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 |
|---|---|---|---|---|---|---|
| December 03, 2020 Filed Dec 3, 2020 23:52 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 5,000 | $8.45 | $42,250.00 |
DisclosureSEC source: 0001398344-20-023925 · fp0059877_4.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,436 Read SEC document |
| December 02, 2020 Filed Dec 3, 2020 23:52 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 4,746 | $8.40 | $39,866.40 |
DisclosureSEC source: 0001398344-20-023925 · fp0059877_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,436 Read SEC document |
| December 02, 2020 Filed Dec 28, 2020 17:21 UTC Amendment |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 410 | $8.40 | $3,444.00 |
DisclosureSEC source: 0001398344-20-025096 · fp0060543_4a.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,026 F1 · shares: This amended Form 4 is being filed to report the sale of an additional 410 shares that were sold by the Reporting Person on December 2, 2020 and were inadvertently excluded from the Form 4 filed on December 3, 2020 reporting the sales of such security. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 23:52 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 254 | $8.40 | $2,133.60 |
DisclosureSEC source: 0001398344-20-023925 · fp0059877_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,182 Read SEC document |
| October 30, 2020 Filed Nov 2, 2020 20:11 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,900 | $7.25 | $13,775.00 |
DisclosureSEC source: 0001398344-20-021221 · fp0058979_4.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,776 Read SEC document |
| October 30, 2020 Filed Nov 2, 2020 20:11 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 100 | $7.24 | $724.00 |
DisclosureSEC source: 0001398344-20-021221 · fp0058979_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,876 Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 15:49 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 1,188 | $8.15 | $9,682.20 |
DisclosureSEC source: 0001398344-20-020555 · fp0058812_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,436 Read SEC document |
| October 14, 2020 Filed Oct 15, 2020 20:05 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 5,000 | $8.40 | $42,001.00 |
DisclosureSEC source: 0001398344-20-020125 · fp0058683_4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,299 Read SEC document |
| October 13, 2020 Filed Oct 15, 2020 20:05 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 2,819 | $8.35 | $23,538.65 |
DisclosureSEC source: 0001398344-20-020125 · fp0058683_4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,299 Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 20:14 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 3,432 | $8.42 | $28,897.44 |
DisclosureSEC source: 0001398344-20-020008 · fp0058640_4.xml · nonDerivative · entry 5 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,624 Read SEC document |
| October 09, 2020 Filed Oct 13, 2020 20:14 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 296 | $8.35 | $2,471.60 |
DisclosureSEC source: 0001398344-20-020008 · fp0058640_4.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,056 Read SEC document |
| October 09, 2020 Filed Oct 13, 2020 20:14 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 6,000 | $8.34 | $50,040.00 |
DisclosureSEC source: 0001398344-20-020008 · fp0058640_4.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,352 Read SEC document |
| October 08, 2020 Filed Oct 13, 2020 20:14 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 5,000 | $8.30 | $41,500.00 |
DisclosureSEC source: 0001398344-20-020008 · fp0058640_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,352 Read SEC document |
| October 08, 2020 Filed Oct 13, 2020 20:14 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 5,000 | $8.31 | $41,550.00 |
DisclosureSEC source: 0001398344-20-020008 · fp0058640_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,352 Read SEC document |
| October 07, 2020 Filed Oct 9, 2020 20:07 UTC |
SELL MORITZ ADirector
|
SaleCommon Stock | 2,000 | $8.30 | $16,600.00 |
DisclosureSEC source: 0001398344-20-019940 · fp0058478_4.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 560 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:27 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 5,000 | $8.23 | $41,150.00 |
DisclosureSEC source: 0001398344-20-019680 · fp0058326_4.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,352 Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:27 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10 | $8.33 | $83.30 |
DisclosureSEC source: 0001398344-20-019680 · fp0058326_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,352 Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:27 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 8,291 | $8.32 | $68,981.12 |
DisclosureSEC source: 0001398344-20-019680 · fp0058326_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,362 Read SEC document |
| September 30, 2020 Filed Sep 30, 2020 20:54 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 2,892 | $8.33 | $24,094.41 |
DisclosureSEC source: 0001398344-20-019348 · fp0058077_4.xml · nonDerivative · entry 3 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,118 Read SEC document |
| September 29, 2020 Filed Sep 30, 2020 20:54 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 2,497 | $8.33 | $20,800.01 |
DisclosureSEC source: 0001398344-20-019348 · fp0058077_4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,010 Read SEC document |
| September 28, 2020 Filed Sep 30, 2020 20:54 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 10,000 | $8.33 | $83,311.00 |
DisclosureSEC source: 0001398344-20-019348 · fp0058077_4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,507 Read SEC document |
| September 23, 2020 Filed Sep 23, 2020 21:22 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 2,403 | $8.34 | $20,041.02 |
DisclosureSEC source: 0001398344-20-019006 · fp0057921_4.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,653 Read SEC document |
| September 22, 2020 Filed Sep 23, 2020 21:22 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 15 | $8.44 | $126.60 |
DisclosureSEC source: 0001398344-20-019006 · fp0057921_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,056 Read SEC document |
| September 21, 2020 Filed Sep 21, 2020 20:17 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 5,303 | $8.45 | $44,810.35 |
DisclosureSEC source: 0001398344-20-018862 · fp0057865_4.xml · nonDerivative · entry 3 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,507 Read SEC document |
| September 21, 2020 Filed Sep 23, 2020 21:22 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 438 | $8.50 | $3,723.00 |
DisclosureSEC source: 0001398344-20-019006 · fp0057921_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,071 Read SEC document |
| September 18, 2020 Filed Sep 21, 2020 20:17 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 1,190 | $8.54 | $10,159.98 |
DisclosureSEC source: 0001398344-20-018862 · fp0057865_4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,810 Read SEC document |
| September 17, 2020 Filed Sep 21, 2020 20:17 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 10,000 | $8.61 | $86,140.00 |
DisclosureSEC source: 0001398344-20-018862 · fp0057865_4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 19:05 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 2,306 | $8.46 | $19,508.76 |
DisclosureSEC source: 0001398344-20-018692 · fp0057810_4.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,509 Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 19:05 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 2,469 | $8.47 | $20,912.43 |
DisclosureSEC source: 0001398344-20-018692 · fp0057810_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,815 Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 19:05 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 7,217 | $8.45 | $60,983.65 |
DisclosureSEC source: 0001398344-20-018692 · fp0057810_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,284 Read SEC document |
| September 15, 2020 Filed Sep 16, 2020 19:09 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 5,000 | $8.47 | $42,350.00 |
DisclosureSEC source: 0001398344-20-018618 · fp0057779_4.xml · nonDerivative · entry 6 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,501 Read SEC document |
| September 15, 2020 Filed Sep 16, 2020 19:09 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 1,416 | $8.50 | $12,036.00 |
DisclosureSEC source: 0001398344-20-018618 · fp0057779_4.xml · nonDerivative · entry 5 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,501 Read SEC document |
| September 15, 2020 Filed Sep 16, 2020 19:09 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 7,389 | $8.48 | $62,658.72 |
DisclosureSEC source: 0001398344-20-018618 · fp0057779_4.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,917 Read SEC document |
| September 15, 2020 Filed Sep 16, 2020 19:09 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 2,694 | $8.46 | $22,791.24 |
DisclosureSEC source: 0001398344-20-018618 · fp0057779_4.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,306 Read SEC document |
| September 15, 2020 Filed Sep 16, 2020 19:09 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 10,000 | $8.45 | $84,500.00 |
DisclosureSEC source: 0001398344-20-018618 · fp0057779_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,000 Read SEC document |
| September 14, 2020 Filed Sep 16, 2020 19:09 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 5,000 | $8.40 | $42,020.00 |
DisclosureSEC source: 0001398344-20-018618 · fp0057779_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,000 Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 15:46 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 50 | $8.26 | $413.00 |
DisclosureSEC source: 0001398344-20-018540 · fp0057725_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,776 Read SEC document |
| April 03, 2020 Filed Apr 6, 2020 17:14 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,000 | $5.91 | $5,910.00 |
DisclosureSEC source: 0001104659-20-043563 · tm2015057d2_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,432 Read SEC document |
| March 19, 2020 Filed Mar 20, 2020 17:45 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 2,560 | $5.13 | $13,143.04 |
DisclosureSEC source: 0001398344-20-006324 · fp0051984_4.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,560 Read SEC document |
| October 23, 2019 Filed Oct 24, 2019 17:22 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,750 | $8.48 | $14,840.00 |
DisclosureSEC source: 0001398344-19-018437 · fp0047052_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,250 Read SEC document |
| October 16, 2019 Filed Oct 18, 2019 14:07 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 107 | $8.46 | $905.72 |
DisclosureSEC source: 0001398344-19-018092 · fp0046958_4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 0 F1 · ownership.nature: Shares were owned by a private investment fund client of Bulldog Investors, LLC ("Bulldog Investors"). The Reporting Person is an owner of Bulldog Investors. The Reporting Person is also a Principal of the general partner of such private investment fund client of Bulldog Investors, and a limited partner in such fund. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2019 Filed Oct 18, 2019 14:01 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 107 | $8.46 | $905.72 |
DisclosureSEC source: 0001398344-19-018089 · fp0046957_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 0 F1 · ownership.nature: Shares were owned by a private investment fund client of Bulldog Investors, LLC ("Bulldog Investors"). The Reporting Person is an owner of Bulldog Investors. The Reporting Person is also a Principal of the general partner of such private investment fund client of Bulldog Investors, and a limited partner in such fund. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| October 08, 2019 Filed Oct 9, 2019 18:53 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,000 | $8.46 | $8,460.00 |
DisclosureSEC source: 0001398344-19-017706 · fp0046669_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| October 03, 2019 Filed Oct 4, 2019 19:35 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,500 | $8.52 | $12,780.00 |
DisclosureSEC source: 0001398344-19-017563 · fp0046500_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Read SEC document |
| March 25, 2019 Filed Mar 27, 2019 19:33 UTC |
Dakos AndrewDirector
|
SaleCommon Stock | 220,000 | $9.25 | $2,035,000.00 |
DisclosureSEC source: 0001398344-19-005665 · fp0040677_4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 106 F1 · ownership.nature: Shares are owned by a private investment fund client of Bulldog Investors, LLC ("Bulldog Investors"). The Reporting Person is an owner of Bulldog Investors. The Reporting Person is also a Principal of the general partner of such private investment fund client of Bulldog Investors, and a limited partner in such fund. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| March 25, 2019 Filed Mar 27, 2019 19:33 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 70,000 | $9.25 | $647,500.00 |
DisclosureSEC source: 0001398344-19-005665 · fp0040677_4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Read SEC document |
| March 25, 2019 Filed Mar 27, 2019 19:31 UTC |
GOLDSTEIN PHILLIPDirector
|
SaleCommon Stock | 220,000 | $9.25 | $2,035,000.00 |
DisclosureSEC source: 0001398344-19-005663 · fp0040678_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 106 F1 · ownership.nature: Shares are owned by a private investment fund client of Bulldog Investors, LLC ("Bulldog Investors"). The Reporting Person is an owner of Bulldog Investors. The Reporting Person is also a Principal of the general partner of such private investment fund client of Bulldog Investors, and a limited partner in such fund. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| March 25, 2019 Filed Mar 27, 2019 19:31 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 150,000 | $9.25 | $1,387,500.00 |
DisclosureSEC source: 0001398344-19-005663 · fp0040678_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Read SEC document |
| March 19, 2019 Filed Mar 20, 2019 17:30 UTC |
HELLERMAN GERALDDirector
|
Disposition to issuerCommon Stock | 1,178 | $9.25 | $10,896.50 |
DisclosureSEC source: 0001398344-19-005254 · fp0040501_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. Read SEC document |
| March 19, 2019 Filed Mar 20, 2019 16:52 UTC |
Bulldog Investors, LLP10% owner
Samuels Steven10% owner
GOLDSTEIN PHILLIP10% owner
Dakos Andrew10% owner
|
Disposition to issuerCommon Stock | 933 | $9.25 | $8,630.25 |
DisclosureSEC source: 0001398344-19-005250 · fp0040502_4.xml · nonDerivative · entry 4 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F5 · ownership.direct: Shares are held by Andrew Dakos. 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.