Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| UBS ASSET MANAGEMENT HIGH YIELD CREDIT FUNDDHY · Entity 8862 | Trustee/ · Audit Committee Chairman | December 27, 2016 | December 29, 2016 |
| UBS ASSET MANAGEMENT INCOME FUND, INC.CIK · Entity 8817 | Director · Audit Committee Chairman | December 27, 2016 | December 29, 2016 |
| abrdn Emerging Markets ex-China Fund, Inc.CH · Entity 5686 | Director | November 08, 2017 | November 13, 2017 |
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.
UBS ASSET MANAGEMENT HIGH YIELD CREDIT FUND
Report date December 27, 2016 · Filed December 29, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| common sharesSEC Table I · non-derivative | Direct | 19,426.61 |
Reported balance
After 2016-12-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2016-12-27 · Purchase · Acquired 1,679 · Balance 19,426.61 F1: The total number of shares held following this transaction includes 777.18 shares acquired on 8/22/2016, 9/23/2016, 10/31/2016, 11/30/2016 and 12/29/2016 as part of the fund's dividend reinvestment plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The total number of shares held following this transaction includes 777.18 shares acquired on 8/22/2016, 9/23/2016, 10/31/2016, 11/30/2016 and 12/29/2016 as part of the fund's dividend reinvestment plan.
UBS ASSET MANAGEMENT INCOME FUND, INC.
Report date December 27, 2016 · Filed December 29, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| common stockSEC Table I · non-derivative | Direct | 14,470.2 |
Reported balance
After 2016-12-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2016-12-27 · Purchase · Acquired 1,293 · Balance 14,470.2 F1: The total number of shares held following this transaction includes 456.56 shares acquired on 8/19/2016, 9/22/2016, 10/24/2016, 11/22/2016 and 12/21/2016 as part of the fund's dividend reinvestment plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The total number of shares held following this transaction includes 456.56 shares acquired on 8/19/2016, 9/22/2016, 10/24/2016, 11/22/2016 and 12/21/2016 as part of the fund's dividend reinvestment plan.
abrdn Emerging Markets ex-China Fund, Inc.
Report date November 08, 2017 · Filed November 13, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,570.54 |
Reported balance
After 2017-11-08 transaction · row 1
1 source rowRow 1 · 2017-11-08 · Purchase · Acquired 449.5027 · Balance 16,570.54 |
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ABERDEEN EMERGING MARKETS SMALLER Co OPPORTUNITIES FUND, INC.
Report date April 27, 2018 · Filed May 01, 2018
Section 16 reporting ended · disclosed 2018-05-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-04-27 transaction · row 1
1 source rowRow 1 · 2018-04-27 · Other · Disposed 9,621.7401 · Balance 0 F1: Effective as of April 27, 2018, the Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc. (the "Target Fund") was reorganized into the Aberdeen Emerging Markets Equity Income Fund, Inc., formerly, Aberdeen Chile Fund, Inc. (the "Acquiring Fund," and such reorganization, the "Reorganization"). Common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the close of business on April 27, 2018, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of April 27, 2018, the Target Fund reported a NAV per share of $15.6741 and the Acquiring Fund reported a NAV per share of $9.6662. The conversion ratio for the Target Fund's common shares was 1.6215. The Reporting Person received 15,601.00 common shares of the Acquiring Fund in exchange for his 9,621.7401 common shares of the Target Fund. |
Filing footnotes · ownership attribution and instrument terms
F1: Effective as of April 27, 2018, the Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc. (the "Target Fund") was reorganized into the Aberdeen Emerging Markets Equity Income Fund, Inc., formerly, Aberdeen Chile Fund, Inc. (the "Acquiring Fund," and such reorganization, the "Reorganization"). Common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the close of business on April 27, 2018, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of April 27, 2018, the Target Fund reported a NAV per share of $15.6741 and the Acquiring Fund reported a NAV per share of $9.6662. The conversion ratio for the Target Fund's common shares was 1.6215. The Reporting Person received 15,601.00 common shares of the Acquiring Fund in exchange for his 9,621.7401 common shares of the Target Fund.
ABERDEEN INDONESIA FUND, INC.
Report date April 27, 2018 · Filed May 01, 2018
Section 16 reporting ended · disclosed 2018-05-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-04-27 transaction · row 1
1 source rowRow 1 · 2018-04-27 · Other · Disposed 12,102.1315 · Balance 0 F1: Effective as of April 27, 2018, the Aberdeen Indonesia Fund, Inc. (the "Target Fund") was reorganized into the Aberdeen Emerging Markets Equity Income Fund, Inc., formerly, Aberdeen Chile Fund, Inc. (the "Acquiring Fund," and such reorganization, the "Reorganization"). In the Reorganization, common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the close of business on April 27, 2018, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of April 27, 2018, the Target Fund reported a NAV per share of $7.5631 and the Acquiring Fund reported a NAV per share of $9.6662. The conversion ratio for the Target Fund's common shares was 0.7824. In the Reorganization, the Reporting Person received 9,468.00 common shares of the Acquiring Fund in exchange for his 12,102.1315 common shares of the Target Fund. |
Filing footnotes · ownership attribution and instrument terms
F1: Effective as of April 27, 2018, the Aberdeen Indonesia Fund, Inc. (the "Target Fund") was reorganized into the Aberdeen Emerging Markets Equity Income Fund, Inc., formerly, Aberdeen Chile Fund, Inc. (the "Acquiring Fund," and such reorganization, the "Reorganization"). In the Reorganization, common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the close of business on April 27, 2018, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of April 27, 2018, the Target Fund reported a NAV per share of $7.5631 and the Acquiring Fund reported a NAV per share of $9.6662. The conversion ratio for the Target Fund's common shares was 0.7824. In the Reorganization, the Reporting Person received 9,468.00 common shares of the Acquiring Fund in exchange for his 12,102.1315 common shares of the Target Fund.
ABERDEEN ISRAEL FUND, INC.
Report date April 27, 2018 · Filed May 01, 2018
Section 16 reporting ended · disclosed 2018-05-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-04-27 transaction · row 1
1 source rowRow 1 · 2018-04-27 · Other · Disposed 8,766.4554 · Balance 0 F1: Effective as of April 27, 2018, the Aberdeen Israel Fund, Inc. (the "Target Fund") was reorganized into the Aberdeen Emerging Markets Equity Income Fund, Inc., formerly, Aberdeen Chile Fund, Inc. (the "Acquiring Fund," and such reorganization, the "Reorganization"). In the Reorganization, common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the close of business on April 27, 2018, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of April 27, 2018, the Target Fund reported a NAV per share of $19.9425 and the Acquiring Fund reported a NAV per share of $9.6662. The conversion ratio for the Target Fund's common shares was 2.0631. In the Reorganization, the Reporting Person received 18,086.00 common shares of the Acquiring Fund in exchange for his 8,766.4454 common shares of the Target Fund. |
Filing footnotes · ownership attribution and instrument terms
F1: Effective as of April 27, 2018, the Aberdeen Israel Fund, Inc. (the "Target Fund") was reorganized into the Aberdeen Emerging Markets Equity Income Fund, Inc., formerly, Aberdeen Chile Fund, Inc. (the "Acquiring Fund," and such reorganization, the "Reorganization"). In the Reorganization, common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the close of business on April 27, 2018, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of April 27, 2018, the Target Fund reported a NAV per share of $19.9425 and the Acquiring Fund reported a NAV per share of $9.6662. The conversion ratio for the Target Fund's common shares was 2.0631. In the Reorganization, the Reporting Person received 18,086.00 common shares of the Acquiring Fund in exchange for his 8,766.4454 common shares of the Target Fund.
ABERDEEN LATIN AMERICA EQUITY FUND, INC.
Report date April 27, 2018 · Filed May 01, 2018
Section 16 reporting ended · disclosed 2018-05-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-04-27 transaction · row 1
1 source rowRow 1 · 2018-04-27 · Other · Disposed 7,355.8725 · Balance 0 F1: Effective as of April 27, 2018, the Aberdeen Latin America Equity Fund, Inc. (the "Target Fund") was reorganized into the Aberdeen Emerging Markets Equity Income Fund, Inc., formerly, Aberdeen Chile Fund, Inc. (the "Acquiring Fund," and such reorganization, the "Reorganization"). In the Reorganization, common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the close of business on April 27, 2018, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of April 27, 2018, the Target Fund reported a NAV per share of $28.2129 and the Acquiring Fund reported a NAV per share of $9.6662. The conversion ratio for the Target Fund's common shares was 2.9187. In the Reorganization, the Reporting Person received 21,469.00 common shares of the Acquiring Fund in exchange for his 7,355.8725 common shares of the Target Fund. |
Filing footnotes · ownership attribution and instrument terms
F1: Effective as of April 27, 2018, the Aberdeen Latin America Equity Fund, Inc. (the "Target Fund") was reorganized into the Aberdeen Emerging Markets Equity Income Fund, Inc., formerly, Aberdeen Chile Fund, Inc. (the "Acquiring Fund," and such reorganization, the "Reorganization"). In the Reorganization, common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the close of business on April 27, 2018, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of April 27, 2018, the Target Fund reported a NAV per share of $28.2129 and the Acquiring Fund reported a NAV per share of $9.6662. The conversion ratio for the Target Fund's common shares was 2.9187. In the Reorganization, the Reporting Person received 21,469.00 common shares of the Acquiring Fund in exchange for his 7,355.8725 common shares of the Target Fund.
ADAMS DIVERSIFIED EQUITY FUND, INC.
Report date April 21, 2022 · Filed April 26, 2022
Section 16 reporting ended · disclosed 2022-04-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 20,830.78 |
Reported balance
After 2022-04-21 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-04-21 · Grant · Acquired 72.26 · Balance 20,830.78 F1: These shares accrued as dividend equivalents on deferred stock units (shares received in lieu of director retainer fees). The Issuer's stock traded in a range of $16.77 - $19.61 during 2022. F2: Dr. Arzac's cumulative beneficial ownership reflects the exempt transactions reported herein and also certain changes in direct and indirect ownership balances resulting from transfers among accounts. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 0.438 |
Reported balance
After 2022-04-21 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2022-04-21 · Other · Acquired 0.001 · Balance 0.438 F3: This fractional share was acquired in exempt transactions as a result of dividend reinvestment. The Issuer's stock traded in a range of $16.77 - $19.61 during 2022. F4: By the Enrique R. Arzac TTEE The Enrique R. Arzac TR UA DTD 12/28/2012 Trust. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 10,575.438 |
Reported balance
After 2022-04-21 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2022-04-21 · Grant · Acquired 1,225 · Balance 10,575.438 F5: Of these shares, 695 shares accrued as dividend equivalents on 750 restricted stock units, which were granted in 2007 and deferred until retirement on 04/21/2022. Another 530 shares accrued as dividend equivalents on 750 restricted stock units, which were granted in 2013 and deferred until retirement on 04/21/2022. The Issuer's stock average trading price on 04/21/2022 was $18.01. F6: A fractional share in the amount of 0.01 was issued as part of DSUs (granted in lieu of a 2007 deferred cash retainer) & DE shares earned. An additional fractional share in the amount of 0.54 was issued as part of DSUs (granted in lieu of a 2013 deferred cash retainer) & DE shares earned. The fractional shares were surrendered as non-transferrable to a registered account. F2: Dr. Arzac's cumulative beneficial ownership reflects the exempt transactions reported herein and also certain changes in direct and indirect ownership balances resulting from transfers among accounts. F4: By the Enrique R. Arzac TTEE The Enrique R. Arzac TR UA DTD 12/28/2012 Trust. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 29,319 |
Reported balance
Holding disclosure · report date 2022-04-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 29,319 F2: Dr. Arzac's cumulative beneficial ownership reflects the exempt transactions reported herein and also certain changes in direct and indirect ownership balances resulting from transfers among accounts. F4: By the Enrique R. Arzac TTEE The Enrique R. Arzac TR UA DTD 12/28/2012 Trust. |
| Common StockSEC Table I · non-derivative | IndirectIndirect/Other | 9,658 |
Reported balance
Holding disclosure · report date 2022-04-21 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 9,658 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares accrued as dividend equivalents on deferred stock units (shares received in lieu of director retainer fees). The Issuer's stock traded in a range of $16.77 - $19.61 during 2022.
F2: Dr. Arzac's cumulative beneficial ownership reflects the exempt transactions reported herein and also certain changes in direct and indirect ownership balances resulting from transfers among accounts.
F3: This fractional share was acquired in exempt transactions as a result of dividend reinvestment. The Issuer's stock traded in a range of $16.77 - $19.61 during 2022.
F4: By the Enrique R. Arzac TTEE The Enrique R. Arzac TR UA DTD 12/28/2012 Trust.
F5: Of these shares, 695 shares accrued as dividend equivalents on 750 restricted stock units, which were granted in 2007 and deferred until retirement on 04/21/2022. Another 530 shares accrued as dividend equivalents on 750 restricted stock units, which were granted in 2013 and deferred until retirement on 04/21/2022. The Issuer's stock average trading price on 04/21/2022 was $18.01.
F6: A fractional share in the amount of 0.01 was issued as part of DSUs (granted in lieu of a 2007 deferred cash retainer) & DE shares earned. An additional fractional share in the amount of 0.54 was issued as part of DSUs (granted in lieu of a 2013 deferred cash retainer) & DE shares earned. The fractional shares were surrendered as non-transferrable to a registered account.
ADAMS NATURAL RESOURCES FUND, INC.
Report date April 21, 2022 · Filed April 26, 2022
Section 16 reporting ended · disclosed 2022-04-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,421.72 |
Reported balance
After 2022-04-21 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-04-21 · Grant · Acquired 43.83 · Balance 7,421.72 F1: These shares accrued as dividend equivalents on deferred stock units (shares received in lieu of director retainer fees). The Issuer's stock traded in a range of $16.52 - $22.36 during 2022. F2: Dr. Arzac's cumulative beneficial ownership reflects the exempt transactions reported herein and also certain changes in direct and indirect ownership balances resulting from transfers among accounts. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 43.41 |
Reported balance
After 2022-04-21 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2022-04-21 · Other · Acquired 42.684 · Balance 43.41 F3: This fractional share was acquired in exempt transactions as a result of dividend reinvestment. The Issuer's stock traded in a range of $16.52 - $22.36 during 2022. F4: By the Enrique R. Arzac TTEE The Enrique R. Arzac TR UA DTD 12/28/2012 Trust. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 4,261.41 |
Reported balance
After 2022-04-21 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2022-04-21 · Grant · Acquired 566 · Balance 4,261.41 F5: Of these shares, 359 shares accrued as dividend equivalents on 400 restricted stock units, which were granted in 2007 and deferred until retirement on 04/21/2022. Another 207 shares accrued as dividend equivalents on 400 restricted stock units, which were granted in 2013 and deferred until retirement on 04/21/2022. The Issuer's stock average trading price on 04/21/2022 was $21.96. F6: A fractional share in the amount of 0.02 was issued as part of DSUs (granted in lieu of a 2007 deferred cash retainer) & DE shares earned. An additional fractional share in the amount of 0.26 was issued as part of DSUs (granted in lieu of a 2013 deferred cash retainer) & DE shares earned. The fractional shares were surrendered as non-transferrable to a registered account. F2: Dr. Arzac's cumulative beneficial ownership reflects the exempt transactions reported herein and also certain changes in direct and indirect ownership balances resulting from transfers among accounts. F4: By the Enrique R. Arzac TTEE The Enrique R. Arzac TR UA DTD 12/28/2012 Trust. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 8,428 |
Reported balance
Holding disclosure · report date 2022-04-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 8,428 F4: By the Enrique R. Arzac TTEE The Enrique R. Arzac TR UA DTD 12/28/2012 Trust. |
| Common StockSEC Table I · non-derivative | IndirectIndirect/Other | 3,025 |
Reported balance
Holding disclosure · report date 2022-04-21 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 3,025 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares accrued as dividend equivalents on deferred stock units (shares received in lieu of director retainer fees). The Issuer's stock traded in a range of $16.52 - $22.36 during 2022.
F2: Dr. Arzac's cumulative beneficial ownership reflects the exempt transactions reported herein and also certain changes in direct and indirect ownership balances resulting from transfers among accounts.
F3: This fractional share was acquired in exempt transactions as a result of dividend reinvestment. The Issuer's stock traded in a range of $16.52 - $22.36 during 2022.
F4: By the Enrique R. Arzac TTEE The Enrique R. Arzac TR UA DTD 12/28/2012 Trust.
F5: Of these shares, 359 shares accrued as dividend equivalents on 400 restricted stock units, which were granted in 2007 and deferred until retirement on 04/21/2022. Another 207 shares accrued as dividend equivalents on 400 restricted stock units, which were granted in 2013 and deferred until retirement on 04/21/2022. The Issuer's stock average trading price on 04/21/2022 was $21.96.
F6: A fractional share in the amount of 0.02 was issued as part of DSUs (granted in lieu of a 2007 deferred cash retainer) & DE shares earned. An additional fractional share in the amount of 0.26 was issued as part of DSUs (granted in lieu of a 2013 deferred cash retainer) & DE shares earned. The fractional shares were surrendered as non-transferrable to a registered account.
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 |
|---|---|---|---|---|---|---|
| November 09, 2016 Filed Nov 14, 2016 15:02 UTC | ABERDEEN EMERGING MARKETS SMALLER Co OPPORTUNITIES FUND, INC. ABE · Entity 167142 | PurchaseCommon Stock | 333.7012 | $11.95 | $3,988.33 |
DisclosureSEC source: 0001104659-16-156823 · a4.xml · nonDerivative · entry 1 ARZAC ENRIQUE R · CIK 0001009234 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,076.59 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.