Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARES CAPITAL CORPARCC · Entity 3377 | Chief Financial Officer | March 15, 2023 | March 17, 2023 |
| American Capital Senior Floating, Ltd.ACSF · Entity 179680 | Chief Financial Officer | January 03, 2017 | January 13, 2017 |
| CION Ares Diversified Credit FundCADEX · Entity 31546 | Chief Financial Officer | December 01, 2016 | December 01, 2016 |
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.
ARES CAPITAL CORP
Report date March 15, 2023 · Filed March 17, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy trust | 60,500 |
Last balance in matching sequence
After 2023-03-16 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2023-03-15 · Purchase · Acquired 3,000 · Balance 57,500 F1: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Row 2 · 2023-03-16 · Purchase · Acquired 3,000 · Balance 60,500 F2: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.435 to $17.440, inclusive. The reporting person undertakes to provide to Ares Capital Corporation, any security holder of Ares Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (2) to this Form 4. F1: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. |
| Common StockSEC Table I · non-derivative | Direct | 11,147 |
Reported balance
Holding disclosure · report date 2023-03-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 11,147 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children.
F2: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.435 to $17.440, inclusive. The reporting person undertakes to provide to Ares Capital Corporation, any security holder of Ares Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (2) to this Form 4.
American Capital Senior Floating, Ltd.
Report date January 03, 2017 · Filed January 13, 2017
This filing explicitly reported no securities owned.
CION Ares Diversified Credit Fund
Report date December 01, 2016 · Filed December 01, 2016
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 |
|---|---|---|---|---|---|---|
| March 16, 2023 Filed Mar 17, 2023 21:00 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | PurchaseCommon Stock | 3,000 | $17.44 | $52,320.00 |
DisclosureSEC source: 0001104659-23-033966 · tm239732-1_4seq1.xml · nonDerivative · entry 2 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 60,500 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.435 to $17.440, inclusive. The reporting person undertakes to provide to Ares Capital Corporation, any security holder of Ares Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (2) to this Form 4. F1 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| March 15, 2023 Filed Mar 17, 2023 21:00 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | PurchaseCommon Stock | 3,000 | $17.50 | $52,500.00 |
DisclosureSEC source: 0001104659-23-033966 · tm239732-1_4seq1.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 57,500 F1 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| September 14, 2022 Filed Sep 16, 2022 13:00 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | PurchaseCommon Stock | 2,500 | $19.04 | $47,600.00 |
DisclosureSEC source: 0001104659-22-100660 · tm2225909-1_4seq1.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 54,500 F1 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| August 03, 2022 Filed Aug 4, 2022 21:00 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | PurchaseCommon Stock | 25,000 | $19.77 | $494,250.00 |
DisclosureSEC source: 0001104659-22-086200 · tm2222504-1_4seq1.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 52,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.71 to $19.79, inclusive. The reporting person undertakes to provide to Ares Capital Corporation, any security holder of Ares Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. F2 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| December 14, 2021 Filed Dec 15, 2021 22:01 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | SaleCommon Stock | 25,805 | $19.96 | $515,067.80 |
DisclosureSEC source: 0001104659-21-150043 · tm2135445-1_4seq1.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 27,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.95 to $19.975, inclusive. The reporting person undertakes to provide to Ares Capital Corporation, any security holder of Ares Capital Corporation, 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 range set forth in footnote (1) to this Form 4. F2 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| November 23, 2020 Filed Nov 26, 2020 02:15 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | SaleCommon Stock | 7,000 | $16.54 | $115,780.00 |
DisclosureSEC source: 0001104659-20-129704 · a4.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 52,805 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.54 to $16.55, inclusive. The reporting person undertakes to provide to Ares Capital Corporation, any security holder of Ares Capital Corporation, 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 range set forth in footnote (1) to this Form 4. F2 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| May 06, 2020 Filed May 8, 2020 21:00 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | PurchaseCommon Stock | 500 | $13.28 | $6,640.00 |
DisclosureSEC source: 0001104659-20-058879 · a4.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 59,805 F1 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 21:00 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | PurchaseCommon Stock | 1,000 | $14.34 | $14,340.00 |
DisclosureSEC source: 0001104659-20-033200 · a4.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 59,305 F1 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 21:00 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | PurchaseCommon Stock | 2,000 | $18.36 | $36,720.00 |
DisclosureSEC source: 0001104659-19-044556 · a4.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 58,305 F1 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| November 20, 2018 Filed Nov 22, 2018 01:33 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | SaleCommon Stock | 6,000 | $16.76 | $100,560.00 |
DisclosureSEC source: 0001104659-18-069649 · a4.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 56,305 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.76 to $16.77, inclusive. The reporting person undertakes to provide to Ares Capital Corporation, any security holder of Ares Capital Corporation, 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 range set forth in footnote (1) to this Form 4. F2 · ownership.nature: These shares are held in a revocable trust for the benefit of the reporting person, the reporting person's spouse and the reporting person's children. Read SEC document |
| February 15, 2018 Filed Feb 16, 2018 22:00 UTC | ARES CAPITAL CORP ARCC · Entity 3377 | PurchaseCommon Stock | 3,000 | $15.81 | $47,430.00 |
DisclosureSEC source: 0001104659-18-010416 · a4.xml · nonDerivative · entry 1 ROLL PENELOPE F · CIK 0001205623 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,147 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.