Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CENTER COAST BROOKFIELD MLP & ENERGY INFRASTRUCTURE FUNDCEN · Entity 94296 | 10% owner | September 30, 2016 | October 31, 2016 |
| ClearBridge MLP & Midstream Fund Inc.CEM · Entity 87611 | 10% owner | May 31, 2018 | October 16, 2018 |
| NUVEEN FLOATING RATE INCOME FUNDJFR · Entity 8899 | 10% owner | November 09, 2020 | November 20, 2020 |
| TORTOISE ENERGY INFRASTRUCTURE CORPTYG · Entity 8897 | 10% owner | May 31, 2018 | October 16, 2018 |
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.
CENTER COAST BROOKFIELD MLP & ENERGY INFRASTRUCTURE FUND
Report date September 30, 2016 · Filed October 31, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2016-09-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance Not disclosed |
ClearBridge MLP & Midstream Fund Inc.
Report date May 31, 2018 · Filed October 16, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 4.21% due 7/10/2024SEC Table I · non-derivative | Direct | 40,393,013.1 |
Reported balance
After 2016-02-25 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2016-02-25 · Other · Disposed 9,606.9869 · Balance 40,393,013.1 F2: The reported securities were redeemed by the issuer pursuant to the terms of the Note Purchase Agreement, dated as of July 12, 2012. |
| 4.21% due 7/10/2024SEC Table I · non-derivative | Direct | 50,000,000 |
Reported balance
Holding disclosure · report date 2018-05-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 50,000,000 F1: Knights of Columbus became a beneficial owner of these securities as of June 25, 2012, which made Knights of Columbus subject to Section 16 as a 10% holder based upon the $267 million aggregate principal amount of fixed rate senior secured notes outstanding as of November 30, 2012, as set forth in the issuer's financial statements contained in its annual report to shareholders for the period ended November 30, 2012, as filed with the Securities and Exchange Commission on January 28, 2013. |
Filing footnotes · ownership attribution and instrument terms
F1: Knights of Columbus became a beneficial owner of these securities as of June 25, 2012, which made Knights of Columbus subject to Section 16 as a 10% holder based upon the $267 million aggregate principal amount of fixed rate senior secured notes outstanding as of November 30, 2012, as set forth in the issuer's financial statements contained in its annual report to shareholders for the period ended November 30, 2012, as filed with the Securities and Exchange Commission on January 28, 2013.
F2: The reported securities were redeemed by the issuer pursuant to the terms of the Note Purchase Agreement, dated as of July 12, 2012.
NUVEEN FLOATING RATE INCOME FUND
Report date November 09, 2020 · Filed November 20, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Preferred Stock 67072TAD0SEC Table I · non-derivative | Direct | 13,909,000 |
Reported balance
After 2020-11-09 transaction · row 1
1 source rowRow 1 · 2020-11-09 · Sale · Disposed 37,091,000 · Balance 13,909,000 F1: Late filing due to an inadvertent administrative error. |
Filing footnotes · ownership attribution and instrument terms
F1: Late filing due to an inadvertent administrative error.
TORTOISE ENERGY INFRASTRUCTURE CORP
Report date May 31, 2018 · Filed October 16, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Preferred Stock 4.01%SEC Table I · non-derivative | Direct | 8,000,000 |
Reported balance
After 2014-12-17 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2014-12-17 · Purchase · Acquired 300,000 · Balance 8,000,000 |
| Preferred Stock 4.01%SEC Table I · non-derivative | Direct | 5,000,000 |
Reported balance
Holding disclosure · report date 2018-05-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,000,000 F1: Knights of Columbus became a beneficial owner of these securities as of October 9, 2014, which made Knights of Columbus subject to Section 16 as a 10% holder based upon 22,400,000 shares of mandatory redeemable preferred (MRP) stock outstanding as of November 30, 2014, as set forth in the issuer's financial statements contained in its annual report to shareholders for the period ended November 30, 2014, as filed with the Securities and Exchange Commission on January 21, 2015. |
| Preferred Stock 4.34%SEC Table I · non-derivative | Direct | 21,000,000 |
Reported balance
After 2014-12-17 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2014-12-17 · Purchase · Acquired 600,000 · Balance 21,000,000 |
| Preferred Stock 4.34%SEC Table I · non-derivative | Direct | 15,000,000 |
Reported balance
Holding disclosure · report date 2018-05-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 15,000,000 F1: Knights of Columbus became a beneficial owner of these securities as of October 9, 2014, which made Knights of Columbus subject to Section 16 as a 10% holder based upon 22,400,000 shares of mandatory redeemable preferred (MRP) stock outstanding as of November 30, 2014, as set forth in the issuer's financial statements contained in its annual report to shareholders for the period ended November 30, 2014, as filed with the Securities and Exchange Commission on January 21, 2015. |
Filing footnotes · ownership attribution and instrument terms
F1: Knights of Columbus became a beneficial owner of these securities as of October 9, 2014, which made Knights of Columbus subject to Section 16 as a 10% holder based upon 22,400,000 shares of mandatory redeemable preferred (MRP) stock outstanding as of November 30, 2014, as set forth in the issuer's financial statements contained in its annual report to shareholders for the period ended November 30, 2014, as filed with the Securities and Exchange Commission on January 21, 2015.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Nuveen Floating Rate Income Opportunity Fund
Report date October 28, 2020 · Filed November 20, 2020
Section 16 reporting ended · disclosed 2020-11-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Preferred Stock 6706ENAC4SEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2020-11-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-10-28 · Sale · Disposed 15,000,000 · Balance 30,000,000 F1: Late filing due to an inadvertent administrative error. Row 2 · 2020-11-09 · Sale · Disposed 30,000,000 · Balance 0 F1: Late filing due to an inadvertent administrative error. |
Filing footnotes · ownership attribution and instrument terms
F1: Late filing due to an inadvertent administrative error.
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, 2020 Filed Nov 20, 2020 11:47 UTC | NUVEEN FLOATING RATE INCOME FUND JFR · Entity 8899 | SalePreferred Stock 67072TAD0 | 37,091,000 | $100.00 | $3,709,100,000.00 |
DisclosureSEC source: 0000813913-20-000002 · primary_doc.xml · nonDerivative · entry 1 KNIGHTS OF COLUMBUS · CIK 0000813913 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,909,000 F1 · date: Late filing due to an inadvertent administrative error. Read SEC document |
| November 09, 2020 Filed Nov 20, 2020 11:39 UTC | Nuveen Floating Rate Income Opportunity Fund JRO · Entity 16253 | SalePreferred Stock 6706ENAC4 | 30,000,000 | $100.00 | $3,000,000,000.00 |
DisclosureSEC source: 0000813913-20-000001 · primary_doc.xml · nonDerivative · entry 2 KNIGHTS OF COLUMBUS · CIK 0000813913 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · date: Late filing due to an inadvertent administrative error. Read SEC document |
| October 28, 2020 Filed Nov 20, 2020 11:39 UTC | Nuveen Floating Rate Income Opportunity Fund JRO · Entity 16253 | SalePreferred Stock 6706ENAC4 | 15,000,000 | $100.00 | $1,500,000,000.00 |
DisclosureSEC source: 0000813913-20-000001 · primary_doc.xml · nonDerivative · entry 1 KNIGHTS OF COLUMBUS · CIK 0000813913 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000,000 F1 · date: Late filing due to an inadvertent administrative error. Read SEC document |
| January 13, 2017 Filed Oct 16, 2018 12:35 UTC | NUVEEN FLOATING RATE INCOME FUND JFR · Entity 8899 | SalePreferred Stock 67072TAD0 | 4,000 | $1,001.00 | $4,004,000.00 |
DisclosureSEC source: 0001209191-18-055062 · doc5.xml · nonDerivative · entry 2 KNIGHTS OF COLUMBUS · CIK 0000813913 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,000,000 Read SEC document |
| February 25, 2016 Filed Oct 16, 2018 12:22 UTC | ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611 | Other4.21% due 7/10/2024 | 9,606.9869 | $1,000.00 | $9,606,986.90 |
DisclosureSEC source: 0001209191-18-055055 · doc5.xml · nonDerivative · entry 2 KNIGHTS OF COLUMBUS · CIK 0000813913 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,393,013.1 F2 · kind: The reported securities were redeemed by the issuer pursuant to the terms of the Note Purchase Agreement, dated as of July 12, 2012. Read SEC document |
| December 17, 2014 Filed Oct 16, 2018 12:32 UTC | TORTOISE ENERGY INFRASTRUCTURE CORP TYG · Entity 8897 | PurchasePreferred Stock 4.34% | 600,000 | $10.00 | $6,000,000.00 |
DisclosureSEC source: 0001209191-18-055060 · doc5.xml · nonDerivative · entry 4 KNIGHTS OF COLUMBUS · CIK 0000813913 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000,000 Read SEC document |
| December 17, 2014 Filed Oct 16, 2018 12:32 UTC | TORTOISE ENERGY INFRASTRUCTURE CORP TYG · Entity 8897 | PurchasePreferred Stock 4.01% | 300,000 | $10.00 | $3,000,000.00 |
DisclosureSEC source: 0001209191-18-055060 · doc5.xml · nonDerivative · entry 3 KNIGHTS OF COLUMBUS · CIK 0000813913 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000,000 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.