Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LIBERTY ALL STAR EQUITY FUNDUSA · Entity 8815 | Trustee | December 02, 2020 | December 03, 2020 |
| LIBERTY ALL STAR GROWTH FUND INC.ASG · Entity 5864 | Director | December 31, 2020 | January 28, 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.
LIBERTY ALL STAR EQUITY FUND
Report date December 02, 2020 · Filed December 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 85,000 |
Reported balance
After 2020-12-02 transaction · row 1
1 source rowRow 1 · 2020-12-02 · Purchase · Acquired 5,000 · Balance 85,000 |
LIBERTY ALL STAR GROWTH FUND INC.
Report date December 31, 2020 · Filed January 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Common StockSEC Table I · non-derivative | Direct | 60,143 |
Reported balance
Holding disclosure · report date 2020-12-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 60,143 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Silver Bay Realty Trust Corp.
Report date May 09, 2017 · Filed May 09, 2017
Section 16 reporting ended · disclosed 2017-05-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2017-05-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-05-09 · Grant · Acquired 135,375 · Balance 171,750 F1: Reflects the number of outstanding shares of performance-based stock units, including dividend equivalent units, which vested in full pursuant to the Merger Agreement (defined in Footnote 3) and will be cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares of this Common Stock and the Merger Consideration (defined in Footnote 3). F2: Common Stock cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares of this Common Stock and the Merger Consideration. Row 2 · 2017-05-09 · Disposition to issuer · Disposed 171,750 · Balance 0 F3: On February 27, 2017, the Issuer entered into a Merger and Plan of Merger among Tricon Capital Group Inc., TAH Acquisition Holdings LLC, TAH Acquisition LP, Silver Bay Management LLC and Silver Bay Operating Partnership L.P. (the "Merger Agreement"). Upon completion of the merger, the Reporting Person's shares of the Issuer's Common Stock were cancelled and converted into the right to receive $21.50 per share in cash, without interest (the "Merger Consideration"). F2: Common Stock cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares of this Common Stock and the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the number of outstanding shares of performance-based stock units, including dividend equivalent units, which vested in full pursuant to the Merger Agreement (defined in Footnote 3) and will be cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares of this Common Stock and the Merger Consideration (defined in Footnote 3).
F2: Common Stock cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares of this Common Stock and the Merger Consideration.
F3: On February 27, 2017, the Issuer entered into a Merger and Plan of Merger among Tricon Capital Group Inc., TAH Acquisition Holdings LLC, TAH Acquisition LP, Silver Bay Management LLC and Silver Bay Operating Partnership L.P. (the "Merger Agreement"). Upon completion of the merger, the Reporting Person's shares of the Issuer's Common Stock were cancelled and converted into the right to receive $21.50 per share in cash, without interest (the "Merger Consideration").
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 |
|---|---|---|---|---|---|---|
| December 02, 2020 Filed Dec 3, 2020 02:58 UTC | LIBERTY ALL STAR EQUITY FUND USA · Entity 8815 | PurchaseShares of Beneficial Interest | 5,000 | $6.68 | $33,400.00 |
DisclosureSEC source: 0001280303-20-000006 · primary_doc.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,000 Read SEC document |
| November 09, 2020 Filed Nov 9, 2020 21:38 UTC | LIBERTY ALL STAR EQUITY FUND USA · Entity 8815 | PurchaseShares of Beneficial Interest | 25,000 | $6.45 | $161,225.00 |
DisclosureSEC source: 0001280303-20-000005 · primary_doc.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 14:29 UTC | LIBERTY ALL STAR EQUITY FUND USA · Entity 8815 | PurchaseShares of Beneficial Interest | 6,254 | $6.19 | $38,711.63 |
DisclosureSEC source: 0001280303-20-000004 · primary_doc.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Read SEC document |
| June 19, 2020 Filed Jul 1, 2020 21:29 UTC | LIBERTY ALL STAR EQUITY FUND USA · Entity 8815 | SaleShares of Beneficial Interest | 2,568 | $5.81 | $14,920.08 |
DisclosureSEC source: 0001280303-20-000003 · primary_doc.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 0 Read SEC document |
| March 31, 2020 Filed Mar 31, 2020 21:40 UTC | LIBERTY ALL STAR GROWTH FUND INC. ASG · Entity 5864 | PurchaseShares of Common Stock | 10,024 | $4.34 | $43,504.16 |
DisclosureSEC source: 0001280303-20-000002 · primary_doc.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,124 Read SEC document |
| April 23, 2019 Filed Apr 23, 2019 19:11 UTC | LIBERTY ALL STAR EQUITY FUND USA · Entity 8815 | PurchaseShares of Beneficial Interest | 700 | $6.42 | $4,494.00 |
DisclosureSEC source: 0001280303-19-000003 · primary_doc.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 2,500 Read SEC document |
| February 20, 2019 Filed Feb 20, 2019 21:41 UTC | LIBERTY ALL STAR EQUITY FUND USA · Entity 8815 | PurchaseShares of Beneficial Interest | 800 | $6.09 | $4,869.20 |
DisclosureSEC source: 0001280303-19-000002 · primary_doc.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 1,800 Read SEC document |
| November 13, 2018 Filed Nov 14, 2018 15:09 UTC | LIBERTY ALL STAR EQUITY FUND USA · Entity 8815 | PurchaseShares of Beneficial Interest | 1,000 | $6.19 | $6,187.00 |
DisclosureSEC source: 0001280303-18-000004 · primary_doc.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 1,000 Read SEC document |
| November 06, 2018 Filed Nov 6, 2018 20:20 UTC | LIBERTY ALL STAR EQUITY FUND USA · Entity 8815 | PurchaseShares of Beneficial Interest | 15,000 | $6.12 | $91,791.00 |
DisclosureSEC source: 0001280303-18-000003 · primary_doc.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,746.706 Read SEC document |
| May 09, 2017 Filed May 9, 2017 16:14 UTC | Silver Bay Realty Trust Corp. SBY · Entity 176326 | Disposition to issuerCommon Stock, par value $0.01 per share | 171,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-030918 · doc4.xml · nonDerivative · entry 2 BROCK THOMAS W · CIK 0001280303 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: On February 27, 2017, the Issuer entered into a Merger and Plan of Merger among Tricon Capital Group Inc., TAH Acquisition Holdings LLC, TAH Acquisition LP, Silver Bay Management LLC and Silver Bay Operating Partnership L.P. (the "Merger Agreement"). Upon completion of the merger, the Reporting Person's shares of the Issuer's Common Stock were cancelled and converted into the right to receive $21.50 per share in cash, without interest (the "Merger Consideration"). F2 · price: Common Stock cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares of this Common Stock and the Merger Consideration. Read SEC document |
| May 09, 2017 Filed May 9, 2017 16:14 UTC | Silver Bay Realty Trust Corp. SBY · Entity 176326 | GrantCommon Stock, par value $0.01 per share | 135,375 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-030918 · doc4.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,750 F1 · shares: Reflects the number of outstanding shares of performance-based stock units, including dividend equivalent units, which vested in full pursuant to the Merger Agreement (defined in Footnote 3) and will be cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares of this Common Stock and the Merger Consideration (defined in Footnote 3). F2 · price: Common Stock cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares of this Common Stock and the Merger Consideration. Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 17:35 UTC | Silver Bay Realty Trust Corp. SBY · Entity 176326 | GrantCommon Stock, par value $0.01 per share | 17,836 | $0.00 | $0.00 |
DisclosureSEC source: 0001557255-17-000008 · wf-form4_148590209261178.xml · nonDerivative · entry 1 BROCK THOMAS W · CIK 0001280303 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,375 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.