Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Evanston Multi-Alpha FundNONE · Entity 1409 | Independent Trustee | August 13, 2026 | August 13, 2026 |
| Octagon XAI CLO Income Fund[NONE] · Entity 39721 | Trustee | February 16, 2024 | February 26, 2024 |
| TTM TECHNOLOGIES INCTTMI · Entity 2584 | Director | May 06, 2026 | May 08, 2026 |
| Tribune Publishing CoTPCO · Entity 138878 | Director | May 24, 2021 | May 24, 2021 |
| XAI Floating Rate & Alternative Income TrustXFLT · Entity 5990 | Trustee | September 30, 2021 | December 20, 2021 |
| XAI Madison Equity Premium Income FundMCN · Entity 6653 | Trustee | December 02, 2024 | December 02, 2024 |
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.
Evanston Multi-Alpha Fund
Report date August 13, 2026 · Filed August 13, 2026
This filing explicitly reported no securities owned.
Octagon XAI CLO Income Fund
Report date February 16, 2024 · Filed February 26, 2024
This filing explicitly reported no securities owned.
TTM TECHNOLOGIES INC
Report date May 06, 2026 · Filed May 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 156,725 |
Reported balance
After 2026-05-06 transaction · row 1
1 source rowRow 1 · 2026-05-06 · Grant · Acquired 1,811 · Balance 156,725 F1: Amount in Box 4. reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Amount in Box 4. reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant.
Tribune Publishing Co
Report date May 24, 2021 · Filed May 24, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-05-24 transaction · row 1
1 source rowRow 1 · 2021-05-24 · Disposition to issuer · Disposed 74,109 · Balance 0 F1: These shares represent the amount of restricted stock awards disposed of as a result of the merger agreement with Tribune Enterprises, LLC ("Parent") and Tribune Merger Sub, Inc. ("Merger Sub"). |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent the amount of restricted stock awards disposed of as a result of the merger agreement with Tribune Enterprises, LLC ("Parent") and Tribune Merger Sub, Inc. ("Merger Sub").
XAI Floating Rate & Alternative Income Trust
Report date September 30, 2021 · Filed December 20, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial OwnershipSEC Table I · non-derivative | Direct | 66,127 |
Reported balance
Holding disclosure · report date 2021-09-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 66,127 |
XAI Madison Equity Premium Income Fund
Report date December 02, 2024 · Filed December 02, 2024
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 |
|---|---|---|---|---|---|---|
| May 06, 2026 Filed May 8, 2026 18:34 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 1,811 | $0.00 | $0.00 |
DisclosureSEC source: 0001186522-26-000002 · ownership.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 156,725 F1 · shares: Amount in Box 4. reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. Read SEC document |
| May 27, 2025 Filed May 29, 2025 19:11 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 7,080 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-078861 · ownership.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 154,914 F1 · shares: Amount in Box 4 reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. Read SEC document |
| May 09, 2024 Filed May 10, 2024 17:33 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 10,723 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-057624 · ownership.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 147,834 F1 · shares: Amount in Box 4. reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. Read SEC document |
| May 11, 2023 Filed May 12, 2023 21:29 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 11,259 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-029148 · doc4.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 137,111 F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. Read SEC document |
| May 17, 2022 Filed May 19, 2022 18:07 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 10,043 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-030426 · doc4.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,852 F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. Read SEC document |
| May 24, 2021 Filed May 24, 2021 23:29 UTC | Tribune Publishing Co TPCO · Entity 138878 | Disposition to issuerCommon Stock | 74,109 | $17.25 | $1,278,380.25 |
DisclosureSEC source: 0001593195-21-000060 · wf-form4_162189893091730.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: These shares represent the amount of restricted stock awards disposed of as a result of the merger agreement with Tribune Enterprises, LLC ("Parent") and Tribune Merger Sub, Inc. ("Merger Sub"). Read SEC document |
| May 12, 2021 Filed May 13, 2021 23:31 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 9,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-032470 · doc4.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,809 F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. Read SEC document |
| May 21, 2020 Filed May 22, 2020 21:18 UTC | Tribune Publishing Co TPCO · Entity 138878 | GrantCommon Stock | 14,926 | $0.00 | $0.00 |
DisclosureSEC source: 0001593195-20-000039 · wf-form4_159018230615488.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,109 F1 · shares: This award will vest on May 21, 2021 if the reporting person provides service through such date or, if earlier, the date immediately preceding the Issuer's next annual meeting of stockholders, subject to acceleration upon certain events. Read SEC document |
| May 06, 2020 Filed May 19, 2020 13:52 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 10,132 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030327 · doc4.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,909 F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 15:00 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 10,000 | $4.04 | $40,380.00 |
DisclosureSEC source: 0001186522-20-000001 · primary_doc.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,242 Read SEC document |
| May 15, 2019 Filed May 17, 2019 21:32 UTC | Tribune Publishing Co TPCO · Entity 138878 | GrantCommon Stock | 12,833 | $0.00 | $0.00 |
DisclosureSEC source: 0001593195-19-000048 · wf-form4_155812876373393.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,183 F1 · shares: This award will vest on May 15, 2020 if the reporting person provides service through such date or, if earlier, the date immediately preceding the Issuer's next annual meeting of stockholders, subject to acceleration upon certain events. Read SEC document |
| May 08, 2019 Filed May 9, 2019 21:03 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 11,216 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-028525 · doc4.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,777 F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. Read SEC document |
| November 20, 2018 Filed Nov 21, 2018 14:38 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | PurchaseCommon Stock | 4,905 | $11.78 | $57,800.03 |
DisclosureSEC source: 0001209191-18-059625 · doc4.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,561 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.7832 to $11.8000, inclusive. The reporting person undertakes to provide to TTM Technologies, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 15, 2018 Filed Nov 16, 2018 21:36 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | PurchaseCommon Stock | 5,095 | $11.76 | $59,910.58 |
DisclosureSEC source: 0001209191-18-058974 · doc4.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,656 Read SEC document |
| October 29, 2018 Filed Oct 30, 2018 17:49 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 3,206 | $9.21 | $29,520.85 |
DisclosureSEC source: 0001186522-18-000001 · primary_doc.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,206 Read SEC document |
| May 18, 2018 Filed May 22, 2018 20:32 UTC | Tribune Publishing Co TRNC · Entity 138878 | GrantCommon Stock | 8,131 | $0.00 | $0.00 |
DisclosureSEC source: 0001593195-18-000032 · wf-form4_152702115084069.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,350 F1 · shares: This award will vest on May 18, 2019 if the reporting person provides service through such date or, if earlier, the date immediately preceding the Issuer's next annual meeting of stockholders, subject to acceleration upon certain events. Read SEC document |
| May 09, 2018 Filed May 11, 2018 14:51 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 7,476 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-029422 · doc4.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,561 F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. Read SEC document |
| August 07, 2017 Filed Aug 9, 2017 21:41 UTC | Tribune Publishing Co TRNC · Entity 138878 | GrantCommon Stock | 10,567 | $0.00 | $0.00 |
DisclosureSEC source: 0001593195-17-000059 · wf-form4_150231484484119.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,219 F1 · shares: This restricted stock award will vest on August 7, 2018, subject to acceleration upon certain events. The award will be forfeited if the Reporting Person voluntarily resigns from the Board of Directors prior to the vesting date. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 19:56 UTC | Tribune Publishing Co TRNC · Entity 138878 | Exercise / conversionRestricted Stock Units · Derivative | 16,696 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001593195-17-000044 · wf-form4_149677895817386.xml · derivative · entry 2 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,696 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: This award will vest in full on the one year anniversary of the grant date if the Reporting Person provides services through such date, if earlier, the date immediately proceeding Issuer's next annual meeting of stockholders. The stock units are to be settled in shares of Issuer's common stock after vesting. F2 · derivative.expiration_date: This award will vest in full on the one year anniversary of the grant date if the Reporting Person provides services through such date, if earlier, the date immediately proceeding Issuer's next annual meeting of stockholders. The stock units are to be settled in shares of Issuer's common stock after vesting. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 19:56 UTC | Tribune Publishing Co TRNC · Entity 138878 | Exercise / conversionCommon Stock | 16,696 | $0.00 | $0.00 |
DisclosureSEC source: 0001593195-17-000044 · wf-form4_149677895817386.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,652 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| May 11, 2017 Filed May 17, 2017 16:39 UTC | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 7,225 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-032967 · doc4.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,085 F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. Read SEC document |
| May 12, 2016 Filed May 17, 2017 21:38 UTC Amendment | TTM TECHNOLOGIES INC TTMI · Entity 2584 | GrantCommon Stock | 14,526 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033290 · doc4a.xml · nonDerivative · entry 1 FRANKLIN PHILIP G · CIK 0001186522 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,860 F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares underlying the restricted stock units will vest on the first anniversary of the date of grant. The stock underlying the restricted units will be delivered upon the reporting person's retirement from the Board of Directors. F2 · price: The value of the restricted stock units was inadvertently included in the reporting person's original Form 4. In fact, the restricted stock units were granted to the reporting person for no consideration. Accordingly, the price disclosure has been corrected in this amended Form 4 to reflect that no consideration was paid. 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.