Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PROSPECT CAPITAL CORPPSEC · Entity 4873 | CFO, CCO, TREASURY & SECRETARY | November 10, 2017 | November 14, 2017 |
| Pathway Capital Opportunity Fund, Inc.[NA] · Entity 167560 | CFO, CCO, Treasurer & Sec | September 02, 2014 | August 10, 2017 |
| Priority Income Fund, Inc.[NA] · Entity 9813 | CFO, CCO, Treasurer, Secretary | December 17, 2014 | August 16, 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.
PROSPECT CAPITAL CORP
Report date November 10, 2017 · Filed November 14, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 575,000 |
Ending reported balance
After 2017-11-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-11-10 · Purchase · Acquired 500 · Balance 540,500 Row 2 · 2017-11-10 · Purchase · Acquired 34,500 · Balance 575,000 |
Pathway Capital Opportunity Fund, Inc.
Report date September 02, 2014 · Filed August 10, 2017
This filing explicitly reported no securities owned.
Priority Income Fund, Inc.
Report date December 17, 2014 · Filed August 16, 2017
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 |
|---|---|---|---|---|---|---|
| November 10, 2017 Filed Nov 14, 2017 21:12 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 34,500 | $5.75 | $198,375.00 |
DisclosureSEC source: 0001171843-17-007000 · formfour.xml · nonDerivative · entry 2 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 575,000 Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 21:12 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 500 | $5.74 | $2,870.00 |
DisclosureSEC source: 0001171843-17-007000 · formfour.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 540,500 Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 20:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 46,627 | $6.73 | $313,799.71 |
DisclosureSEC source: 0001171843-17-005417 · formfour.xml · nonDerivative · entry 2 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 540,000 Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 20:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 3,373 | $6.69 | $22,565.37 |
DisclosureSEC source: 0001171843-17-005417 · formfour.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 493,373 Read SEC document |
| May 12, 2017 Filed May 16, 2017 20:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 4,453 | $8.05 | $35,846.65 |
DisclosureSEC source: 0001171843-17-003120 · f4_oswald051617.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 490,000 Read SEC document |
| May 11, 2017 Filed May 15, 2017 20:03 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 5,547 | $8.05 | $44,653.35 |
DisclosureSEC source: 0001171843-17-003081 · f4_051517oswald.xml · nonDerivative · entry 2 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 485,547 Read SEC document |
| May 11, 2017 Filed May 15, 2017 20:03 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 5,000 | $8.10 | $40,500.00 |
DisclosureSEC source: 0001171843-17-003081 · f4_051517oswald.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 480,000 Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 20:00 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 25,000 | $9.31 | $232,750.00 |
DisclosureSEC source: 0001171843-17-001684 · formfour.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 475,000 Read SEC document |
| December 30, 2016 Filed Dec 30, 2016 21:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | GiftCOMMON STOCK | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001171843-16-013812 · formfour.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,000 F1 · kind: Gift to the BACHRO Foundation Inc., a 501(c)(3) charitable foundation, of which Mr. Oswald, his wife and brother-in-law are the trustees. None of the trustees has a pecuniary interest in the shares held by the BACHRO Foundation, Inc. Read SEC document |
| December 21, 2016 Filed Dec 23, 2016 21:00 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | GiftCOMMON STOCK | 29,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001171843-16-013771 · formfour.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456,000 F1 · kind: Gift to the BACHRO Foundation Inc., a 501(c)(3) charitable foundation. Mr. Oswald has no pecuniary interest in the shares held by the BACHRO Foundation, Inc. Read SEC document |
| December 14, 2016 Filed Dec 14, 2016 21:00 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 5,000 | $8.18 | $40,900.00 |
DisclosureSEC source: 0001171843-16-013643 · f4_oswald121416.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 485,000 Read SEC document |
| September 13, 2016 Filed Sep 15, 2016 20:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 4,000 | $7.85 | $31,400.00 |
DisclosureSEC source: 0001171843-16-012164 · formfour.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 480,000 Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 20:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 1,000 | $7.85 | $7,850.00 |
DisclosureSEC source: 0001171843-16-012153 · formfour.xml · nonDerivative · entry 1 OSWALD BRIAN H · CIK 0001219862 · CFO, CCO, TREASURY & SECRETARY 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 476,000 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.