person · Reporting owner

Franz Keith S

Disclosed activity across 1 company

Tapewire entity: 112692
SEC CIK: 0001553169

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CION Investment CorpCION · Entity 5735	CFO & Treasurer	June 01, 2023	June 05, 2023

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

CION Investment Corp

Report date June 01, 2023 · Filed June 05, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common stock, $0.001 par valueSEC Table I · non-derivative	Direct	71,611.68	Reported balance After 2023-06-01 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2023-06-01 · Purchase · Acquired 15,715 · Balance 71,611.68 F1: Represents the aggregate of purchases effected on the same trading day at different prices. F2: Represents the weighted average purchase price per share. The shares were purchased at prices ranging from $9.40 to $9.57 per share. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. F3: Includes 2,896.68 Shares of which an investment retirement account is the record holder that includes 396.68 shares acquired under the Issuer's distribution reinvestment plan. Mr. Franz is the indirect beneficial owner with sole voting and investment power with respect to the Shares held by the investment retirement account.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the aggregate of purchases effected on the same trading day at different prices.

F2: Represents the weighted average purchase price per share. The shares were purchased at prices ranging from $9.40 to $9.57 per share. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

F3: Includes 2,896.68 Shares of which an investment retirement account is the record holder that includes 396.68 shares acquired under the Issuer's distribution reinvestment plan. Mr. Franz is the indirect beneficial owner with sole voting and investment power with respect to the Shares held by the investment retirement account.

Transaction history

JSON API

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	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 01, 2023 Filed Jun 5, 2023 13:52 UTC	CION Investment Corp CION · Entity 5735	PurchaseCommon stock, $0.001 par value	15,715	$9.52	$149,606.80	Disclosure SEC source: 0001104659-23-067914 · tm2317802-1_4seq1.xml · nonDerivative · entry 1 Franz Keith S · CIK 0001553169 · CFO & Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,611.68 F1 · shares: Represents the aggregate of purchases effected on the same trading day at different prices. F2 · price: Represents the weighted average purchase price per share. The shares were purchased at prices ranging from $9.40 to $9.57 per share. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. F3 · balance_after: Includes 2,896.68 Shares of which an investment retirement account is the record holder that includes 396.68 shares acquired under the Issuer's distribution reinvestment plan. Mr. Franz is the indirect beneficial owner with sole voting and investment power with respect to the Shares held by the investment retirement account. Read SEC document
November 30, 2022 Filed Dec 1, 2022 16:44 UTC	CION Investment Corp CION · Entity 5735	PurchaseCommon stock, $0.001 par value	10,000	$10.01	$100,100.00	Disclosure SEC source: 0001104659-22-123550 · tm2231765-2_4seq1.xml · nonDerivative · entry 1 Franz Keith S · CIK 0001553169 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,500 F1 · shares: Represents the aggregate of purchases effected on the same trading day at different prices. F2 · price: Represents the weighted average purchase price per share. The shares were purchased at prices ranging from $9.98 to $10.05 per share. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. F3 · balance_after: Includes 2,500 Shares of which an investment retirement account is the record holder. Mr. Franz is the indirect beneficial owner with sole voting and investment power with respect to the Shares held by the investment retirement account. Read SEC document
August 30, 2022 Filed Sep 1, 2022 18:40 UTC	CION Investment Corp CION · Entity 5735	PurchaseCommon stock, $0.001 par value	8,000	$10.28	$82,240.00	Disclosure SEC source: 0001104659-22-096951 · tm2224947-2_4seq1.xml · nonDerivative · entry 1 Franz Keith S · CIK 0001553169 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,500 F1 · shares: Represents the aggregate of purchases effected on the same trading day at different prices. F2 · price: Represents the weighted average purchase price per share. The shares were purchased at prices ranging from $10.20 to $10.35 per share. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. F3 · balance_after: Includes 2,500 Shares of which an investment retirement account is the record holder. Mr. Franz is the indirect beneficial owner with sole voting and investment power with respect to the Shares held by the investment retirement account. Read SEC document
May 13, 2022 Filed May 17, 2022 19:06 UTC	CION Investment Corp CION · Entity 5735	PurchaseCommon stock, $0.001 par value	2,500	$10.53	$26,325.00	Disclosure SEC source: 0001104659-22-061898 · tm2215851-1_4seq1.xml · nonDerivative · entry 2 Franz Keith S · CIK 0001553169 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 37,500 F3 · ownership.nature: Purchased by an IRA of the Reporting Person. Read SEC document
May 13, 2022 Filed May 17, 2022 19:06 UTC	CION Investment Corp CION · Entity 5735	PurchaseCommon stock, $0.001 par value	20,000	$10.50	$210,000.00	Disclosure SEC source: 0001104659-22-061898 · tm2215851-1_4seq1.xml · nonDerivative · entry 1 Franz Keith S · CIK 0001553169 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 F1 · shares: Represents the aggregate of purchases effected on the same trading day at different prices. F2 · price: Represents the weighted average purchase price per share. The shares were purchased at prices ranging from $10.42 to $10.59 per share. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
November 24, 2021 Filed Nov 26, 2021 15:16 UTC	CION Investment Corp CION · Entity 5735	PurchaseCommon stock, $0.001 par value	10,000	$14.13	$141,300.00	Disclosure SEC source: 0001104659-21-143825 · tm2133978-1_4seq1.xml · nonDerivative · entry 2 Franz Keith S · CIK 0001553169 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · shares: Represents the aggregate of purchases effected on the same trading day at different prices. F2 · price: Represents the weighted average purchase price per share. The shares were purchased at prices ranging from $14.06 to $14.17 per share. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
November 23, 2021 Filed Nov 26, 2021 15:16 UTC	CION Investment Corp CION · Entity 5735	PurchaseCommon stock, $0.001 par value	5,000	$13.50	$67,500.00	Disclosure SEC source: 0001104659-21-143825 · tm2133978-1_4seq1.xml · nonDerivative · entry 1 Franz Keith S · CIK 0001553169 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 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.