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person · Reporting owner

Bates Ann Torre

Disclosed activity across 10 companies

Tapewire entity
27287
SEC CIK
0001065134

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ARES CAPITAL CORPARCC · Entity 3377DirectorFebruary 11, 2025February 13, 2025
ARES STRATEGIC INCOME FUNDNONE · Entity 74462DirectorDecember 21, 2023December 22, 2023
Ares Core Infrastructure FundNONE · Entity 78847DirectorDecember 02, 2024December 02, 2024
FRANKLIN LTD DURATION INCOME TRUSTFTF · Entity 8892TrusteeAugust 01, 2026August 03, 2026
FRANKLIN UNIVERSAL TRUSTFT · Entity 8825TrusteeAugust 01, 2026August 03, 2026
Saba Capital Income & Opportunities Fund IIGIM · Entity 6234TrusteeMay 02, 2018May 03, 2018
TEMPLETON DRAGON FUND INCTDF · Entity 6058DirectorMay 02, 2018May 03, 2018
TEMPLETON EMERGING MARKETS FUNDEMF · Entity 5814TrusteeMay 02, 2018May 03, 2018
TEMPLETON EMERGING MARKETS INCOME FUNDTEI · Entity 5901TrusteeMay 02, 2018May 03, 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.

ARES CAPITAL CORP

Report date February 11, 2025 · Filed February 13, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect30,000 Reported balance After 2025-02-11 transaction · row 1
1 source row

Row 1 · 2025-02-11 · Purchase · Acquired 6,000 · Balance 30,000

Common StockSEC Table I · non-derivativeIndirectBy spouse8,000 Reported balance Holding disclosure · report date 2025-02-11 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 8,000

ARES STRATEGIC INCOME FUND

Report date December 21, 2023 · Filed December 22, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class I Common Shares of Beneficial InterestSEC Table I · non-derivativeDirect14,798.372 Reported balance After 2023-12-21 transaction · row 1
1 source row

Row 1 · 2023-12-21 · Purchase · Acquired 14,798.372 · Balance 14,798.372

F1: On December 1, 2023, the Reporting Person subscribed for a $400,000 interest in the Issuer. On December 21, 2023, the Issuer determined the purchase price per share and fixed the number of Class I Common Shares acquired in respect of such subscription.

Class I Common Shares of Beneficial InterestSEC Table I · non-derivativeIndirectBy spouse3,699.593 Reported balance After 2023-12-21 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2023-12-21 · Purchase · Acquired 3,699.593 · Balance 3,699.593

F2: On December 1, 2023, the Reporting Person's spouse subscribed for a $100,000 interest in the Issuer. On December 21, 2023, the Issuer determined the purchase price per share and fixed the number of Class I Common Shares acquired in respect of such subscription.

Filing footnotes · ownership attribution and instrument terms

F1: On December 1, 2023, the Reporting Person subscribed for a $400,000 interest in the Issuer. On December 21, 2023, the Issuer determined the purchase price per share and fixed the number of Class I Common Shares acquired in respect of such subscription.

F2: On December 1, 2023, the Reporting Person's spouse subscribed for a $100,000 interest in the Issuer. On December 21, 2023, the Issuer determined the purchase price per share and fixed the number of Class I Common Shares acquired in respect of such subscription.

Ares Core Infrastructure Fund

Report date December 02, 2024 · Filed December 02, 2024

This filing explicitly reported no securities owned.

FRANKLIN LTD DURATION INCOME TRUST

Report date August 01, 2026 · Filed August 03, 2026

This filing explicitly reported no securities owned.

FRANKLIN UNIVERSAL TRUST

Report date August 01, 2026 · Filed August 03, 2026

This filing explicitly reported no securities owned.

Saba Capital Income & Opportunities Fund II

Report date May 02, 2018 · Filed May 03, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Shares of beneficial interestSEC Table I · non-derivativeDirect7,765 Reported balance After 2018-05-02 transaction · row 1
1 source row

Row 1 · 2018-05-02 · Purchase · Acquired 7,765 · Balance 7,765

TEMPLETON DRAGON FUND INC

Report date May 02, 2018 · Filed May 03, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common SharesSEC Table I · non-derivativeDirect2,295 Ending reported balance After 2018-05-02 transaction · row 3
3 source rows · reconciled sequence

Row 1 · 2018-05-02 · Purchase · Acquired 2,095 · Balance 2,095

Row 2 · 2018-05-02 · Purchase · Acquired 100 · Balance 2,195

Row 3 · 2018-05-02 · Purchase · Acquired 100 · Balance 2,295

TEMPLETON EMERGING MARKETS FUND

Report date May 02, 2018 · Filed May 03, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Shares of beneficial interestSEC Table I · non-derivativeDirect3,200 Ending reported balance After 2018-05-02 transaction · row 5
5 source rows · reconciled sequence

Row 1 · 2018-05-02 · Purchase · Acquired 1,500 · Balance 1,500

Row 2 · 2018-05-02 · Purchase · Acquired 900 · Balance 2,400

Row 3 · 2018-05-02 · Purchase · Acquired 500 · Balance 2,900

Row 4 · 2018-05-02 · Purchase · Acquired 200 · Balance 3,100

Row 5 · 2018-05-02 · Purchase · Acquired 100 · Balance 3,200

TEMPLETON EMERGING MARKETS INCOME FUND

Report date May 02, 2018 · Filed May 03, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Shares of beneficial interestSEC Table I · non-derivativeDirect4,425 Reported balance After 2018-05-02 transaction · row 1
1 source row

Row 1 · 2018-05-02 · Purchase · Acquired 4,425 · Balance 4,425

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

UNITED NATURAL FOODS INC

Report date December 19, 2023 · Filed December 20, 2023

Section 16 reporting ended · disclosed 2023-12-20. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
February 11, 2025 Filed Feb 13, 2025 16:05 UTC ARES CAPITAL CORP ARCC · Entity 3377 PurchaseCommon Stock 6,000 $22.75 $136,500.00
Disclosure

SEC source: 0001104659-25-012919 · tm256498-1_4seq1.xml · nonDerivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Read SEC document
December 21, 2023 Filed Dec 22, 2023 16:05 UTC ARES STRATEGIC INCOME FUND NONE · Entity 74462 PurchaseClass I Common Shares of Beneficial Interest 3,699.593 $27.03 $100,000.00
Disclosure

SEC source: 0001104659-23-128785 · tm2333597-1_4seq1.xml · nonDerivative · entry 2

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 3,699.593

F2 · shares: On December 1, 2023, the Reporting Person's spouse subscribed for a $100,000 interest in the Issuer. On December 21, 2023, the Issuer determined the purchase price per share and fixed the number of Class I Common Shares acquired in respect of such subscription.

Read SEC document
December 21, 2023 Filed Dec 22, 2023 16:05 UTC ARES STRATEGIC INCOME FUND NONE · Entity 74462 PurchaseClass I Common Shares of Beneficial Interest 14,798.372 $27.03 $400,000.00
Disclosure

SEC source: 0001104659-23-128785 · tm2333597-1_4seq1.xml · nonDerivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,798.372

F1 · shares: On December 1, 2023, the Reporting Person subscribed for a $400,000 interest in the Issuer. On December 21, 2023, the Issuer determined the purchase price per share and fixed the number of Class I Common Shares acquired in respect of such subscription.

Read SEC document
October 11, 2023 Filed Oct 13, 2023 20:16 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 16,061 $14.94 $239,951.34
Disclosure

SEC source: 0001020859-23-000091 · wk-form4_1697228181.xml · nonDerivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.91 to $15.01. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
October 06, 2022 Filed Oct 11, 2022 11:09 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 GrantCommon Stock 4,591 $0.00 $0.00
Disclosure

SEC source: 0001020859-22-000072 · wf-form4_166548654167270.xml · nonDerivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,061

F1 · shares: This Restricted Stock Unit ("RSU") award was granted pursuant to the Amended and Restated 2020 Equity Incentive Plan and will fully vest on October 6, 2023. Each RSU represents the right to receive one share of common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.

F2 · balance_after: United Natural Foods, Inc. revised its method of reporting RSUs to report such grants in Table I rather than as previously reported in Table II. Accordingly, amount includes 3,500 unvested RSUs previously reported in Table II.

Read SEC document
October 13, 2021 Filed Oct 14, 2021 21:18 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 9,326 $44.84 $418,177.84
Disclosure

SEC source: 0001020859-21-000123 · wf-form4_163424626180299.xml · nonDerivative · entry 2

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,970

F2 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $44.48 to $45.21.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 21:18 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 GrantRestricted Stock Unit · Derivative 3,500 $0.00 $0.00
Disclosure

SEC source: 0001020859-21-000123 · wf-form4_163424626180299.xml · derivative · entry 4

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Underlying: Common Stock · 3,500 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RSU represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.

F5 · derivative.exercise_date: The RSUs will vest in full on October 12, 2022.

F5 · derivative.expiration_date: The RSUs will vest in full on October 12, 2022.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 21:18 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionRestricted Stock Unit · Derivative 9,326 $0.00 $0.00
Disclosure

SEC source: 0001020859-21-000123 · wf-form4_163424626180299.xml · derivative · entry 3

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,326 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.

F3 · derivative.exercise_price: Each RSU represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.

F4 · derivative.exercise_date: The RSUs were granted on October 12, 2020. This Form 4 reflects the vesting of this RSU on October 12, 2021 as to 100% of the original grant amount.

F4 · derivative.expiration_date: The RSUs were granted on October 12, 2020. This Form 4 reflects the vesting of this RSU on October 12, 2021 as to 100% of the original grant amount.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 21:18 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionCommon Stock 9,326 $0.00 $0.00
Disclosure

SEC source: 0001020859-21-000123 · wf-form4_163424626180299.xml · nonDerivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,296

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 ("RSUs") convert into common stock on a one-for-one basis. Accordingly, there was no purchase price paid by the reporting person.

Read SEC document
October 07, 2021 Filed Oct 12, 2021 20:20 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 20,326 $46.95 $954,305.70
Disclosure

SEC source: 0001020859-21-000117 · wf-form4_163407002240486.xml · nonDerivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,970

F1 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $46.63 to $47.45.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 20:35 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 396 $49.81 $19,724.76
Disclosure

SEC source: 0001020859-21-000097 · wf-form4_163337970382563.xml · nonDerivative · entry 6

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by spouse

Disclosed balance after: 0

F6 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $49.74 to $49.90.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 20:35 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 2,907 $49.19 $142,995.33
Disclosure

SEC source: 0001020859-21-000097 · wf-form4_163337970382563.xml · nonDerivative · entry 5

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by spouse

Disclosed balance after: 396

F5 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $48.71 to $49.70.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 20:35 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 697 $47.99 $33,449.03
Disclosure

SEC source: 0001020859-21-000097 · wf-form4_163337970382563.xml · nonDerivative · entry 4

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by spouse

Disclosed balance after: 3,303

F4 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $47.63 to $48.28.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 20:35 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 1,900 $49.42 $93,898.00
Disclosure

SEC source: 0001020859-21-000097 · wf-form4_163337970382563.xml · nonDerivative · entry 3

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,296

F3 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $49.34 to $49.50.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 20:35 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 21,093 $48.72 $1,027,650.96
Disclosure

SEC source: 0001020859-21-000097 · wf-form4_163337970382563.xml · nonDerivative · entry 2

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,196

F2 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $48.33 to $49.29.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 20:35 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 7,007 $47.71 $334,303.97
Disclosure

SEC source: 0001020859-21-000097 · wf-form4_163337970382563.xml · nonDerivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,289

F1 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $47.33 to $48.32.

Read SEC document
October 12, 2020 Filed Oct 14, 2020 20:48 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 GrantRestricted Stock Unit · Derivative 9,326 $0.00 $0.00
Disclosure

SEC source: 0001020859-20-000142 · wf-form4_160270852139228.xml · derivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,326

Underlying: Common Stock · 9,326 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's RSU agreement.

F2 · derivative.exercise_date: The RSUs will vest in full on October 12, 2021.

F2 · derivative.expiration_date: The RSUs will vest in full on October 12, 2021.

Read SEC document
October 06, 2020 Filed Oct 8, 2020 20:50 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionRestricted Stock Unit · Derivative 20,326 $0.00 $0.00
Disclosure

SEC source: 0001020859-20-000104 · wf-form4_160219022875294.xml · derivative · entry 2

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,326 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.

F2 · derivative.exercise_price: Each RSU represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's RSU agreement. The RSUs were granted on December 19, 2019. This Form 4 reflects the vesting of this RSU on October 6, 2020 as to 100% of the original grant amount.

F2 · derivative.exercise_date: Each RSU represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's RSU agreement. The RSUs were granted on December 19, 2019. This Form 4 reflects the vesting of this RSU on October 6, 2020 as to 100% of the original grant amount.

F2 · derivative.expiration_date: Each RSU represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's RSU agreement. The RSUs were granted on December 19, 2019. This Form 4 reflects the vesting of this RSU on October 6, 2020 as to 100% of the original grant amount.

Read SEC document
October 06, 2020 Filed Oct 8, 2020 20:50 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionCommon Stock 20,326 $0.00 $0.00
Disclosure

SEC source: 0001020859-20-000104 · wf-form4_160219022875294.xml · nonDerivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,296

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 ("RSUs") convert into common stock on a one-for-one basis. Accordingly, there was no purchase price paid by the reporting person.

Read SEC document
March 13, 2020 Filed Mar 17, 2020 12:20 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 PurchaseCommon Stock 4,000 $5.43 $21,720.00
Disclosure

SEC source: 0001020859-20-000010 · wf-form4_158444763716110.xml · nonDerivative · entry 2

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by spouse

Disclosed balance after: 4,000

F2 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $5.42 to $5.43.

Read SEC document
March 13, 2020 Filed Mar 17, 2020 12:20 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 PurchaseCommon Stock 20,000 $5.48 $109,600.00
Disclosure

SEC source: 0001020859-20-000010 · wf-form4_158444763716110.xml · nonDerivative · entry 1

Bates Ann Torre · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,970

F1 · price: Represents the weighted average price of shares sold in multiple same-day transactions at prices ranging from $5.43 to $5.52.

Read SEC document
December 19, 2019 Filed Dec 20, 2019 21:25 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 GrantRestricted Stock Unit · Derivative 20,326 $0.00 $0.00
Disclosure

SEC source: 0001020859-19-000178 · wf-form4_157687710362511.xml · derivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,326

Underlying: Common Stock · 20,326 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's RSU agreement.

F2 · derivative.exercise_date: The RSUs will vest in full on October 6, 2020.

F2 · derivative.expiration_date: The RSUs will vest in full on October 6, 2020.

Read SEC document
May 15, 2019 Filed May 16, 2019 17:00 UTC ARES CAPITAL CORP ARCC · Entity 3377 PurchaseCommon Stock 5,725 $17.61 $100,817.25
Disclosure

SEC source: 0001104659-19-030017 · a4.xml · nonDerivative · entry 2

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 8,000

Read SEC document
May 15, 2019 Filed May 16, 2019 17:00 UTC ARES CAPITAL CORP ARCC · Entity 3377 PurchaseCommon Stock 4,000 $17.61 $70,440.00
Disclosure

SEC source: 0001104659-19-030017 · a4.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Read SEC document
March 25, 2019 Filed Mar 26, 2019 20:49 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionRestricted Stock Unit · Derivative 3,075 $0.00 $0.00
Disclosure

SEC source: 0001020859-19-000020 · wf-form4_155363338323521.xml · derivative · entry 2

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,075 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: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. The restricted stock units vest as follows: one-half on the date of grant and the remaining one-half on the 6 month anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. The restricted stock units vest as follows: one-half on the date of grant and the remaining one-half on the 6 month anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. The restricted stock units vest as follows: one-half on the date of grant and the remaining one-half on the 6 month anniversary of the date of grant.

Read SEC document
March 25, 2019 Filed Mar 26, 2019 20:49 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionCommon Stock 3,075 $0.00 $0.00
Disclosure

SEC source: 0001020859-19-000020 · wf-form4_155363338323521.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,970

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.

Read SEC document
September 25, 2018 Filed Sep 27, 2018 22:30 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionRestricted Stock Unit · Derivative 3,075 $0.00 $0.00
Disclosure

SEC source: 0001020859-18-000126 · wf-form4_153808743462341.xml · derivative · entry 3

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,075

Underlying: Common Stock · 3,075 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: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. The restricted stock units vest as follows: one-half on the date of grant and the remaining one-half on the 6 month anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. The restricted stock units vest as follows: one-half on the date of grant and the remaining one-half on the 6 month anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. The restricted stock units vest as follows: one-half on the date of grant and the remaining one-half on the 6 month anniversary of the date of grant.

Read SEC document
September 25, 2018 Filed Sep 27, 2018 22:30 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 GrantRestricted Stock Unit · Derivative 6,150 $0.00 $0.00
Disclosure

SEC source: 0001020859-18-000126 · wf-form4_153808743462341.xml · derivative · entry 2

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,150

Underlying: Common Stock · 6,150 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. The restricted stock units vest as follows: one-half on the date of grant and the remaining one-half on the 6 month anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. The restricted stock units vest as follows: one-half on the date of grant and the remaining one-half on the 6 month anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. The restricted stock units vest as follows: one-half on the date of grant and the remaining one-half on the 6 month anniversary of the date of grant.

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September 25, 2018 Filed Sep 27, 2018 22:30 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionCommon Stock 3,075 $0.00 $0.00
Disclosure

SEC source: 0001020859-18-000126 · wf-form4_153808743462341.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,895

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.

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August 29, 2018 Filed Aug 30, 2018 20:00 UTC ARES CAPITAL CORP ARCC · Entity 3377 PurchaseCommon Stock 9,000 $17.44 $156,960.00
Disclosure

SEC source: 0001104659-18-054570 · a4.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.43 to $17.44, inclusive. The reporting person undertakes to provide to Ares Capital Corporation, any security holder of Ares Capital Corporation, 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 range set forth in footnote (1) to this Form 4.

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May 02, 2018 Filed May 3, 2018 15:23 UTC TEMPLETON EMERGING MARKETS FUND EMF · Entity 5814 PurchaseShares of beneficial interest 100 $15.69 $1,569.00
Disclosure

SEC source: 0001225208-18-008556 · doc4.xml · nonDerivative · entry 5

Torre Bates Ann · CIK 0001065134 · Trustee

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,200

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May 02, 2018 Filed May 3, 2018 15:23 UTC TEMPLETON EMERGING MARKETS FUND EMF · Entity 5814 PurchaseShares of beneficial interest 200 $15.74 $3,148.00
Disclosure

SEC source: 0001225208-18-008556 · doc4.xml · nonDerivative · entry 4

Torre Bates Ann · CIK 0001065134 · Trustee

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,100

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May 02, 2018 Filed May 3, 2018 15:23 UTC TEMPLETON EMERGING MARKETS FUND EMF · Entity 5814 PurchaseShares of beneficial interest 500 $15.70 $7,850.00
Disclosure

SEC source: 0001225208-18-008556 · doc4.xml · nonDerivative · entry 3

Torre Bates Ann · CIK 0001065134 · Trustee

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,900

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May 02, 2018 Filed May 3, 2018 15:23 UTC TEMPLETON EMERGING MARKETS FUND EMF · Entity 5814 PurchaseShares of beneficial interest 900 $15.78 $14,202.00
Disclosure

SEC source: 0001225208-18-008556 · doc4.xml · nonDerivative · entry 2

Torre Bates Ann · CIK 0001065134 · Trustee

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,400

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May 02, 2018 Filed May 3, 2018 15:23 UTC TEMPLETON EMERGING MARKETS FUND EMF · Entity 5814 PurchaseShares of beneficial interest 1,500 $15.79 $23,685.00
Disclosure

SEC source: 0001225208-18-008556 · doc4.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Trustee

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

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May 02, 2018 Filed May 3, 2018 15:23 UTC Saba Capital Income & Opportunities Fund II GIM · Entity 6234 PurchaseShares of beneficial interest 7,765 $6.43 $49,959.23
Disclosure

SEC source: 0001225208-18-008558 · doc4.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Trustee

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,765

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May 02, 2018 Filed May 3, 2018 15:23 UTC TEMPLETON EMERGING MARKETS INCOME FUND TEI · Entity 5901 PurchaseShares of beneficial interest 4,425 $11.33 $50,114.45
Disclosure

SEC source: 0001225208-18-008557 · doc4.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Trustee

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,425

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May 02, 2018 Filed May 3, 2018 15:23 UTC TEMPLETON DRAGON FUND INC TDF · Entity 6058 PurchaseCommon Shares 100 $21.81 $2,181.00
Disclosure

SEC source: 0001225208-18-008555 · doc4.xml · nonDerivative · entry 3

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,295

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May 02, 2018 Filed May 3, 2018 15:23 UTC TEMPLETON DRAGON FUND INC TDF · Entity 6058 PurchaseCommon Shares 100 $21.84 $2,184.00
Disclosure

SEC source: 0001225208-18-008555 · doc4.xml · nonDerivative · entry 2

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,195

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May 02, 2018 Filed May 3, 2018 15:23 UTC TEMPLETON DRAGON FUND INC TDF · Entity 6058 PurchaseCommon Shares 2,095 $21.77 $45,608.15
Disclosure

SEC source: 0001225208-18-008555 · doc4.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,095

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March 15, 2018 Filed Mar 16, 2018 20:35 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionRestricted Stock Unit · Derivative 2,390 $0.00 $0.00
Disclosure

SEC source: 0001020859-18-000032 · wf-form4_152123249043634.xml · derivative · entry 2

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,390 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.

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.

F3 · derivative.exercise_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

F3 · derivative.expiration_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

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March 15, 2018 Filed Mar 16, 2018 20:35 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionCommon Stock 2,390 $0.00 $0.00
Disclosure

SEC source: 0001020859-18-000032 · wf-form4_152123249043634.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,820

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. Accordingly, there was no purchase price paid by the reporting person.

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October 06, 2017 Filed Oct 10, 2017 20:12 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 SaleCommon Stock 7,190 $40.16 $288,750.40
Disclosure

SEC source: 0001020859-17-000131 · wf-form4_150766634337588.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,430

F1 · price: The transaction price listed is a weighted average. Actual sale prices for these dispositions ranged from $40.04 to $40.29. The reporting person undertakes to provide United Natural Foods, Inc., any security holder of United Natural Foods, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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September 15, 2017 Filed Sep 19, 2017 20:19 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionRestricted Stock Unit · Derivative 2,390 $0.00 $0.00
Disclosure

SEC source: 0001020859-17-000076 · wf-form4_150585233157374.xml · derivative · entry 3

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,390

Underlying: Common Stock · 2,390 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.

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.

F3 · derivative.exercise_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

F3 · derivative.expiration_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

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September 15, 2017 Filed Sep 19, 2017 20:19 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 GrantRestricted Stock Unit · Derivative 4,780 $0.00 $0.00
Disclosure

SEC source: 0001020859-17-000076 · wf-form4_150585233157374.xml · derivative · entry 2

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,780

Underlying: Common Stock · 4,780 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.

F3 · derivative.exercise_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

F3 · derivative.expiration_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

Read SEC document
September 15, 2017 Filed Sep 19, 2017 20:19 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionCommon Stock 2,390 $0.00 $0.00
Disclosure

SEC source: 0001020859-17-000076 · wf-form4_150585233157374.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,620

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. Accordingly, there was no purchase price paid by the reporting person.

Read SEC document
March 15, 2017 Filed Mar 17, 2017 20:18 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionRestricted Stock Unit · Derivative 2,400 $0.00 $0.00
Disclosure

SEC source: 0001020859-17-000025 · wf-form4_148978190556087.xml · derivative · entry 2

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,400 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.

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.

F3 · derivative.exercise_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

F3 · derivative.expiration_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

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March 15, 2017 Filed Mar 17, 2017 20:18 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionCommon Stock 2,400 $0.00 $0.00
Disclosure

SEC source: 0001020859-17-000025 · wf-form4_148978190556087.xml · nonDerivative · entry 1

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,230

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. Accordingly, there was no purchase price paid by the reporting person.

Read SEC document
September 15, 2016 Filed Sep 16, 2016 21:55 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 Exercise / conversionRestricted Stock Unit · Derivative 2,400 $0.00 $0.00
Disclosure

SEC source: 0001020859-16-000307 · wf-form4_147406294216046.xml · derivative · entry 3

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,400

Underlying: Common Stock · 2,400 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.

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.

F3 · derivative.exercise_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

F3 · derivative.expiration_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

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September 15, 2016 Filed Sep 16, 2016 21:55 UTC UNITED NATURAL FOODS INC UNFI · Entity 4293 GrantRestricted Stock Unit · Derivative 4,800 $0.00 $0.00
Disclosure

SEC source: 0001020859-16-000307 · wf-form4_147406294216046.xml · derivative · entry 2

Torre Bates Ann · CIK 0001065134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,800

Underlying: Common Stock · 4,800 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of United Natural Foods, Inc. common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement.

F3 · derivative.exercise_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

F3 · derivative.expiration_date: The restricted stock units vest as follows: one-half vests on the date of grant and the remaining one-half vests on the 6 month anniversary of the date of grant.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.