Last 12 months
Inside the activity.
14 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 | 3 | 0 |
| Jan 2026 | 2 | 0 |
| Feb 2026 | 2 | 0 |
| Mar 2026 | 1 | 0 |
| Apr 2026 | 2 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 4 | 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 15, 2024 Filed Aug 19, 2024 21:01 UTC |
Das Rajeev PDirector
|
Exercise / conversionCommon Stock | 2,284 | $6.48 | $14,800.32 |
DisclosureSEC source: 0001104659-24-090890 · tm2422003-1_4seq1.xml · nonDerivative · entry 2 Das Rajeev P · CIK 0001340982 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 2,309 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to holders of record of shares of beneficial interest ("common stock") of the Issuer as of July 8, 2024 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every right received by the holder entitled such holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 15, 2024 Filed Aug 19, 2024 21:01 UTC |
Das Rajeev PDirector
|
Exercise / conversionCommon Stock | 1,102 | $6.48 | $7,140.96 |
DisclosureSEC source: 0001104659-24-090890 · tm2422003-1_4seq1.xml · nonDerivative · entry 1 Das Rajeev P · CIK 0001340982 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,112 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to holders of record of shares of beneficial interest ("common stock") of the Issuer as of July 8, 2024 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every right received by the holder entitled such holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. Read SEC document |
| August 15, 2024 Filed Aug 19, 2024 21:01 UTC |
Dakos AndrewDirector · President
|
Exercise / conversionCommon Stock | 70,092 | $6.48 | $454,196.16 |
DisclosureSEC source: 0001104659-24-090889 · tm2422003-6_4seq1.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 105,138 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to holders of record of shares of beneficial interest ("common stock") of the Issuer as of July 8, 2024 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every right received by the holder entitled such holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. Read SEC document |
| June 28, 2024 Filed Jul 1, 2024 21:01 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10,000 | $6.94 | $69,400.00 |
DisclosureSEC source: 0001104659-24-076889 · tm2418663-2_4seq1.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,773 Read SEC document |
| June 28, 2024 Filed Jul 1, 2024 21:01 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10,000 | $6.93 | $69,300.00 |
DisclosureSEC source: 0001104659-24-076889 · tm2418663-2_4seq1.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,773 Read SEC document |
| June 28, 2024 Filed Jul 1, 2024 21:01 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10,000 | $6.92 | $69,200.00 |
DisclosureSEC source: 0001104659-24-076889 · tm2418663-2_4seq1.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,773 Read SEC document |
| June 28, 2024 Filed Jul 1, 2024 21:01 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 60,000 | $6.93 | $415,800.00 |
DisclosureSEC source: 0001104659-24-076889 · tm2418663-2_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,773 Read SEC document |
| June 28, 2024 Filed Jul 1, 2024 21:00 UTC |
DAYAN RICHARDDirector
|
PurchaseCommon Stock | 200 | $6.93 | $1,386.00 |
DisclosureSEC source: 0001104659-24-076886 · tm2418663-1_4seq1.xml · nonDerivative · entry 1 DAYAN RICHARD · CIK 0001578210 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200 Read SEC document |
| June 27, 2024 Filed Jun 28, 2024 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10,000 | $6.84 | $68,400.00 |
DisclosureSEC source: 0001104659-24-076345 · tm2418529-2_4seq1.xml · nonDerivative · entry 9 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 99,773 Read SEC document |
| June 27, 2024 Filed Jun 28, 2024 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10,000 | $6.91 | $69,100.00 |
DisclosureSEC source: 0001104659-24-076345 · tm2418529-2_4seq1.xml · nonDerivative · entry 8 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 109,773 Read SEC document |
| June 27, 2024 Filed Jun 28, 2024 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10,000 | $6.91 | $69,137.00 |
DisclosureSEC source: 0001104659-24-076345 · tm2418529-2_4seq1.xml · nonDerivative · entry 7 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 119,773 Read SEC document |
| June 27, 2024 Filed Jun 28, 2024 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 24,600 | $6.92 | $170,232.00 |
DisclosureSEC source: 0001104659-24-076345 · tm2418529-2_4seq1.xml · nonDerivative · entry 6 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 129,773 Read SEC document |
| June 27, 2024 Filed Jun 28, 2024 21:00 UTC |
Das Rajeev PDirector
|
PurchaseCommon Stock | 1 | $6.91 | $6.91 |
DisclosureSEC source: 0001104659-24-076340 · tm2418529-1_4seq1.xml · nonDerivative · entry 4 Das Rajeev P · CIK 0001340982 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Child IRA Disclosed balance after: 1 F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities owned by his child and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2024 Filed Jun 28, 2024 21:00 UTC |
Das Rajeev PDirector
|
PurchaseCommon Stock | 10 | $6.92 | $69.15 |
DisclosureSEC source: 0001104659-24-076340 · tm2418529-1_4seq1.xml · nonDerivative · entry 3 Das Rajeev P · CIK 0001340982 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse IRA Disclosed balance after: 10 F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2024 Filed Jun 28, 2024 21:00 UTC |
Das Rajeev PDirector
|
PurchaseCommon Stock | 25 | $6.92 | $173.00 |
DisclosureSEC source: 0001104659-24-076340 · tm2418529-1_4seq1.xml · nonDerivative · entry 2 Das Rajeev P · CIK 0001340982 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 25 F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2024 Filed Jun 28, 2024 21:00 UTC |
Das Rajeev PDirector
|
PurchaseCommon Stock | 10 | $6.92 | $69.15 |
DisclosureSEC source: 0001104659-24-076340 · tm2418529-1_4seq1.xml · nonDerivative · entry 1 Das Rajeev P · CIK 0001340982 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10 Read SEC document |
| June 26, 2024 Filed Jun 28, 2024 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10,000 | $6.81 | $68,122.00 |
DisclosureSEC source: 0001104659-24-076345 · tm2418529-2_4seq1.xml · nonDerivative · entry 5 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 154,373 Read SEC document |
| June 26, 2024 Filed Jun 28, 2024 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10,000 | $6.83 | $68,301.00 |
DisclosureSEC source: 0001104659-24-076345 · tm2418529-2_4seq1.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 164,373 Read SEC document |
| June 26, 2024 Filed Jun 28, 2024 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 40,000 | $6.81 | $272,400.00 |
DisclosureSEC source: 0001104659-24-076345 · tm2418529-2_4seq1.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 174,373 Read SEC document |
| June 26, 2024 Filed Jun 28, 2024 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 200 | $6.85 | $1,369.00 |
DisclosureSEC source: 0001104659-24-076345 · tm2418529-2_4seq1.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 214,373 Read SEC document |
| June 26, 2024 Filed Jun 28, 2024 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 29,800 | $6.84 | $203,832.00 |
DisclosureSEC source: 0001104659-24-076345 · tm2418529-2_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 214,573 Read SEC document |
| June 04, 2024 Filed Jun 6, 2024 21:00 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 100 | $6.81 | $680.98 |
DisclosureSEC source: 0001104659-24-069130 · tm2416651-1_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,026 F1 · balance_after: Amount includes shares of common stock received by the Reporting Person pursuant to automatically reinvested distributions. Read SEC document |
| May 04, 2023 Filed May 8, 2023 18:21 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 1,000 | $6.17 | $6,170.00 |
DisclosureSEC source: 0001104659-23-057075 · tm2314999-1_4seq1.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,988 F1 · balance_after: The total shares in column (5) includes shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| April 21, 2023 Filed Apr 25, 2023 21:00 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 10,000 | $6.37 | $63,700.00 |
DisclosureSEC source: 0001104659-23-049678 · tm2313733-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 244,373 Read SEC document |
| April 17, 2023 Filed Apr 17, 2023 21:01 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 1,000 | $6.55 | $6,550.00 |
DisclosureSEC source: 0001104659-23-046267 · tm2313010-1_4seq1.xml · nonDerivative · entry 3 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,875 F1 · balance_after: The total shares in column (5) includes shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| April 14, 2023 Filed Apr 17, 2023 21:01 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 500 | $6.60 | $3,300.00 |
DisclosureSEC source: 0001104659-23-046267 · tm2313010-1_4seq1.xml · nonDerivative · entry 2 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,875 F1 · balance_after: The total shares in column (5) includes shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| April 13, 2023 Filed Apr 17, 2023 21:01 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 2,000 | $6.59 | $13,182.20 |
DisclosureSEC source: 0001104659-23-046267 · tm2313010-1_4seq1.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,375 F1 · balance_after: The total shares in column (5) includes shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| April 10, 2023 Filed Apr 12, 2023 19:30 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 10,000 | $6.39 | $63,900.00 |
DisclosureSEC source: 0001104659-23-044542 · tm2312579-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 234,373 Read SEC document |
| April 06, 2023 Filed Apr 10, 2023 16:26 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 9,510 | $6.41 | $60,959.10 |
DisclosureSEC source: 0001104659-23-043409 · tm2312190-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 224,373 Read SEC document |
| March 17, 2023 Filed Mar 21, 2023 21:01 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 4,000 | $6.28 | $25,120.00 |
DisclosureSEC source: 0001104659-23-035135 · tm2310142-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 214,863 Read SEC document |
| March 13, 2023 Filed Mar 15, 2023 21:02 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 790 | $6.36 | $5,024.40 |
DisclosureSEC source: 0001104659-23-032866 · tm239657-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,863 Read SEC document |
| December 27, 2022 Filed Dec 29, 2022 22:00 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 1,000 | $6.46 | $6,460.00 |
DisclosureSEC source: 0001104659-22-130981 · tm2233683-1_4seq1.xml · nonDerivative · entry 2 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,217 F1 · balance_after: The total shares in column (5) includes shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| December 27, 2022 Filed Dec 29, 2022 22:00 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 1,064 | $6.49 | $6,905.36 |
DisclosureSEC source: 0001104659-22-130981 · tm2233683-1_4seq1.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,217 F1 · balance_after: The total shares in column (5) includes shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| September 26, 2022 Filed Sep 27, 2022 21:00 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 1,000 | $6.66 | $6,660.00 |
DisclosureSEC source: 0001104659-22-103343 · tm2226733-1_4seq1.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,095 F1 · balance_after: The total shares in column (5) includes shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| January 24, 2022 Filed Jan 26, 2022 22:06 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 1,000 | $7.80 | $7,800.00 |
DisclosureSEC source: 0001104659-22-007876 · tm224533-1_4seq1.xml · nonDerivative · entry 2 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,672 Read SEC document |
| January 24, 2022 Filed Jan 26, 2022 22:06 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 347 | $8.01 | $2,779.47 |
DisclosureSEC source: 0001104659-22-007876 · tm224533-1_4seq1.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,672 Read SEC document |
| January 21, 2022 Filed Jan 24, 2022 22:06 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 700 | $8.28 | $5,796.00 |
DisclosureSEC source: 0001104659-22-006981 · tm224339-1_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,035 F1 · balance_after: Amount includes shares of common stock received by the Reporting Person pursuant to automatically reinvested distributions. Read SEC document |
| November 02, 2021 Filed Nov 3, 2021 21:01 UTC |
HELLERMAN GERALDDirector
|
Exercise / conversionCommon Stock | 19,072 | $8.36 | $159,441.92 |
DisclosureSEC source: 0001104659-21-133728 · tm2131826-5_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,778 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to stockholders of record as of September 22, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. F2 · balance_after: Amount includes 694 shares of common stock received by the Reporting Person pursuant to automatic distributions. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 21:01 UTC |
SELL MORITZ ADirector
|
Exercise / conversionCommon Stock | 2,705 | $8.36 | $22,613.80 |
DisclosureSEC source: 0001104659-21-133729 · tm2131826-6_4seq1.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,325 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to stockholders of record as of September 22, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 21:01 UTC |
GOLDSTEIN PHILLIPDirector
|
Exercise / conversionCommon Stock | 209,944 | $8.36 | $1,755,131.84 |
DisclosureSEC source: 0001104659-21-133727 · tm2131826-4_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,073 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to stockholders of record as of September 22, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 21:01 UTC |
Dakos AndrewDirector · President
|
Exercise / conversionCommon Stock | 31,745 | $8.36 | $265,388.20 |
DisclosureSEC source: 0001104659-21-133724 · tm2131826-3_4seq1.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,490 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to stockholders of record as of September 22, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 21:00 UTC |
HARRIS BEN HDirector
|
Exercise / conversionCommon Stock | 3,977 | $8.36 | $33,247.72 |
DisclosureSEC source: 0001104659-21-133721 · tm2131826-2_4seq1.xml · nonDerivative · entry 1 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,652 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to stockholders of record as of September 22, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. Read SEC document |
| November 01, 2021 Filed Jun 9, 2022 18:05 UTC Amendment |
Dakos AndrewDirector · President
|
Exercise / conversionCommon Stock | 33,301 | $8.36 | $278,396.36 |
DisclosureSEC source: 0001104659-22-069596 · tm2218117-1_4aseq1.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,046 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to stockholders of record as of September 22, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. F2 · shares: This Form 4/A is being filed to amend and correct Form 4 filed on behalf of the reporting person on November 3, 2021. Due to administrative error, the earlier form incorrectly reported the number of shares of common stock purchased in the rights offering. Column 4 (Amount of Securities Acquired) and Column 5 (Amount of Securities Beneficially Owned Following the Reported Transaction(s)) of Table I are corrected in this Form 4/A F2 · balance_after: This Form 4/A is being filed to amend and correct Form 4 filed on behalf of the reporting person on November 3, 2021. Due to administrative error, the earlier form incorrectly reported the number of shares of common stock purchased in the rights offering. Column 4 (Amount of Securities Acquired) and Column 5 (Amount of Securities Beneficially Owned Following the Reported Transaction(s)) of Table I are corrected in this Form 4/A Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 16:47 UTC |
HARRIS BEN HDirector
|
PurchaseCommon Stock | 1,675 | $10.00 | $16,750.00 |
DisclosureSEC source: 0001398344-21-018897 · fp0068880_4.xml · nonDerivative · entry 1 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,675 Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 13:29 UTC |
HELLERMAN GERALDDirector
|
SaleCommon Stock | 9,000 | $10.00 | $90,000.00 |
DisclosureSEC source: 0001398344-21-018881 · fp0068869.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,012 F1 · balance_after: Amount includes 778 shares received by the Reporting Person pursuant to automatic distributions. Read SEC document |
| September 16, 2021 Filed Sep 17, 2021 17:19 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 10,000 | $10.02 | $100,226.00 |
DisclosureSEC source: 0001398344-21-018873 · fp0068832_4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,745 Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 17:19 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 20,000 | $9.96 | $199,254.00 |
DisclosureSEC source: 0001398344-21-018873 · fp0068832_4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,745 Read SEC document |
| September 14, 2021 Filed Sep 15, 2021 13:55 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 10,000 | $9.95 | $99,502.00 |
DisclosureSEC source: 0001398344-21-018820 · fp0068782_4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,745 Read SEC document |
| September 13, 2021 Filed Sep 15, 2021 13:55 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 10,000 | $9.94 | $99,401.00 |
DisclosureSEC source: 0001398344-21-018820 · fp0068782_4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,745 Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 21:01 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 5,000 | $9.97 | $49,850.50 |
DisclosureSEC source: 0001104659-21-107377 · tm2125415-1_4seq1.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129 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.