Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CYS Investments, Inc.
Report date July 31, 2018 · Filed August 01, 2018
Section 16 reporting ended · disclosed 2018-08-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $.01 par value per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-07-31 transaction · row 1
1 source rowRow 1 · 2018-07-31 · Disposition to issuer · Disposed 135,361 · Balance 0 F1: Disposed of pursuant to merger agreement between Issuer and Two Harbors Investment Corp. ("Two Harbors") in exchange for 63,348 shares of Two Harbors' common stock having a market value of $15.50 per share on the effective date of the merger. |
| Common Stock, $.01 par value per shareSEC Table I · non-derivative | IndirectShares held in trust for which Mr. Stern's brother is trustee. | 16,666 |
Reported balance
Holding disclosure · report date 2018-07-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 16,666 |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to merger agreement between Issuer and Two Harbors Investment Corp. ("Two Harbors") in exchange for 63,348 shares of Two Harbors' common stock having a market value of $15.50 per share on the effective date of the merger.
OHA Investment Corp
Report date December 18, 2019 · Filed December 20, 2019
Section 16 reporting ended · disclosed 2019-12-20. 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 2019-12-18 transaction · row 1
1 source rowRow 1 · 2019-12-18 · Disposition to issuer · Disposed 25,588 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of July 31, 2019 (as amended, the "Merger Agreement"), by and among OHA Investment Corporation (the "Company"), Portman Ridge Finance Corporation ("PTMN"), Storm Acquisition Sub Inc. ("Acquisition Sub") and Sierra Crest Investment Management LLC ("Sierra Crest"). Pursuant to the Merger Agreement, in exchange for each share of Company common stock, the reporting person received (i) 0.3688 of a share of PTMN common stock, par value $0.01 per share, (ii) approximately $0.42 in cash, without interest, from PTMN, and (iii) approximately $0.15 in cash, from Sierra Crest. The disposition reported in this Form 4 is an exempt transaction. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of July 31, 2019 (as amended, the "Merger Agreement"), by and among OHA Investment Corporation (the "Company"), Portman Ridge Finance Corporation ("PTMN"), Storm Acquisition Sub Inc. ("Acquisition Sub") and Sierra Crest Investment Management LLC ("Sierra Crest"). Pursuant to the Merger Agreement, in exchange for each share of Company common stock, the reporting person received (i) 0.3688 of a share of PTMN common stock, par value $0.01 per share, (ii) approximately $0.42 in cash, without interest, from PTMN, and (iii) approximately $0.15 in cash, from Sierra Crest. The disposition reported in this Form 4 is an exempt transaction.
TWO HARBORS INVESTMENT CORP.
Report date August 25, 2026 · Filed August 25, 2026
Section 16 reporting ended · disclosed 2026-08-25. 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 |
Reported balance
After 2026-08-25 transaction · row 1
1 source rowRow 1 · 2026-08-25 · Disposition to issuer · Disposed 64,843 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated March 27, 2026, by and among Two Harbors Investment Corp. ("TWO"), CrossCountry Intermediate Holdco, LLC ("CCM") and CrossCountry Merger Corp., a wholly owned subsidiary of CCM ("Merger Sub"), as amended, Merger Sub merged with and into TWO, with TWO surviving the merger as a wholly owned subsidiary of CCM (the "CCM Merger"). At the effective time of the CCM Merger (the "Effective Time"), each share of TWO's common stock that was issued and outstanding immediately prior to the Effective Time was automatically cancelled and converted into the right to receive $12.00 in cash. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated March 27, 2026, by and among Two Harbors Investment Corp. ("TWO"), CrossCountry Intermediate Holdco, LLC ("CCM") and CrossCountry Merger Corp., a wholly owned subsidiary of CCM ("Merger Sub"), as amended, Merger Sub merged with and into TWO, with TWO surviving the merger as a wholly owned subsidiary of CCM (the "CCM Merger"). At the effective time of the CCM Merger (the "Effective Time"), each share of TWO's common stock that was issued and outstanding immediately prior to the Effective Time was automatically cancelled and converted into the right to receive $12.00 in cash.
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 |
|---|---|---|---|---|---|---|
| August 25, 2026 Filed Aug 25, 2026 20:52 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | Disposition to issuerCommon stock, par value $0.01 per share | 64,843 | $12.00 | $778,116.00 |
DisclosureSEC source: 0001104659-26-100859 · tm2621869-6_4seq1.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger, dated March 27, 2026, by and among Two Harbors Investment Corp. ("TWO"), CrossCountry Intermediate Holdco, LLC ("CCM") and CrossCountry Merger Corp., a wholly owned subsidiary of CCM ("Merger Sub"), as amended, Merger Sub merged with and into TWO, with TWO surviving the merger as a wholly owned subsidiary of CCM (the "CCM Merger"). At the effective time of the CCM Merger (the "Effective Time"), each share of TWO's common stock that was issued and outstanding immediately prior to the Effective Time was automatically cancelled and converted into the right to receive $12.00 in cash. Read SEC document |
| May 14, 2025 Filed May 16, 2025 20:19 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 11,306 | $0.00 | $0.00 |
DisclosureSEC source: 0001465740-25-000125 · wk-form4_1747426776.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,843 F1 · shares: Represents restricted stock units ("RSUs") granted to the reporting person under the Two Harbors Investment Corp. 2021 Equity Incentive Plan for service as a director. The awards were received as a grant for no consideration. The common stock underlying the RSUs will vest, subject to certain limitations, on the date of the 2026 annual meeting of the stockholders of Two Harbors Investment Corp. Read SEC document |
| May 15, 2024 Filed May 16, 2024 21:35 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 9,104 | $0.00 | $0.00 |
DisclosureSEC source: 0001465740-24-000144 · wk-form4_1715895322.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,537 F1 · shares: Represents restricted stock units ("RSUs") granted to the reporting person under the Two Harbors Investment Corp. 2021 Equity Incentive Plan for service as a director. The awards were received as a grant for no consideration. The common stock underlying the RSUs will vest, subject to certain limitations, on the date of the 2025 annual meeting of the stockholders of Two Harbors Investment Corp. Read SEC document |
| May 17, 2023 Filed May 18, 2023 20:36 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 9,601 | $0.00 | $0.00 |
DisclosureSEC source: 0001465740-23-000095 · wf-form4_168444212763209.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 44,433 F1 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Two Harbors Investment Corp. 2021 Equity Incentive Plan for service as a director. The awards were received as a grant for no consideration. The common stock underlying the RSUs will vest, subject to certain limitations, on the date of the 2024 annual stockholders meeting of Two Harbors Investment Corp. F2 · balance_after: On November 1, 2022, Two Harbors Investment Corp. effected a one-for-four reverse stock split of its outstanding shares of common stock. The amount of securities beneficially owned reported on this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 18, 2022 Filed May 19, 2022 20:34 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 23,552 | $0.00 | $0.00 |
DisclosureSEC source: 0001465740-22-000048 · wf-form4_165299244457766.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,334 F1 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Two Harbors Investment Corp. 2021 Equity Incentive Plan for service as a director. The awards were received as a grant for no consideration. The common stock underlying the RSUs will vest, subject to certain limitations, on the date of the 2023 annual stockholders meeting of Two Harbors Investment Corp. Read SEC document |
| May 19, 2021 Filed May 20, 2021 21:32 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 15,384 | $0.00 | $0.00 |
DisclosureSEC source: 0001465740-21-000080 · wf-form4_162154635436137.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,782 F1 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Two Harbors Investment Corp. 2021 Equity Incentive Plan for service as a director. The awards were received as a grant for no consideration. The common stock underlying the RSUs will vest, subject to certain limitations, on the date of the 2022 annual meeting of the stockholders of Two Harbors Investment Corp. Read SEC document |
| May 21, 2020 Filed May 22, 2020 20:48 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 23,157 | $0.00 | $0.00 |
DisclosureSEC source: 0001465740-20-000071 · wf-form4_159018049851424.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,398 F1 · shares: Represents a restricted stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests on the first anniversary of the grant date. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 13:28 UTC | OHA Investment Corp OHAI · Entity 152962 | Disposition to issuerCommon Stock | 25,588 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-19-026659 · ownership.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of July 31, 2019 (as amended, the "Merger Agreement"), by and among OHA Investment Corporation (the "Company"), Portman Ridge Finance Corporation ("PTMN"), Storm Acquisition Sub Inc. ("Acquisition Sub") and Sierra Crest Investment Management LLC ("Sierra Crest"). Pursuant to the Merger Agreement, in exchange for each share of Company common stock, the reporting person received (i) 0.3688 of a share of PTMN common stock, par value $0.01 per share, (ii) approximately $0.42 in cash, without interest, from PTMN, and (iii) approximately $0.15 in cash, from Sierra Crest. The disposition reported in this Form 4 is an exempt transaction. Read SEC document |
| May 16, 2019 Filed May 17, 2019 20:30 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 8,239 | $13.35 | $109,990.65 |
DisclosureSEC source: 0001465740-19-000041 · wf-form4_155812502139861.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,241 F1 · shares: Represents a restricted stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests on the first anniversary of the grant date. Read SEC document |
| July 31, 2018 Filed Aug 1, 2018 13:22 UTC | CYS Investments, Inc. CYS · Entity 164603 | Disposition to issuerCommon Stock, $.01 par value per share | 135,361 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001396446-18-000076 · wf-form4_153312973067201.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to merger agreement between Issuer and Two Harbors Investment Corp. ("Two Harbors") in exchange for 63,348 shares of Two Harbors' common stock having a market value of $15.50 per share on the effective date of the merger. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 21:06 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 7,799 | $15.50 | $120,884.50 |
DisclosureSEC source: 0001465740-18-000105 · wf-form4_153324397673485.xml · nonDerivative · entry 3 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Shares Held in trust for which the reporting person's brother is trustee. Disclosed balance after: 7,799 F2 · shares: On July 31, 2018, pursuant to the Agreement and Plan of Merger, dated April 25, 2018 (the "Merger Agreement"), among the Issuer, Eiger Merger Subsidiary LLC, a wholly owned subsidiary of the Issuer ("Merger Sub"), and CYS Investments, Inc. ("CYS"), Merger Sub merged with and into CYS (the "Merger"), with CYS surviving the Merger as a wholly owned subsidiary of the Issuer. At the effective time of the merger, each share of CYS common stock outstanding immediately prior to the effective time was converted into the right to receive 0.4680 shares of Two Harbors common stock as well as cash consideration of $0.0965 per share. As of the date of this report, the final merger consideration allocable to the reporting person is not available. The reporting person undertakes to amend the report if the number of shares resulting from the final calculation differs materially from the estimated number of shares reported as beneficially owned herein. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 21:06 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 63,348 | $15.50 | $981,894.00 |
DisclosureSEC source: 0001465740-18-000105 · wf-form4_153324397673485.xml · nonDerivative · entry 2 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,002 F2 · shares: On July 31, 2018, pursuant to the Agreement and Plan of Merger, dated April 25, 2018 (the "Merger Agreement"), among the Issuer, Eiger Merger Subsidiary LLC, a wholly owned subsidiary of the Issuer ("Merger Sub"), and CYS Investments, Inc. ("CYS"), Merger Sub merged with and into CYS (the "Merger"), with CYS surviving the Merger as a wholly owned subsidiary of the Issuer. At the effective time of the merger, each share of CYS common stock outstanding immediately prior to the effective time was converted into the right to receive 0.4680 shares of Two Harbors common stock as well as cash consideration of $0.0965 per share. As of the date of this report, the final merger consideration allocable to the reporting person is not available. The reporting person undertakes to amend the report if the number of shares resulting from the final calculation differs materially from the estimated number of shares reported as beneficially owned herein. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 21:06 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 5,654 | $15.50 | $87,637.00 |
DisclosureSEC source: 0001465740-18-000105 · wf-form4_153324397673485.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,654 F1 · shares: Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. Read SEC document |
| July 01, 2018 Filed Jul 2, 2018 20:56 UTC | CYS Investments, Inc. CYS · Entity 164603 | GrantCommon Stock, $.01 par value per share | 2,825 | $0.00 | $0.00 |
DisclosureSEC source: 0001396446-18-000059 · wf-form4_153056494574099.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,361 Read SEC document |
| April 01, 2018 Filed Apr 2, 2018 20:16 UTC | CYS Investments, Inc. CYS · Entity 164603 | GrantCommon Stock, $.01 par value per share | 3,206 | $0.00 | $0.00 |
DisclosureSEC source: 0001396446-18-000041 · wf-form4_152270017146145.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,536 Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 21:18 UTC | CYS Investments, Inc. CYS · Entity 164603 | GrantCommon Stock, $.01 par value per share | 2,609 | $0.00 | $0.00 |
DisclosureSEC source: 0001396446-18-000014 · wf-form4_151501431182330.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,330 Read SEC document |
| October 01, 2017 Filed Oct 2, 2017 20:20 UTC | CYS Investments, Inc. CYS · Entity 164603 | GrantCommon Stock, $.01 par value per share | 2,447 | $0.00 | $0.00 |
DisclosureSEC source: 0001396446-17-000100 · wf-form4_150697563684273.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,721 Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 22:04 UTC | CYS Investments, Inc. CYS · Entity 164603 | GrantCommon Stock, $.01 par value per share | 2,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001396446-17-000079 · wf-form4_149929223126988.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,274 Read SEC document |
| April 01, 2017 Filed Apr 3, 2017 20:25 UTC | CYS Investments, Inc. CYS · Entity 164603 | GrantCommon Stock, $.01 par value per share | 2,717 | $0.00 | $0.00 |
DisclosureSEC source: 0001396446-17-000053 · wf-form4_149125108986100.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,815 Read SEC document |
| January 01, 2017 Filed Jan 3, 2017 21:24 UTC | CYS Investments, Inc. CYS · Entity 164603 | GrantCommon Stock, $.01 par value per share | 2,736 | $0.00 | $0.00 |
DisclosureSEC source: 0001396446-17-000016 · wf-form4_148347868387357.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,098 Read SEC document |
| October 03, 2016 Filed Oct 4, 2016 20:17 UTC | CYS Investments, Inc. CYS · Entity 164603 | GrantCommon Stock, $.01 par value per share | 2,428 | $0.00 | $0.00 |
DisclosureSEC source: 0001396446-16-000236 · wf-form4_147561225930938.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,362 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.