Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Apogem Evergreen FundN/A · Entity 80703 | Director | January 04, 2021 | July 19, 2021 |
| Clough Global Dividend & Income FundGLV · Entity 6971 | President | April 17, 2023 | April 24, 2023 |
| Clough Global Equity FundGLQ · Entity 8914 | President | April 17, 2023 | April 24, 2023 |
| Clough Global Opportunities FundGLO · Entity 8931 | President | April 17, 2023 | April 24, 2023 |
| Principal Real Estate Income FundPGZ · Entity 7053 | Principal Financial Officer · Officer of Investment Adviser | January 31, 2018 | February 06, 2018 |
| REAVES UTILITY INCOME FUNDUTG · Entity 4146 | Interested Trustee | October 16, 2017 | October 18, 2017 |
| RIVERNORTH OPPORTUNITIES FUND, INC.RIV · Entity 5947 | Director · Principal Executive Officer · Officer of Investment Adviser | April 24, 2018 | April 27, 2018 |
| SRH Total Return Fund, Inc.BIF · Entity 4587 | Officer of Adviser | November 22, 2021 | December 01, 2021 |
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.
Apogem Evergreen Fund
Report date January 04, 2021 · Filed July 19, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class I SharesSEC Table I · non-derivative | Direct | 5,127 |
Reported balance
After 2020-09-30 transaction · row 1
1 source rowRow 1 · 2020-09-30 · Purchase · Acquired 5,127 · Balance 5,127 F1: The Reporting Person purchased shares of Bow River Capital Evergreen Private Equity Fund, LP, an unregistered private fund, on September 30, 2020, which converted into Class I shares of the Issuer upon registration thereof on January 4, 2021 pursuant to the Investment Company Act of 1940. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person purchased shares of Bow River Capital Evergreen Private Equity Fund, LP, an unregistered private fund, on September 30, 2020, which converted into Class I shares of the Issuer upon registration thereof on January 4, 2021 pursuant to the Investment Company Act of 1940.
Clough Global Dividend & Income Fund
Report date April 17, 2023 · Filed April 24, 2023
This filing explicitly reported no securities owned.
Clough Global Equity Fund
Report date April 17, 2023 · Filed April 24, 2023
This filing explicitly reported no securities owned.
Clough Global Opportunities Fund
Report date April 17, 2023 · Filed April 24, 2023
This filing explicitly reported no securities owned.
Principal Real Estate Income Fund
Report date January 31, 2018 · Filed February 06, 2018 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
This filing explicitly reported no securities owned.
REAVES UTILITY INCOME FUND
Report date October 16, 2017 · Filed October 18, 2017 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 1,832 |
Reported balance
After 2017-10-16 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2017-10-16 · Purchase · Acquired 200 · Balance 1,832 |
RIVERNORTH OPPORTUNITIES FUND, INC.
Report date April 24, 2018 · Filed April 27, 2018 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
This filing explicitly reported no securities owned.
SRH Total Return Fund, Inc.
Report date November 22, 2021 · Filed December 01, 2021
This filing explicitly reported no securities owned.
Transaction history
JSON APIPurchases/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 |
|---|---|---|---|---|---|---|
| September 30, 2020 Filed Jul 19, 2021 20:50 UTC | Apogem Evergreen Fund N/A · Entity 80703 | PurchaseClass I Shares | 5,127 | $29.58 | $151,656.66 |
DisclosureSEC source: 0001398344-21-014495 · fp0067424_4.xml · nonDerivative · entry 1 MAY JEREMY O · CIK 0001281237 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,127 F1 · kind: The Reporting Person purchased shares of Bow River Capital Evergreen Private Equity Fund, LP, an unregistered private fund, on September 30, 2020, which converted into Class I shares of the Issuer upon registration thereof on January 4, 2021 pursuant to the Investment Company Act of 1940. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 16:28 UTC | REAVES UTILITY INCOME FUND UTG · Entity 4146 | PurchaseCommon Shares of Beneficial Interest | 200 | $29.93 | $5,986.00 |
DisclosureSEC source: 0001281237-17-000001 · primary_doc.xml · nonDerivative · entry 1 MAY JEREMY O · CIK 0001281237 · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,424 Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 16:21 UTC Amendment | REAVES UTILITY INCOME FUND UTG · Entity 4146 | PurchaseCommon Shares of Beneficial Interest | 200 | $29.93 | $5,986.00 |
DisclosureSEC source: 0001281237-17-000003 · primary_doc.xml · nonDerivative · entry 1 MAY JEREMY O · CIK 0001281237 · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,832 Read SEC document |
| October 11, 2017 Filed Oct 18, 2017 16:11 UTC | REAVES UTILITY INCOME FUND UTG · Entity 4146 | PurchaseCommon Shares of Beneficial Interest | 408 | $29.93 | $12,211.44 |
DisclosureSEC source: 0001281237-17-000002 · primary_doc.xml · nonDerivative · entry 1 MAY JEREMY O · CIK 0001281237 · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,632 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.