired through the Oversubscription Privilege. F3 · derivative.exercise_price: The final subscription price of $6.50 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · price: Neuberger High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on March 23, 2026 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F2 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on April 15, 2026. On April 23, 2026, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. Shares reported include shares acquired through the Oversubscription Privilege. F3 · price: The final subscription price of $6.50 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Read SEC document |
| April 15, 2026 Filed Apr 24, 2026 23:40 UTC |
Lind JosephPortfolio Manager
|
OtherCommon Stock | 12,833 | $6.50 | $83,414.50 |
DisclosureSEC source: 0000898432-26-000280 · form4.xml · nonDerivative · entry 1 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,333 Read SEC document |
| April 15, 2026 Filed Apr 27, 2026 22:48 UTC |
Kocinski ChrisPortfolio Manager
|
OtherTransferable Subscription Rights · Derivative | 21,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-26-000297 · form4.xml · derivative · entry 2 Kocinski Chris · CIK 0001776623 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2026-04-15 F1 · derivative.exercise_price: Neuberger High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on March 23, 2026 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F2 · derivative.exercise_price: The subscription period commenced on the Record Date and expired on April 15, 2026. The final subscription price of $6.50 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Fractional shares of Common Stock will not be issued. F1 · price: Neuberger High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on March 23, 2026 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F2 · price: The subscription period commenced on the Record Date and expired on April 15, 2026. The final subscription price of $6.50 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Fractional shares of Common Stock will not be issued. Read SEC document |
| April 15, 2026 Filed Apr 27, 2026 22:48 UTC |
Kocinski ChrisPortfolio Manager
|
OtherCommon Stock | 7,000 | $6.50 | $45,500.00 |
DisclosureSEC source: 0000898432-26-000297 · form4.xml · nonDerivative · entry 1 Kocinski Chris · CIK 0001776623 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,000 Read SEC document |
| July 17, 2025 Filed Jul 21, 2025 18:37 UTC |
Kocinski ChrisPortfolio Manager
|
PurchaseCommon Stock | 6,000 | $7.40 | $44,397.00 |
DisclosureSEC source: 0000898432-25-000495 · form4.xml · nonDerivative · entry 1 Kocinski Chris · CIK 0001776623 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,000 F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $7.395 to $7.41. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| May 29, 2025 Filed May 30, 2025 23:15 UTC |
Kocinski ChrisPortfolio Manager
|
PurchaseCommon Stock | 15,000 | $7.44 | $111,604.50 |
DisclosureSEC source: 0000898432-25-000417 · form4.xml · nonDerivative · entry 1 Kocinski Chris · CIK 0001776623 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $7.425 to $7.445. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| September 18, 2023 Filed Sep 20, 2023 20:18 UTC |
MetLife Investment Management, LLC10% owner
|
OtherSeries C Mandatory Redeemable Preferred Shares | 1,344,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 7 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F2 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F2 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document |
| September 18, 2023 Filed Sep 20, 2023 20:18 UTC |
MetLife Investment Management, LLC10% owner
|
OtherSeries C Mandatory Redeemable Preferred Shares | 768,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 6 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F2 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F2 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document |
| September 18, 2023 Filed Sep 20, 2023 20:18 UTC |
MetLife Investment Management, LLC10% owner
|
OtherSeries C Mandatory Redeemable Preferred Shares | 3,968,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 5 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F2 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F2 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document |
| September 18, 2023 Filed Sep 20, 2023 20:18 UTC |
MetLife Investment Management, LLC10% owner
|
OtherFloating Rate Senior Note, Series B Note, Due Sep. 18, 2023 | 26,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 4 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F1 · price: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document |
| September 18, 2023 Filed Sep 20, 2023 20:18 UTC |
MetLife Investment Management, LLC10% owner
|
OtherFloating Rate Senior Note, Series A Note, Due Sep. 18, 2023 | 8,583,032 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 3 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F1 · price: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document |
| September 18, 2023 Filed Sep 20, 2023 20:18 UTC |
MetLife Investment Management, LLC10% owner
|
OtherFloating Rate Senior Note, Series A Note, Due Sep. 18, 2023 | 5,726,934 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F1 · price: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document |
| September 18, 2023 Filed Sep 20, 2023 20:18 UTC |
MetLife Investment Management, LLC10% owner
|
OtherFloating Rate Senior Note, Series A Note, Due Sep. 18, 2023 | 5,190,034 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F1 · price: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 01:48 UTC |
Lind JosephPortfolio Manager
|
OtherOversubscription Privilege (contingent right to buy) · Derivative | 5,833 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-033195 · form4.xml · derivative · entry 2 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,833 shares Expires 2023-06-21 F1 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F1 · date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · date: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · date: The reporting person purchased 6,667 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 5,833 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · price: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · price: The reporting person purchased 6,667 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 5,833 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · derivative.expiration_date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · derivative.expiration_date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 01:48 UTC |
Lind JosephPortfolio Manager
|
OtherCommon Stock | 5,833 | $7.42 | $43,280.86 |
DisclosureSEC source: 0001140361-23-033195 · form4.xml · nonDerivative · entry 1 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,500 F1 · date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · date: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · date: The reporting person purchased 6,667 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 5,833 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 01:47 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherOversubscription Privilege (contingent right to buy) · Derivative | 6,028 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-033194 · form4.xml · derivative · entry 6 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Indirect · By Brad C Tank 1999 Trust Disclosed balance after: 0 Underlying: Common Stock · 6,028 shares Expires 2023-06-21 F1 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F1 · date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · date: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · date: The reporting person purchased 59,824 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 119,648 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · price: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · price: The reporting person purchased 59,824 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 119,648 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · derivative.expiration_date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · derivative.expiration_date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 01:47 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherOversubscription Privilege (contingent right to buy) · Derivative | 46,148 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-033194 · form4.xml · derivative · entry 5 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Indirect · By Indian Hill II LLC Disclosed balance after: 0 Underlying: Common Stock · 46,148 shares Expires 2023-06-21 F1 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F1 · date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · date: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · date: The reporting person purchased 59,824 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 119,648 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · price: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · price: The reporting person purchased 59,824 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 119,648 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · derivative.expiration_date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · derivative.expiration_date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 01:47 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherOversubscription Privilege (contingent right to buy) · Derivative | 67,472 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-033194 · form4.xml · derivative · entry 4 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 67,472 shares Expires 2023-06-21 F1 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F1 · date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · date: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · date: The reporting person purchased 59,824 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 119,648 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · price: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · price: The reporting person purchased 59,824 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 119,648 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · derivative.expiration_date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · derivative.expiration_date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 01:47 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherCommon Stock | 6,028 | $7.42 | $44,727.76 |
DisclosureSEC source: 0001140361-23-033194 · form4.xml · nonDerivative · entry 3 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Indirect · By Brad C Tank 1999 Trust Disclosed balance after: 18,082 F1 · date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · date: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · date: The reporting person purchased 59,824 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 119,648 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 01:47 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherCommon Stock | 46,148 | $7.42 | $342,418.16 |
DisclosureSEC source: 0001140361-23-033194 · form4.xml · nonDerivative · entry 2 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Indirect · By Indian Hill II LLC Disclosed balance after: 138,443 F1 · date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · date: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · date: The reporting person purchased 59,824 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 119,648 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 01:47 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherCommon Stock | 67,472 | $7.42 | $500,642.24 |
DisclosureSEC source: 0001140361-23-033194 · form4.xml · nonDerivative · entry 1 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 202,412 F1 · date: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") recently completed a pro rata offering (the "Rights Offering") of transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date Stockholder") entitling the holders of such Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). Record Date Stockholders received one Right for each outstanding whole share of Common Stock held on the record date. The Rights entitled their holders to purchase one new share of Common Stock for every three Rights held at a discount to the market price of the Common Stock. The subscription price per share of Common Stock was $7.42 (the "basic subscription privilege"). F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on May 23, 2023 and expired on June 21, 2023. F3 · date: Following the conclusion of the Rights Offering, the shares of Common Stock that were not subscribed for by the holders of Rights in the basic subscription privilege were allocated pro rata among Rights holders that exercised their Over-Subscription Privilege based on the number of shares of Common Stock each of those Rights holders owned on the record date and subject to the amount of shares of Common Stock such holder subscribed for. F4 · date: The reporting person purchased 59,824 shares of Common Stock from the exercise of his rights in the basic subscription privilege (previously reported in a Form 4 filed on June 23, 2023), plus an additional 119,648 shares of Common Stock pursuant to the Over-Subscription Privilege associated with the reporting person's subscription rights on the basis of the Fund's allocation of shares of Common Stock after the close of the subscription period. On July 3, 2023, the third-party subscription agent for the Rights Offering determined the allocations to be made to the Record Date Stockholders who exercised their Over-Subscription Privilege. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:20 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 9,040 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-23-000407 · form4.xml · derivative · entry 6 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Indirect · By Brad C Tank 1999 Trust Disclosed balance after: 0 Underlying: Common Stock · 3,014 shares Expires 2023-06-21 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · security: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · derivative.exercise_price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:20 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 69,221 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-23-000407 · form4.xml · derivative · entry 5 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Indirect · By Indian Hill II LLC Disclosed balance after: 0 Underlying: Common Stock · 23,074 shares Expires 2023-06-21 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · security: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · derivative.exercise_price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:20 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 101,204 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-23-000407 · form4.xml · derivative · entry 4 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,736 shares Expires 2023-06-21 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · security: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · derivative.exercise_price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:20 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherCommon Stock | 3,014 | $7.42 | $22,363.88 |
DisclosureSEC source: 0000898432-23-000407 · form4.xml · nonDerivative · entry 3 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Indirect · By Brad C Tank 1999 Trust Disclosed balance after: 12,054 F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:20 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherCommon Stock | 23,074 | $7.42 | $171,209.08 |
DisclosureSEC source: 0000898432-23-000407 · form4.xml · nonDerivative · entry 2 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Indirect · By Indian Hill II LLC Disclosed balance after: 92,295 F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:20 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherCommon Stock | 33,736 | $7.42 | $250,321.12 |
DisclosureSEC source: 0000898432-23-000407 · form4.xml · nonDerivative · entry 1 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,940 Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:19 UTC |
MORRISS GEORGE WDirector
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 10,267 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-23-000406 · form4.xml · derivative · entry 2 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,422 shares Expires 2023-06-21 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · security: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · derivative.exercise_price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:19 UTC |
MORRISS GEORGE WDirector
|
OtherCommon Stock | 3,422 | $7.42 | $25,391.24 |
DisclosureSEC source: 0000898432-23-000406 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,689 F1 · balance_after: Includes shares acquired over time under a distribution reinvestment plan. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:19 UTC |
Lind JosephPortfolio Manager
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 20,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-23-000405 · form4.xml · derivative · entry 2 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,667 shares Expires 2023-06-21 F1 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F2 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F3 · security: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F2 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F3 · derivative.exercise_price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F2 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege, subject to the pro rata allocation of available shares of Common Stock. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F3 · price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:19 UTC |
Lind JosephPortfolio Manager
|
OtherCommon Stock | 6,667 | $7.42 | $49,469.14 |
DisclosureSEC source: 0000898432-23-000405 · form4.xml · nonDerivative · entry 1 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,667 Read SEC document |
| June 07, 2022 Filed Jun 9, 2022 01:49 UTC |
Lind JosephPortfolio Manager
|
PurchaseCommon Stock | 5,000 | $9.14 | $45,714.50 |
DisclosureSEC source: 0000898432-22-000385 · form4.xml · nonDerivative · entry 2 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F3 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $9.13 to $9.15. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| June 06, 2022 Filed Jun 9, 2022 01:49 UTC |
Lind JosephPortfolio Manager
|
PurchaseCommon Stock | 5,000 | $9.25 | $46,237.50 |
DisclosureSEC source: 0000898432-22-000385 · form4.xml · nonDerivative · entry 1 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $9.22 to $9.29. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F2 · balance_after: On May 19, 2022, the Reporting Person filed a Form 4 reporting an acquisition of 5,000 shares of common stock that did not in fact occur due to administrative error. As of May 19, 2022, the Reporting Person owned only 10,000 shares of common stock. Following the transaction on June 6, 2022 reported in this Form 4, the Reporting Person owned 15,000 shares of common stock. Read SEC document |
| June 03, 2022 Filed Jun 7, 2022 20:19 UTC |
MetLife Investment Management, LLC10% owner
|
PurchaseFloating Rate Senior Note, Series B Note, Due Sep. 18, 2023 | 26,500,000 | $26,500,000.00 | $702,250,000,000,000.00 |
DisclosureSEC source: 0001567619-22-012442 · doc1.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: Not disclosed F1 · price: This price reflects the aggregate principal amount of the Floating Rate Senior Note, Series B Note, due September 18, 2023 (the "Notes") purchased. F2 · ownership.direct: These Notes are held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F2 · ownership.nature: These Notes are held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:58 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 6,780 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-22-000345 · form4.xml · derivative · entry 6 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: Not disclosed Ownership: Indirect · By Brad C Tank 1999 Trust Disclosed balance after: 0 Underlying: Common Stock · 2,260 shares Expires 2022-05-17 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. Record Date Stockholders were entitled to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · security: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. Record Date Stockholders were entitled to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · derivative.exercise_price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. Record Date Stockholders were entitled to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:58 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 51,916 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-22-000345 · form4.xml · derivative · entry 5 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: Not disclosed Ownership: Indirect · By Indian Hill II LLC Disclosed balance after: 0 Underlying: Common Stock · 17,305 shares Expires 2022-05-17 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. Record Date Stockholders were entitled to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · security: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. Record Date Stockholders were entitled to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · derivative.exercise_price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. Record Date Stockholders were entitled to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:58 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 75,903 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-22-000345 · form4.xml · derivative · entry 4 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,301 shares Expires 2022-05-17 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. Record Date Stockholders were entitled to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · security: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. Record Date Stockholders were entitled to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · derivative.exercise_price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. Record Date Stockholders were entitled to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:58 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherCommon Stock | 2,260 | $8.60 | $19,436.00 |
DisclosureSEC source: 0000898432-22-000345 · form4.xml · nonDerivative · entry 3 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: Not disclosed Ownership: Indirect · By Brad C Tank 1999 Trust Disclosed balance after: 9,040 F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:58 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherCommon Stock | 17,305 | $8.60 | $148,823.00 |
DisclosureSEC source: 0000898432-22-000345 · form4.xml · nonDerivative · entry 2 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: Not disclosed Ownership: Indirect · By Indian Hill II LLC Disclosed balance after: 69,221 F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:58 UTC |
TANK BRADLEYCIO of Adviser of Issuer
|
OtherCommon Stock | 25,301 | $8.60 | $217,588.60 |
DisclosureSEC source: 0000898432-22-000345 · form4.xml · nonDerivative · entry 1 TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,204 Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:56 UTC |
MORRISS GEORGE WDirector
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 5,289 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-22-000344 · form4.xml · derivative · entry 2 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,763 shares Expires 2022-05-17 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · security: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · derivative.exercise_price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F5 · derivative.underlying_shares: Includes shares acquired through the Over-Subscription Privilege. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:56 UTC |
MORRISS GEORGE WDirector
|
OtherCommon Stock | 3,763 | $8.60 | $32,361.80 |
DisclosureSEC source: 0000898432-22-000344 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,100.2 F1 · balance_after: Includes shares acquired over time under a distribution reinvestment plan. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:55 UTC |
Lind JosephPortfolio Manager
|
OtherTransferable Subscription Rights (rights to buy) · Derivative | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-22-000343 · form4.xml · derivative · entry 2 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2022-05-17 F1 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. F2 · security: The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F3 · security: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. F2 · derivative.exercise_price: The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F3 · derivative.exercise_price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F1 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. F2 · price: The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F3 · price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F4 · derivative.underlying_shares: Includes shares acquired through the Over-Subscription Privilege. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:55 UTC |
Lind JosephPortfolio Manager
|
OtherCommon Stock | 5,000 | $8.60 | $43,000.00 |
DisclosureSEC source: 0000898432-22-000343 · form4.xml · nonDerivative · entry 1 Lind Joseph · CIK 0001748786 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| December 14, 2020 Filed Dec 16, 2020 15:00 UTC |
Saba Capital Management, L.P.10% owner
Weinstein Boaz10% owner
|
Disposition to issuerCommon Stock | 3,572,083 | $12.03 | $42,972,158.49 |
DisclosureSEC source: 0001510281-20-000264 · primary_doc.xml · nonDerivative · entry 1 Saba Capital Management, L.P. · CIK 0001510281 · 10% owner Weinstein Boaz · CIK 0001608233 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · - Disclosed balance after: 1,202,787 Read SEC document |
| December 14, 2020 Filed Jun 10, 2022 20:45 UTC |
MetLife Investment Management, LLC10% owner
|
OtherSeries C Mandatory Redeemable Preferred Shares | 336,000 | $4,210,837.84 | $1,414,841,514,240.00 |
DisclosureSEC source: 0001140361-22-022619 · form4.xml · nonDerivative · entry 6 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,344,000 F2 · kind: These Series C Mandatory Redeemable Preferred Shares ("Series C MRPS") were redeemed, in part, by the Issuer at a price equal to the liquidation preference of $12.50 per share plus accumulated and unpaid dividends. F3 · price: This price reflects the aggregate amount received in exchange for the redemption. F4 · ownership.direct: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager. F5 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · ownership.nature: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| December 14, 2020 Filed Jun 10, 2022 20:45 UTC |
MetLife Investment Management, LLC10% owner
|
OtherSeries C Mandatory Redeemable Preferred Shares | 192,000 | $2,406,193.05 | $461,989,065,600.00 |
DisclosureSEC source: 0001140361-22-022619 · form4.xml · nonDerivative · entry 5 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 768,000 F2 · kind: These Series C Mandatory Redeemable Preferred Shares ("Series C MRPS") were redeemed, in part, by the Issuer at a price equal to the liquidation preference of $12.50 per share plus accumulated and unpaid dividends. F3 · price: This price reflects the aggregate amount received in exchange for the redemption. F4 · ownership.direct: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager. F5 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · ownership.nature: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| December 14, 2020 Filed Jun 10, 2022 20:45 UTC |
MetLife Investment Management, LLC10% owner
|
OtherSeries C Mandatory Redeemable Preferred Shares | 992,000 | $12,431,997.43 | $12,332,541,450,560.00 |
DisclosureSEC source: 0001140361-22-022619 · form4.xml · nonDerivative · entry 4 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,968,000 F2 · kind: These Series C Mandatory Redeemable Preferred Shares ("Series C MRPS") were redeemed, in part, by the Issuer at a price equal to the liquidation preference of $12.50 per share plus accumulated and unpaid dividends. F3 · price: This price reflects the aggregate amount received in exchange for the redemption. F4 · ownership.direct: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager. F5 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · ownership.nature: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| December 14, 2020 Filed Jun 10, 2022 20:45 UTC |
MetLife Investment Management, LLC10% owner
|
OtherFloating Rate Senior Note, Series A Note, Due Sep. 18, 2023 | 4,621,634 | $4,635,310.19 | $21,422,707,174,650.46 |
DisclosureSEC source: 0001140361-22-022619 · form4.xml · nonDerivative · entry 3 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,583,032 F1 · kind: These Floating Rate Senior Notes, Series A Notes, due September 18, 2023 ("Notes") were redeemed, in part, by the Issuer pursuant to a partial prepayment of the principal plus accrued and unpaid interest. F3 · price: This price reflects the aggregate amount received in exchange for the redemption. F4 · ownership.direct: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager. F5 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · ownership.nature: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. 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.