Last 12 months
Inside the activity.
0 purchase rows · 4 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 1 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 3 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 03, 2026 Filed Jun 4, 2026 20:11 UTC |
Dakos AndrewDirector · President and CEO · Affiliate of Adviser
|
SaleCommon Stock | 133 | $14.07 | $1,871.31 |
DisclosureSEC source: 0001398344-26-010332 · fp0099220-1_4.xml · nonDerivative · entry 3 Dakos Andrew · CIK 0001341021 · Director · President and CEO · Affiliate of Adviser 10b5-1 filing: No plan indicated Ownership: Indirect · By Limited Partnership Disclosed balance after: 0 F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities held Indirectly, 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. F4 · ownership.nature: Shares were acquired by the limited partnership through the issuer's in-kind stock distribution in January 2026. Read SEC document |
| June 03, 2026 Filed Jun 4, 2026 20:11 UTC |
Dakos AndrewDirector · President and CEO · Affiliate of Adviser
|
SaleCommon Stock | 5,184 | $14.11 | $73,146.24 |
DisclosureSEC source: 0001398344-26-010332 · fp0099220-1_4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director · President and CEO · Affiliate of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $14.04 to $14.24, inclusive. The reporting person hereby undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| June 02, 2026 Filed Jun 4, 2026 20:11 UTC |
Dakos AndrewDirector · President and CEO · Affiliate of Adviser
|
Sale2.75% Cconvertible Preferred Stock, Series C · Derivative | 200 | $25.00 Strike: $0.00 | $5,000.00 |
DisclosureSEC source: 0001398344-26-010332 · fp0099220-1_4.xml · derivative · entry 6 Dakos Andrew · CIK 0001341021 · Director · President and CEO · Affiliate of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 343 shares Expires not disclosed F5 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.7190 shares of common stock for each share of Preferred Stock held. F6 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F5 · derivative.underlying_shares: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.7190 shares of common stock for each share of Preferred Stock held. Read SEC document |
| June 02, 2026 Filed Jun 4, 2026 20:11 UTC |
Dakos AndrewDirector · President and CEO · Affiliate of Adviser
|
SaleCommon Stock | 1,077 | $14.02 | $15,099.54 |
DisclosureSEC source: 0001398344-26-010332 · fp0099220-1_4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director · President and CEO · Affiliate of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,184 F2 · balance_after: Amount includes shares acquired through the issuer's in-kind stock distribution in January 2026. Read SEC document |
| March 05, 2026 Filed Mar 9, 2026 20:05 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary · Affiliate of the Adviser
|
Purchase2.75% Convertible Preferred Stock, Series C · Derivative | 3,952 | $25.09 Strike: $0.00 | $99,155.68 |
DisclosureSEC source: 0001398344-26-004893 · fp0097909-1_4.xml · derivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary · Affiliate of the Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,250 Underlying: Common Stock · 6,645 shares Expires not disclosed F2 · security: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| March 04, 2026 Filed Mar 9, 2026 20:05 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary · Affiliate of the Adviser
|
Other2.75% Convertible Preferred Stock, Series C · Derivative | 100 | $25.09 Strike: $0.00 | $2,509.00 |
DisclosureSEC source: 0001398344-26-004893 · fp0097909-1_4.xml · derivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary · Affiliate of the Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,298 Underlying: Common Stock · 168 shares Expires not disclosed F2 · security: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| March 02, 2026 Filed Mar 9, 2026 20:05 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary · Affiliate of the Adviser
|
Other2.75% Convertible Preferred Stock, Series C · Derivative | 100 | $25.09 Strike: $0.00 | $2,509.00 |
DisclosureSEC source: 0001398344-26-004893 · fp0097909-1_4.xml · derivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary · Affiliate of the Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,198 Underlying: Common Stock · 168 shares Expires not disclosed F2 · security: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| February 27, 2026 Filed Mar 2, 2026 22:15 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary · Affiliate of the Adviser
|
Purchase2.75% Convertible Preferred Stock, Series C · Derivative | 5,821 | $25.09 Strike: $0.00 | $146,048.89 |
DisclosureSEC source: 0001104659-26-022337 · tm267719-1_4seq1.xml · derivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary · Affiliate of the Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,098 Underlying: Common Stock · 9,787 shares Expires not disclosed F2 · security: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| February 26, 2026 Filed Mar 2, 2026 22:15 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary · Affiliate of the Adviser
|
Purchase2.75% Convertible Preferred Stock, Series C · Derivative | 27 | $25.09 Strike: $0.00 | $677.43 |
DisclosureSEC source: 0001104659-26-022337 · tm267719-1_4seq1.xml · derivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary · Affiliate of the Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 277 Underlying: Common Stock · 45 shares Expires not disclosed F2 · security: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| February 24, 2026 Filed Feb 25, 2026 22:01 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary · Affiliate of the Adviser
|
Purchase2.75% Convertible Preferred Stock, Series C · Derivative | 30 | $25.09 Strike: $0.00 | $752.70 |
DisclosureSEC source: 0001104659-26-019762 · tm267293-1_4seq1.xml · derivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary · Affiliate of the Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 250 Underlying: Common Stock · 50 shares Expires not disclosed F2 · security: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 22:01 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary · Affiliate of the Adviser
|
Purchase2.75% Convertible Preferred Stock, Series C · Derivative | 100 | $25.05 Strike: $0.00 | $2,505.00 |
DisclosureSEC source: 0001104659-26-019762 · tm267293-1_4seq1.xml · derivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary · Affiliate of the Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 220 Underlying: Common Stock · 168 shares Expires not disclosed F2 · security: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| December 30, 2025 Filed Dec 31, 2025 22:01 UTC |
Dakos AndrewDirector · President
|
SaleCommon Stock | 4,098 | $14.66 | $60,064.80 |
DisclosureSEC source: 0001104659-25-125652 · tm2534583-1_4seq1.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,064 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.61 to $14.68, inclusive. The reporting person hereby undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| August 22, 2025 Filed Aug 25, 2025 21:01 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
Sale2.75% Convertible Preferred Stock, Series C · Derivative | 3,000 | $25.10 Strike: $0.00 | $75,300.00 |
DisclosureSEC source: 0001104659-25-082569 · tm2524325-1_4seq1.xml · derivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120 Underlying: Common Stock · 4,591 shares Expires not disclosed F2 · security: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.5303 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| April 04, 2025 Filed Apr 8, 2025 21:02 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 3,000 | $13.80 | $41,400.00 |
DisclosureSEC source: 0001104659-25-033081 · tm2511815-2_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,822 Read SEC document |
| October 15, 2024 Filed Oct 16, 2024 21:01 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
Sale2.75% Convertible Preferred Stock, Series C · Derivative | 618 | $23.50 Strike: $0.00 | $14,523.00 |
DisclosureSEC source: 0001104659-24-109254 · tm2426297-1_4seq1.xml · derivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,120 Underlying: Common Stock · 888 shares Expires not disclosed F2 · security: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.4375 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| September 20, 2024 Filed Sep 23, 2024 21:01 UTC |
Dakos AndrewDirector · President
|
SaleCommon Stock | 377 | $13.74 | $5,180.36 |
DisclosureSEC source: 0001104659-24-102084 · tm2424556-1_4seq1.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director · President 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 4,880 F1 · ownership.direct: 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 |
| December 29, 2023 Filed Jan 2, 2024 20:54 UTC |
WALDEN CHARLES CDirector
|
Purchase2.75% Convertible Preferred Stock, Series C · Derivative | 10 | $22.70 Strike: $0.00 | $227.00 |
DisclosureSEC source: 0001104659-24-000314 · tm241490-2_4seq1.xml · derivative · entry 3 WALDEN CHARLES C · CIK 0001475052 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,010 Underlying: Common Stock · 14 shares Expires not disclosed F1 · security: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio that is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio that is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| December 29, 2023 Filed Jan 2, 2024 20:53 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
Sale2.75% Convertible Preferred Stock, Series C · Derivative | 3,008 | $22.90 Strike: $0.00 | $68,883.20 |
DisclosureSEC source: 0001104659-24-000311 · tm241490-1_4seq1.xml · derivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,738 Underlying: Common Stock · 4,101 shares Expires not disclosed F2 · security: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held. F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held. F3 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| December 28, 2023 Filed Jan 2, 2024 20:54 UTC |
WALDEN CHARLES CDirector
|
Purchase2.75% Convertible Preferred Stock, Series C · Derivative | 1,000 | $22.85 Strike: $0.00 | $22,850.00 |
DisclosureSEC source: 0001104659-24-000314 · tm241490-2_4seq1.xml · derivative · entry 2 WALDEN CHARLES C · CIK 0001475052 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 1,363 shares Expires not disclosed F1 · security: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio that is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held. F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio that is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held. F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| December 28, 2023 Filed Jan 2, 2024 20:53 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
Sale2.75% Convertible Preferred Stock, Series C · Derivative | 2,623 | $22.85 Strike: $0.00 | $59,935.55 |
DisclosureSEC source: 0001104659-24-000311 · tm241490-1_4seq1.xml · derivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,746 Underlying: Common Stock · 3,576 shares Expires not disclosed F2 · security: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held. F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held. F3 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. Read SEC document |
| December 28, 2023 Filed Jan 2, 2024 20:53 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 1,319 | $11.78 | $15,537.82 |
DisclosureSEC source: 0001104659-24-000311 · tm241490-1_4seq1.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,822 F1 · balance_after: The Form 4 previously filed by the reporting person on 2/7/2023 inadvertently overstated both the acquisition amount (in column 4 of Table I) and total amount (in column 5 of Table I) by 1,000 shares, which error was carried forward in subsequent Form 4s filed by the reporting person. Shares reported here reflect accurate holdings. Read SEC document |
| December 28, 2023 Filed Jan 2, 2024 20:53 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 44 | $11.75 | $517.00 |
DisclosureSEC source: 0001104659-24-000311 · tm241490-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,503 F1 · balance_after: The Form 4 previously filed by the reporting person on 2/7/2023 inadvertently overstated both the acquisition amount (in column 4 of Table I) and total amount (in column 5 of Table I) by 1,000 shares, which error was carried forward in subsequent Form 4s filed by the reporting person. Shares reported here reflect accurate holdings. Read SEC document |
| April 06, 2023 Filed Apr 7, 2023 12:37 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 5,000 | $10.85 | $54,250.00 |
DisclosureSEC source: 0001104659-23-042976 · tm2312116d1_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,459 Read SEC document |
| April 05, 2023 Filed Apr 7, 2023 12:37 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 2,400 | $10.85 | $26,040.00 |
DisclosureSEC source: 0001104659-23-042976 · tm2312116d1_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,459 Read SEC document |
| March 30, 2023 Filed Mar 31, 2023 21:00 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 1,568 | $10.85 | $17,012.80 |
DisclosureSEC source: 0001104659-23-040278 · tm2311161-1_4seq1.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 24,059 Read SEC document |
| March 29, 2023 Filed Mar 31, 2023 21:00 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 675 | $10.74 | $7,249.50 |
DisclosureSEC source: 0001104659-23-040278 · tm2311161-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 22,491 Read SEC document |
| February 03, 2023 Filed Feb 7, 2023 22:00 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 2,000 | $11.85 | $23,700.00 |
DisclosureSEC source: 0001104659-23-011783 · tm235764-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,816 Read SEC document |
| January 30, 2023 Filed Feb 1, 2023 22:00 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 2,000 | $11.63 | $23,260.00 |
DisclosureSEC source: 0001104659-23-009314 · tm235196-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,816 Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,000 | $14.66 | $14,660.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 6 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,584 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 100 | $14.65 | $1,465.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 5 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,584 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,000 | $14.73 | $14,730.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 4 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,484 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 2,000 | $14.77 | $29,540.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,484 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,500 | $14.94 | $22,410.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,484 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 21:02 UTC |
WALDEN CHARLES CDirector
|
Disposition to issuerCommon Stock | 5,014 | $15.69 | $78,669.66 |
DisclosureSEC source: 0001104659-22-043676 · tm2212183-4_4seq1.xml · nonDerivative · entry 1 WALDEN CHARLES C · CIK 0001475052 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,271 F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 21:02 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
Disposition to issuerCommon Stock | 3,534 | $15.69 | $55,448.46 |
DisclosureSEC source: 0001104659-22-043674 · tm2212183-3_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,816 F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 21:01 UTC |
HELLERMAN GERALDDirector
|
Disposition to issuerCommon Stock | 5,333 | $15.69 | $83,674.77 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,984 F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 21:01 UTC |
Dakos AndrewDirector · President
|
Disposition to issuerCommon Stock | 154 | $15.69 | $2,416.26 |
DisclosureSEC source: 0001104659-22-043672 · tm2212183-1_4seq1.xml · nonDerivative · entry 3 Dakos Andrew · CIK 0001341021 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · By Minor Children Disclosed balance after: 782 F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities owned by his minor children 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 |
| April 05, 2022 Filed Apr 7, 2022 21:01 UTC |
Dakos AndrewDirector · President
|
Disposition to issuerCommon Stock | 968 | $15.69 | $15,187.92 |
DisclosureSEC source: 0001104659-22-043672 · tm2212183-1_4seq1.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 5,257 F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. F2 · ownership.direct: 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 |
| April 05, 2022 Filed Apr 7, 2022 21:01 UTC |
Dakos AndrewDirector · President
|
Disposition to issuerCommon Stock | 2,016 | $15.69 | $31,631.04 |
DisclosureSEC source: 0001104659-22-043672 · tm2212183-1_4seq1.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,162 F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. Read SEC document |
| April 05, 2022 Filed Apr 8, 2022 17:57 UTC |
Das Rajeev PVice President
|
Disposition to issuerCommon Stock | 513 | $15.69 | $8,048.97 |
DisclosureSEC source: 0001104659-22-044072 · tm2212325-1_4seq1.xml · nonDerivative · entry 1 Das Rajeev P · CIK 0001340982 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 2,583 F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. 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 |
| February 07, 2022 Filed Feb 9, 2022 22:00 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
PurchaseCommon Stock | 2,000 | $14.76 | $29,510.00 |
DisclosureSEC source: 0001104659-22-017157 · tm225995-1_4seq1.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,350 Read SEC document |
| January 28, 2022 Filed Jan 28, 2022 22:12 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 532 | $14.50 | $7,714.00 |
DisclosureSEC source: 0001104659-22-009073 · tm224833d1_4.xml · nonDerivative · entry 4 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,318 F1 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| January 28, 2022 Filed Jan 28, 2022 22:12 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 68 | $14.59 | $992.12 |
DisclosureSEC source: 0001104659-22-009073 · tm224833d1_4.xml · nonDerivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,786 F1 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| January 27, 2022 Filed Jan 28, 2022 22:22 UTC |
Lunder MarcDirector
|
Other2.75% Convertible Preferred Stock, Series C · Derivative | 1,000 | $25.00 Strike: $0.00 | $25,000.00 |
DisclosureSEC source: 0001104659-22-009093 · tm224833d4_4.xml · derivative · entry 3 Lunder Marc · CIK 0001629986 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Roth IRA Disclosed balance after: 1,000 Underlying: Common Stock · 1,219 shares Expires not disclosed F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of December 20, 2021 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 2.75% Convertible Preferred Stock, Series C ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued up to 1,500,000 additional shares of Preferred Stock to honor the Over-Subscription Privilege. F2 · date: The rights offering expired January 21, 2022 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about January 27, 2022. F3 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. F4 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F3 · derivative.underlying_shares: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. Read SEC document |
| January 27, 2022 Filed Jan 28, 2022 22:27 UTC |
Dakos AndrewDirector · President
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Other2.75% Convertible Preferred Stock, Series C · Derivative | 200 | $25.00 Strike: $0.00 | $5,000.00 |
DisclosureSEC source: 0001104659-22-009099 · tm224833d3_4.xml · derivative · entry 4 Dakos Andrew · CIK 0001341021 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200 Underlying: Common Stock · 244 shares Expires not disclosed F3 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of December 20, 2021 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 2.75% Convertible Preferred Stock, Series C ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued up to 1,500,000 additional shares of Preferred Stock to honor the Over-Subscription Privilege. F4 · date: The rights offering expired January 21, 2022 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about January 27, 2022. F5 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. F6 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F5 · derivative.underlying_shares: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. Read SEC document |
| January 27, 2022 Filed Jan 28, 2022 22:20 UTC |
WALDEN CHARLES CDirector
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Other2.75% Convertible Preferred Stock, Series C · Derivative | 2,000 | $25.00 Strike: $0.00 | $50,000.00 |
DisclosureSEC source: 0001104659-22-009088 · tm224833-5_4.xml · derivative · entry 2 WALDEN CHARLES C · CIK 0001475052 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,438 shares Expires not disclosed F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of December 20, 2021 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 2.75% Convertible Preferred Stock, Series C ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued up to 1,500,000 additional shares of Preferred Stock to honor the Over-Subscription Privilege. F2 · date: The rights offering expired January 21, 2022 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about January 27, 2022. F3 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. F4 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F3 · derivative.underlying_shares: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. Read SEC document |
| January 27, 2022 Filed Jan 28, 2022 22:14 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
Other2.75% Convertible Preferred Stock, Series C · Derivative | 9,369 | $25.00 Strike: $0.00 | $234,225.00 |
DisclosureSEC source: 0001104659-22-009077 · tm224833d2_4.xml · derivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,369 Underlying: Common Stock · 11,426 shares Expires not disclosed F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of December 20, 2021 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 2.75% Convertible Preferred Stock, Series C ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued up to 1,500,000 additional shares of Preferred Stock to honor the Over-Subscription Privilege. F2 · date: The rights offering expired January 21, 2022 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about January 27, 2022. F3 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. F4 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F3 · derivative.underlying_shares: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 22:12 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 785 | $14.63 | $11,484.55 |
DisclosureSEC source: 0001104659-22-009073 · tm224833d1_4.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,718 F1 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 22:12 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 285 | $14.72 | $4,195.20 |
DisclosureSEC source: 0001104659-22-009073 · tm224833d1_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,933 F1 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| December 16, 2021 Filed Dec 20, 2021 22:00 UTC |
GOLDSTEIN PHILLIPDirector · Chairman and Secretary
|
SaleCommon Stock | 2,542 | $15.55 | $39,529.12 |
DisclosureSEC source: 0001104659-21-151765 · tm2135934-1_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,350 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.