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NEUBERGER REAL ESTATE SECURITIES INCOME FUND INC

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Tapewire entity
6377
SEC CIK
0001261166
Parsed reports
10

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
Mar 202600
Apr 202600
May 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
January 10, 2018 Filed Jan 12, 2018 21:19 UTC
COLISH FAITHRetired Director
SaleCommon Stock 240 $5.40 $1,297.01
Disclosure

SEC source: 0000898432-18-000076 · form4.xml · nonDerivative · entry 1

COLISH FAITH · CIK 0001264963 · Retired Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The shares were sold in separate transactions. The range of prices for the transactions reported on this line was $5.4000 to $5.4050. 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 sold at each separate price.

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April 12, 2017 Filed Jun 6, 2017 22:25 UTC OtherSeries A Mandatory Redeemable Preferred Stock 40 $125.00 $5,000.00
Disclosure

SEC source: 0001140361-17-024080 · doc1.xml · nonDerivative · entry 2

SUN LIFE FINANCIAL INC · CIK 0001097362 · 10% owner

Sun Life Assurance Co of Canada · CIK 0001381352 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By SUN LIFE FINANCIAL INC.

Disclosed balance after: 0

F1 · kind: On April 12, 2017, the issuer redeemed all outstanding shares of its Series A Mandatory Redeemable Preferred Stock.

F3 · ownership.nature: Sun Life Financial Inc. owns 100% of the outstanding shares of common stock of Sun Life Assurance Company of Canada, which owns 100% of the outstanding shares of common stock of Sun Life and Health Insurance Company (U.S.), the direct owner of 60 shares of the Series A Mandatory Redeemable Preferred Stock of the issuer.

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April 12, 2017 Filed Jun 6, 2017 22:25 UTC OtherSeries A Mandatory Redeemable Preferred Stock 160 $125.00 $20,000.00
Disclosure

SEC source: 0001140361-17-024080 · doc1.xml · nonDerivative · entry 1

SUN LIFE FINANCIAL INC · CIK 0001097362 · 10% owner

Sun Life Assurance Co of Canada · CIK 0001381352 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By SUN LIFE FINANCIAL INC.

Disclosed balance after: 0

F1 · kind: On April 12, 2017, the issuer redeemed all outstanding shares of its Series A Mandatory Redeemable Preferred Stock.

F2 · ownership.nature: Sun Life Financial Inc. owns 100% of the outstanding shares of common stock of Sun Life Assurance Company of Canada, the direct owner of 140 shares of the Series A Mandatory Redeemable Preferred Stock of the issuer.

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December 15, 2016 Filed Dec 16, 2016 16:47 UTC
Dakos Andrew10% owner
SaleCommon Stock 45,096 $5.30 $238,805.87
Disclosure

SEC source: 0001398344-16-021811 · fp0022966_4.xml · nonDerivative · entry 1

Bulldog Investors, LLC · CIK 0001504304 · 10% owner

GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner

Dakos Andrew · CIK 0001341021 · 10% owner

Samuels Steven · CIK 0001561169 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Clients

Disclosed balance after: 4,295,140

F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

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December 14, 2016 Filed Dec 15, 2016 15:59 UTC
Dakos Andrew10% owner
SaleCommon Stock 73,483 $5.32 $390,789.94
Disclosure

SEC source: 0001398344-16-021734 · fp0022938_4.xml · nonDerivative · entry 2

Bulldog Investors, LLC · CIK 0001504304 · 10% owner

GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner

Dakos Andrew · CIK 0001341021 · 10% owner

Samuels Steven · CIK 0001561169 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Clients

Disclosed balance after: 4,340,236

F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

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December 13, 2016 Filed Dec 15, 2016 15:59 UTC
Dakos Andrew10% owner
SaleCommon Stock 17,651 $5.35 $94,418.73
Disclosure

SEC source: 0001398344-16-021734 · fp0022938_4.xml · nonDerivative · entry 1

Bulldog Investors, LLC · CIK 0001504304 · 10% owner

GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner

Dakos Andrew · CIK 0001341021 · 10% owner

Samuels Steven · CIK 0001561169 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Clients

Disclosed balance after: 4,413,719

F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

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April 06, 2011 Filed Apr 8, 2011 19:03 UTC OtherAuction Rate Preferred 1,095 Not disclosed Not disclosed
Disclosure

SEC source: 0000932440-11-000436 · edgar.xml · nonDerivative · entry 1

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

BANK OF AMERICA NA · CIK 0001102113 · 10% owner

Blue Ridge Investments, L.L.C. · CIK 0001453700 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Bank of America, N.A. ("BANA") and Blue Ridge Investors, L.L.C. ("Blue Ridge"). BANA is a wholly owned subsidiary of Bank of America Corporation ("Bank of America") and Blue Ridge is a wholly owned subsidiary of BANA.

F2 · kind: The Shares were called for redemption by the issuer at par value.

F2 · price: The Shares were called for redemption by the issuer at par value.

F1 · ownership.nature: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Bank of America, N.A. ("BANA") and Blue Ridge Investors, L.L.C. ("Blue Ridge"). BANA is a wholly owned subsidiary of Bank of America Corporation ("Bank of America") and Blue Ridge is a wholly owned subsidiary of BANA.

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September 03, 2010 Filed Mar 18, 2011 21:18 UTC SaleCommon Stock 2,828 $3.60 $10,180.80
Disclosure

SEC source: 0000932440-11-000313 · edgar.xml · nonDerivative · entry 6

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

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September 03, 2010 Filed Mar 18, 2011 21:18 UTC PurchaseCommon Stock 2,828 $3.69 $10,435.32
Disclosure

SEC source: 0000932440-11-000313 · edgar.xml · nonDerivative · entry 5

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 2,828

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April 09, 2010 Filed Mar 18, 2011 21:18 UTC SaleCommon Stock 5,029 $3.53 $17,752.37
Disclosure

SEC source: 0000932440-11-000313 · edgar.xml · nonDerivative · entry 4

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

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April 09, 2010 Filed Mar 18, 2011 21:18 UTC PurchaseCommon Stock 5,029 $3.55 $17,852.95
Disclosure

SEC source: 0000932440-11-000313 · edgar.xml · nonDerivative · entry 3

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 5,029

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December 23, 2009 Filed Mar 18, 2011 21:18 UTC SaleCommon Stock 2,000 $2.87 $5,740.00
Disclosure

SEC source: 0000932440-11-000313 · edgar.xml · nonDerivative · entry 2

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

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December 23, 2009 Filed Mar 18, 2011 21:18 UTC PurchaseCommon Stock 2,000 $3.00 $6,000.00
Disclosure

SEC source: 0000932440-11-000313 · edgar.xml · nonDerivative · entry 1

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 2,000

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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.