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Neuberger High Yield Strategies Fund Inc.

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8981
SEC CIK
0001487610
Parsed reports
78

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
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
April 10, 2019 Filed Apr 12, 2019 15:32 UTC PurchaseCommon Stock 92,046 $11.62 $1,069,574.52
Disclosure

SEC source: 0001510281-19-000077 · 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: 3,737,217

Read SEC document
April 09, 2019 Filed Apr 10, 2019 14:12 UTC PurchaseCommon Stock 15,746 $11.58 $182,338.68
Disclosure

SEC source: 0001510281-19-000073 · primary_doc.xml · nonDerivative · entry 2

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: 3,645,171

Read SEC document
April 08, 2019 Filed Apr 10, 2019 14:12 UTC PurchaseCommon Stock 116,890 $11.55 $1,350,079.50
Disclosure

SEC source: 0001510281-19-000073 · 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: 3,629,425

Read SEC document
April 05, 2019 Filed Apr 8, 2019 11:29 UTC PurchaseCommon Stock 51,959 $11.55 $600,126.45
Disclosure

SEC source: 0001510281-19-000069 · primary_doc.xml · nonDerivative · entry 3

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: 3,512,535

Read SEC document
April 04, 2019 Filed Apr 8, 2019 11:29 UTC PurchaseCommon Stock 40,534 $11.49 $465,735.66
Disclosure

SEC source: 0001510281-19-000069 · primary_doc.xml · nonDerivative · entry 2

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: 3,460,576

Read SEC document
April 03, 2019 Filed Apr 8, 2019 11:29 UTC PurchaseCommon Stock 2,152 $11.42 $24,575.84
Disclosure

SEC source: 0001510281-19-000069 · 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: 3,420,042

Read SEC document
April 02, 2019 Filed Apr 3, 2019 16:04 UTC PurchaseCommon Stock 9,620 $11.37 $109,379.40
Disclosure

SEC source: 0001510281-19-000064 · 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: 3,417,890

Read SEC document
March 29, 2019 Filed Apr 1, 2019 09:27 UTC PurchaseCommon Stock 2,067 $11.29 $23,336.43
Disclosure

SEC source: 0001510281-19-000062 · primary_doc.xml · nonDerivative · entry 2

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: 3,408,270

Read SEC document
March 28, 2019 Filed Apr 1, 2019 09:27 UTC PurchaseCommon Stock 16,231 $11.31 $183,572.61
Disclosure

SEC source: 0001510281-19-000062 · 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: 3,406,203

Read SEC document
March 27, 2019 Filed Mar 28, 2019 11:44 UTC PurchaseCommon Stock 2,900 $11.29 $32,741.00
Disclosure

SEC source: 0001510281-19-000060 · primary_doc.xml · nonDerivative · entry 2

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: 3,389,972

Read SEC document
March 26, 2019 Filed Mar 28, 2019 11:44 UTC PurchaseCommon Stock 8,869 $11.28 $100,042.32
Disclosure

SEC source: 0001510281-19-000060 · 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: 3,387,072

Read SEC document
March 22, 2019 Filed Mar 25, 2019 16:54 UTC PurchaseCommon Stock 2,125 $11.32 $24,055.00
Disclosure

SEC source: 0001510281-19-000058 · primary_doc.xml · nonDerivative · entry 2

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: 3,378,203

Read SEC document
March 21, 2019 Filed Mar 25, 2019 16:54 UTC PurchaseCommon Stock 17,354 $11.34 $196,794.36
Disclosure

SEC source: 0001510281-19-000058 · 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: 3,376,078

Read SEC document
March 20, 2019 Filed Mar 21, 2019 11:22 UTC PurchaseCommon Stock 11,666 $11.28 $131,592.48
Disclosure

SEC source: 0001510281-19-000056 · primary_doc.xml · nonDerivative · entry 2

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: 3,358,724

Read SEC document
March 19, 2019 Filed Mar 21, 2019 11:22 UTC PurchaseCommon Stock 37,527 $11.23 $421,428.21
Disclosure

SEC source: 0001510281-19-000056 · 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: 3,347,058

Read SEC document
March 18, 2019 Filed Mar 19, 2019 14:11 UTC PurchaseCommon Stock 7,750 $11.21 $86,877.50
Disclosure

SEC source: 0001510281-19-000054 · 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: 3,309,531

Read SEC document
February 21, 2019 Filed Feb 22, 2019 11:26 UTC PurchaseCommon Stock 18,400 $11.11 $204,424.00
Disclosure

SEC source: 0001510281-19-000052 · primary_doc.xml · nonDerivative · entry 2

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: 3,301,781

Read SEC document
February 20, 2019 Filed Feb 22, 2019 11:26 UTC PurchaseCommon Stock 23,845 $11.08 $264,202.60
Disclosure

SEC source: 0001510281-19-000052 · 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: 3,283,381

Read SEC document
February 19, 2019 Filed Feb 20, 2019 11:03 UTC PurchaseCommon Stock 52,984 $11.03 $584,413.52
Disclosure

SEC source: 0001510281-19-000050 · primary_doc.xml · nonDerivative · entry 2

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: 3,259,536

Read SEC document
February 15, 2019 Filed Feb 20, 2019 11:03 UTC PurchaseCommon Stock 6,847 $11.03 $75,522.41
Disclosure

SEC source: 0001510281-19-000050 · 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: 3,206,552

Read SEC document
February 11, 2019 Filed Feb 13, 2019 08:52 UTC PurchaseCommon Stock 20,503 $10.96 $224,712.88
Disclosure

SEC source: 0001510281-19-000049 · 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: 3,199,705

Read SEC document
February 08, 2019 Filed Feb 11, 2019 10:31 UTC PurchaseCommon Stock 49,396 $10.93 $539,898.28
Disclosure

SEC source: 0001510281-19-000048 · primary_doc.xml · nonDerivative · entry 3

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: 3,179,202

Read SEC document
February 07, 2019 Filed Feb 11, 2019 10:31 UTC PurchaseCommon Stock 5,360 $10.92 $58,531.20
Disclosure

SEC source: 0001510281-19-000048 · primary_doc.xml · nonDerivative · entry 2

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: 3,129,806

Read SEC document
February 06, 2019 Filed Feb 11, 2019 10:31 UTC PurchaseCommon Stock 42,623 $10.90 $464,590.70
Disclosure

SEC source: 0001510281-19-000048 · 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: 3,124,446

Read SEC document
February 05, 2019 Filed Feb 6, 2019 13:37 UTC PurchaseCommon Stock 13,879 $10.86 $150,725.94
Disclosure

SEC source: 0001510281-19-000045 · primary_doc.xml · nonDerivative · entry 2

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: 3,081,823

Read SEC document
February 04, 2019 Filed Feb 6, 2019 13:37 UTC PurchaseCommon Stock 178,752 $10.79 $1,928,734.08
Disclosure

SEC source: 0001510281-19-000045 · 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: 3,067,944

Read SEC document
February 01, 2019 Filed Feb 4, 2019 12:46 UTC PurchaseCommon Stock 67,159 $10.76 $722,630.84
Disclosure

SEC source: 0001510281-19-000043 · primary_doc.xml · nonDerivative · entry 3

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: 2,889,192

Read SEC document
January 31, 2019 Filed Feb 4, 2019 12:46 UTC PurchaseCommon Stock 175,867 $10.68 $1,878,259.56
Disclosure

SEC source: 0001510281-19-000043 · primary_doc.xml · nonDerivative · entry 2

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: 2,822,033

Read SEC document
January 30, 2019 Filed Feb 4, 2019 12:46 UTC PurchaseCommon Stock 141,383 $10.64 $1,504,315.12
Disclosure

SEC source: 0001510281-19-000043 · 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: 2,646,166

Read SEC document
January 29, 2019 Filed Jan 30, 2019 13:45 UTC PurchaseCommon Stock 35,280 $10.52 $371,145.60
Disclosure

SEC source: 0001510281-19-000041 · primary_doc.xml · nonDerivative · entry 2

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: 2,504,783

Read SEC document
January 28, 2019 Filed Jan 30, 2019 13:45 UTC PurchaseCommon Stock 80,920 $10.51 $850,469.20
Disclosure

SEC source: 0001510281-19-000041 · 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: 2,469,503

Read SEC document
January 25, 2019 Filed Jan 28, 2019 11:22 UTC PurchaseCommon Stock 99,008 $10.46 $1,035,623.68
Disclosure

SEC source: 0001510281-19-000037 · primary_doc.xml · nonDerivative · entry 2

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: 2,388,583

Read SEC document
January 24, 2019 Filed Jan 28, 2019 11:22 UTC PurchaseCommon Stock 106,155 $10.43 $1,107,196.65
Disclosure

SEC source: 0001510281-19-000037 · 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: 2,289,575

Read SEC document
January 23, 2019 Filed Jan 24, 2019 14:46 UTC PurchaseCommon Stock 76,206 $10.40 $792,542.40
Disclosure

SEC source: 0001510281-19-000033 · primary_doc.xml · nonDerivative · entry 2

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: 2,183,420

Read SEC document
January 22, 2019 Filed Jan 24, 2019 14:46 UTC PurchaseCommon Stock 128,126 $10.38 $1,329,947.88
Disclosure

SEC source: 0001510281-19-000033 · 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: 2,107,214

Read SEC document
January 02, 2019 Filed Jan 5, 2019 01:57 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 318 $9.60 $3,052.16
Disclosure

SEC source: 0000898432-19-000021 · 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: 6,780

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on January 2, 2019 were $9.58 to $9.60. 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 · 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
January 02, 2019 Filed Jan 5, 2019 01:57 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 850 $9.60 $8,158.30
Disclosure

SEC source: 0000898432-19-000021 · form4.xml · nonDerivative · entry 2

TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Indian Hill LLC

Disclosed balance after: 47,616

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on January 2, 2019 were $9.58 to $9.60. 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 · 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
January 02, 2019 Filed Jan 5, 2019 01:57 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 832 $9.60 $7,985.54
Disclosure

SEC source: 0000898432-19-000021 · form4.xml · nonDerivative · entry 1

TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,903

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on January 2, 2019 were $9.58 to $9.60. 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
December 28, 2018 Filed Dec 29, 2018 02:23 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 3,307 $9.59 $31,725.70
Disclosure

SEC source: 0000898432-18-001578 · form4.xml · nonDerivative · entry 9

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: 6,462

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on December 26, 27, and 28 were $9.54 to $9.60, $9.545 to $9.575, and $9.575 to $9.60, respectively. 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 · 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
December 28, 2018 Filed Dec 29, 2018 02:23 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 8,250 $9.59 $79,146.38
Disclosure

SEC source: 0000898432-18-001578 · form4.xml · nonDerivative · entry 8

TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Indian Hill II LLC

Disclosed balance after: 46,766

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on December 26, 27, and 28 were $9.54 to $9.60, $9.545 to $9.575, and $9.575 to $9.60, respectively. 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 · 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
December 28, 2018 Filed Dec 29, 2018 02:23 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 8,246 $9.59 $79,108.00
Disclosure

SEC source: 0000898432-18-001578 · form4.xml · nonDerivative · entry 7

TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,071

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on December 26, 27, and 28 were $9.54 to $9.60, $9.545 to $9.575, and $9.575 to $9.60, respectively. 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
December 27, 2018 Filed Dec 29, 2018 00:29 UTC
Lind JosephPortfolio Manager
PurchaseCommon Stock 10,000 $9.63 $96,339.00
Disclosure

SEC source: 0000898432-18-001574 · form4.xml · nonDerivative · entry 1

Lind Joseph · CIK 0001748786 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $9.61 to $9.64. 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
December 27, 2018 Filed Dec 29, 2018 02:23 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 1,731 $9.57 $16,559.09
Disclosure

SEC source: 0000898432-18-001578 · form4.xml · nonDerivative · 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: 3,155

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on December 26, 27, and 28 were $9.54 to $9.60, $9.545 to $9.575, and $9.575 to $9.60, respectively. 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 · 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
December 27, 2018 Filed Dec 29, 2018 02:23 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 4,300 $9.57 $41,134.66
Disclosure

SEC source: 0000898432-18-001578 · form4.xml · nonDerivative · 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: 38,516

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on December 26, 27, and 28 were $9.54 to $9.60, $9.545 to $9.575, and $9.575 to $9.60, respectively. 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 · 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.

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December 27, 2018 Filed Dec 29, 2018 02:23 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 4,333 $9.57 $41,450.34
Disclosure

SEC source: 0000898432-18-001578 · form4.xml · nonDerivative · entry 4

TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,825

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on December 26, 27, and 28 were $9.54 to $9.60, $9.545 to $9.575, and $9.575 to $9.60, respectively. 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.

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December 26, 2018 Filed Dec 29, 2018 02:23 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 1,424 $9.58 $13,637.36
Disclosure

SEC source: 0000898432-18-001578 · 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: 1,424

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on December 26, 27, and 28 were $9.54 to $9.60, $9.545 to $9.575, and $9.575 to $9.60, respectively. 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 · 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.

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December 26, 2018 Filed Dec 29, 2018 02:23 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 3,650 $9.58 $34,955.32
Disclosure

SEC source: 0000898432-18-001578 · 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: 34,216

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on December 26, 27, and 28 were $9.54 to $9.60, $9.545 to $9.575, and $9.575 to $9.60, respectively. 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 · 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.

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December 26, 2018 Filed Dec 29, 2018 02:23 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 3,626 $9.58 $34,725.48
Disclosure

SEC source: 0000898432-18-001578 · form4.xml · nonDerivative · entry 1

TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,492

F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on December 26, 27, and 28 were $9.54 to $9.60, $9.545 to $9.575, and $9.575 to $9.60, respectively. 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.

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November 30, 2018 Filed Dec 4, 2018 02:10 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 9,766 $10.27 $100,285.10
Disclosure

SEC source: 0000898432-18-001224 · 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: 30,566

F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities 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.

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November 30, 2018 Filed Dec 4, 2018 02:10 UTC
TANK BRADLEYCIO of Adviser of Issuer
PurchaseCommon Stock 9,766 $10.27 $100,285.10
Disclosure

SEC source: 0000898432-18-001224 · form4.xml · nonDerivative · entry 1

TANK BRADLEY · CIK 0001254645 · CIO of Adviser of Issuer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,866

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.