Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PCM FUND, INC.PCM · Entity 8844 | Director | February 21, 2019 | February 22, 2019 |
| PIMCO Access Income FundPAXS · Entity 5270 | Director | November 14, 2023 | November 16, 2023 |
| PIMCO California Flexible Municipal Income FundCAFLX · Entity 31371 | Director | June 15, 2022 | June 16, 2022 |
| PIMCO Dynamic Credit & Mortgage Income FundPCI · Entity 132343 | Director | December 10, 2021 | December 15, 2021 |
| PIMCO Dynamic Income FundPDI · Entity 3704 | Director | September 24, 2026 | September 28, 2026 |
| PIMCO Dynamic Income Opportunities FundPDO · Entity 4590 | Director | November 14, 2023 | November 16, 2023 |
| PIMCO Dynamic Income Strategy FundPDX · Entity 4973 | Director | January 08, 2026 | January 13, 2026 |
| PIMCO Flexible Credit Income FundPFLEX · Entity 10159 | Director | February 09, 2017 | February 09, 2017 |
| PIMCO Flexible Emerging Markets Income FundEMFLX · Entity 31452 | Director | July 29, 2021 | July 29, 2021 |
| PIMCO Flexible Municipal Income FundPMFLX · Entity 9851 | Director | July 19, 2018 | July 19, 2018 |
| PIMCO Income Opportunity FundPKO · Entity 132353 | Director | December 10, 2021 | December 15, 2021 |
| PIMCO MUNICIPAL INCOME FUND IIPML · Entity 8878 | Director | December 08, 2025 | December 10, 2025 |
| Victory Capital Holdings, Inc.VCTR · Entity 3710 | Director | October 12, 2026 | October 14, 2026 |
| Virtus Artificial Intelligence & Technology Opportunities FundAIO · Entity 5033 | Director | April 27, 2021 | April 28, 2021 |
| Virtus Convertible & Income 2024 Target Term FundCBH · Entity 90218 | Director | April 27, 2021 | April 28, 2021 |
| Virtus Convertible & Income FundNCV · Entity 8885 | Director | April 27, 2021 | April 28, 2021 |
| Virtus Convertible & Income Fund IINCZ · Entity 5978 | Director | April 27, 2021 | April 28, 2021 |
| Virtus Diversified Income & Convertible FundACV · Entity 6061 | Director | July 07, 2017 | July 10, 2017 |
| Virtus Dividend, Interest & Premium Strategy FundNFJ · Entity 4708 | Director | July 07, 2017 | July 10, 2017 |
| Virtus Equity & Convertible Income FundNIE · Entity 5206 | Director | July 07, 2017 | July 10, 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.
PCM FUND, INC.
Report date February 21, 2019 · Filed February 22, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 1,000 |
Reported balance
After 2019-02-21 transaction · row 1
1 source rowRow 1 · 2019-02-21 · Purchase · Acquired 1,000 · Balance 1,000 |
PIMCO Access Income Fund
Report date November 14, 2023 · Filed November 16, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON SHARESSEC Table I · non-derivative | Direct | 3,500 |
Reported balance
After 2023-11-14 transaction · row 1
1 source rowRow 1 · 2023-11-14 · Purchase · Acquired 1,000 · Balance 3,500 |
PIMCO California Flexible Municipal Income Fund
Report date June 15, 2022 · Filed June 16, 2022
This filing explicitly reported no securities owned.
PIMCO Dynamic Credit & Mortgage Income Fund
Report date December 10, 2021 · Filed December 15, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON SHARESSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-10 transaction · row 1
1 source rowRow 1 · 2021-12-10 · Disposition to issuer · Disposed 3,500 · Balance 0 F1: The shares of the Issuer were disposed of in exchange for shares of PIMCO Dynamic Income Fund ("PDI") in connection with the reorganization of the Issuer with and into PDI based on PDI's and the Issuer's respective net asset value per share at the time of the closing of such reorganization, which resulted in an exchange ratio of 0.818509. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of the Issuer were disposed of in exchange for shares of PIMCO Dynamic Income Fund ("PDI") in connection with the reorganization of the Issuer with and into PDI based on PDI's and the Issuer's respective net asset value per share at the time of the closing of such reorganization, which resulted in an exchange ratio of 0.818509.
PIMCO Dynamic Income Fund
Report date September 24, 2026 · Filed September 28, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 9,313 |
Reported balance
After 2026-09-24 transaction · row 1
1 source rowRow 1 · 2026-09-24 · Purchase · Acquired 5,500 · Balance 9,313 |
PIMCO Dynamic Income Opportunities Fund
Report date November 14, 2023 · Filed November 16, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON SHARESSEC Table I · non-derivative | Direct | 5,000 |
Reported balance
After 2023-11-14 transaction · row 1
1 source rowRow 1 · 2023-11-14 · Purchase · Acquired 2,500 · Balance 5,000 |
PIMCO Dynamic Income Strategy Fund
Report date January 08, 2026 · Filed January 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON SHARESSEC Table I · non-derivative | Direct | 3,000 |
Reported balance
After 2026-01-08 transaction · row 1
1 source rowRow 1 · 2026-01-08 · Purchase · Acquired 2,000 · Balance 3,000 |
PIMCO Flexible Credit Income Fund
Report date February 09, 2017 · Filed February 09, 2017
This filing explicitly reported no securities owned.
PIMCO Flexible Emerging Markets Income Fund
Report date July 29, 2021 · Filed July 29, 2021
This filing explicitly reported no securities owned.
PIMCO Flexible Municipal Income Fund
Report date July 19, 2018 · Filed July 19, 2018
This filing explicitly reported no securities owned.
PIMCO Income Opportunity Fund
Report date December 10, 2021 · Filed December 15, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON SHARESSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-10 transaction · row 1
1 source rowRow 1 · 2021-12-10 · Disposition to issuer · Disposed 1,000 · Balance 0 F1: The shares of the Issuer were disposed of in exchange for shares of PIMCO Dynamic Income Fund ("PDI") in connection with the reorganization of the Issuer with and into PDI based on PDI's and the Issuer's respective net asset value per share at the time of the closing of such reorganization, which resulted in an exchange ratio of 0.949037. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of the Issuer were disposed of in exchange for shares of PIMCO Dynamic Income Fund ("PDI") in connection with the reorganization of the Issuer with and into PDI based on PDI's and the Issuer's respective net asset value per share at the time of the closing of such reorganization, which resulted in an exchange ratio of 0.949037.
PIMCO MUNICIPAL INCOME FUND II
Report date December 08, 2025 · Filed December 10, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 8,001 |
Reported balance
After 2025-12-08 transaction · row 1
1 source rowRow 1 · 2025-12-08 · Purchase · Acquired 2,819 · Balance 8,001 |
Victory Capital Holdings, Inc.
Report date October 12, 2026 · Filed October 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 157,401 |
Reported balance
After 2026-10-12 transaction · row 1
1 source rowRow 1 · 2026-10-12 · Grant · Acquired 597 · Balance 157,401 F1: These shares of Common Stock were issued to Mr. Rappaport at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $28,750 and (ii) Mr. Rappaport's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $28,750 (iii) Mr. Rappaport's election in lieu of director fees for service as the chairperson of the Company's Compensation Committee payable in cash in the amount of $5,000 (iv) Mr. Rappaport's election in lieu of director fees for service as a member of the Company's Audit Committee payable in cash in the amount of $3,750. The price in each case is based on the closing price of the Company's shares on October 12, 2026. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 298,861 |
Reported balance
Holding disclosure · report date 2026-10-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 298,861 F2: These securities are held directly by ADR Partners, which is controlled by Mr. Rappaport. Mr. Rappaport disclaims beneficial ownership of the shares held by ADR Partners except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Rappaport is the beneficial owner of the shares held by ADR Partners. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of Common Stock were issued to Mr. Rappaport at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $28,750 and (ii) Mr. Rappaport's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $28,750 (iii) Mr. Rappaport's election in lieu of director fees for service as the chairperson of the Company's Compensation Committee payable in cash in the amount of $5,000 (iv) Mr. Rappaport's election in lieu of director fees for service as a member of the Company's Audit Committee payable in cash in the amount of $3,750. The price in each case is based on the closing price of the Company's shares on October 12, 2026.
F2: These securities are held directly by ADR Partners, which is controlled by Mr. Rappaport. Mr. Rappaport disclaims beneficial ownership of the shares held by ADR Partners except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Rappaport is the beneficial owner of the shares held by ADR Partners.
Virtus Artificial Intelligence & Technology Opportunities Fund
Report date April 27, 2021 · Filed April 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,500 |
Reported balance
After 2021-04-27 transaction · row 1
1 source rowRow 1 · 2021-04-27 · Purchase · Acquired 1,500 · Balance 1,500 |
Virtus Convertible & Income 2024 Target Term Fund
Report date April 27, 2021 · Filed April 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,000 |
Reported balance
After 2021-04-27 transaction · row 1
1 source rowRow 1 · 2021-04-27 · Purchase · Acquired 1,000 · Balance 2,000 |
Virtus Convertible & Income Fund
Report date April 27, 2021 · Filed April 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,000 |
Reported balance
After 2021-04-27 transaction · row 1
1 source rowRow 1 · 2021-04-27 · Purchase · Acquired 1,000 · Balance 2,000 |
Virtus Convertible & Income Fund II
Report date April 27, 2021 · Filed April 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,000 |
Reported balance
After 2021-04-27 transaction · row 1
1 source rowRow 1 · 2021-04-27 · Purchase · Acquired 1,000 · Balance 2,000 |
Virtus Diversified Income & Convertible Fund
Report date July 07, 2017 · Filed July 10, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,000 |
Reported balance
After 2017-07-07 transaction · row 1
1 source rowRow 1 · 2017-07-07 · Purchase · Acquired 1,000 · Balance 1,000 |
Virtus Dividend, Interest & Premium Strategy Fund
Report date July 07, 2017 · Filed July 10, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,000 |
Reported balance
After 2017-07-07 transaction · row 1
1 source rowRow 1 · 2017-07-07 · Purchase · Acquired 1,000 · Balance 1,000 |
Virtus Equity & Convertible Income Fund
Report date July 07, 2017 · Filed July 10, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,000 |
Reported balance
After 2017-07-07 transaction · row 1
1 source rowRow 1 · 2017-07-07 · Purchase · Acquired 1,000 · Balance 1,000 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
PIMCO MUNICIPAL INCOME FUND III
Report date August 01, 2025 · Filed August 06, 2025
Section 16 reporting ended · disclosed 2025-08-06. 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 2025-08-01 transaction · row 1
1 source rowRow 1 · 2025-08-01 · Disposition to issuer · Disposed 4,000 · Balance 0 F1: Represents the exempt dispostion of securities of the Issuer in connection with the merger and reorganization of the Issuer with and into PIMCO Municipal Income Fund II ("PML") in exchange for shares of PML, based on the conversion formula and respective NAVs of the Issuer and PML, as described in the Rule 424(b)(3) prospectus filed by PML with the Securities and Exchange Commission on May 13, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the exempt dispostion of securities of the Issuer in connection with the merger and reorganization of the Issuer with and into PIMCO Municipal Income Fund II ("PML") in exchange for shares of PML, based on the conversion formula and respective NAVs of the Issuer and PML, as described in the Rule 424(b)(3) prospectus filed by PML with the Securities and Exchange Commission on May 13, 2025.
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 |
|---|---|---|---|---|---|---|
| October 10, 2019 Filed Oct 12, 2019 01:22 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 2,125 | $14.70 | $31,237.50 |
DisclosureSEC source: 0001104659-19-053846 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,561 Underlying: Class A Common Stock · 2,125 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on October 10, 2019. F1 · derivative.exercise_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| July 10, 2019 Filed Jul 12, 2019 14:23 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 1,664 | $18.77 | $31,233.28 |
DisclosureSEC source: 0001104659-19-040068 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,436 Underlying: Class A Common Stock · 1,664 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on July 10, 2019. F1 · derivative.exercise_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| April 24, 2019 Filed Apr 26, 2019 20:50 UTC | PIMCO Dynamic Income Strategy Fund NRGX · Entity 4973 | PurchaseCommon Shares | 1,000 | $21.03 | $21,032.10 |
DisclosureSEC source: 0001209191-19-026231 · doc4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $21.02 to $21.06, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder, 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 this footnote. Read SEC document |
| April 10, 2019 Filed Apr 11, 2019 22:12 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 1,982 | $15.76 | $31,236.32 |
DisclosureSEC source: 0001104659-19-020908 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,772 Underlying: Class A Common Stock · 1,982 shares Expires not disclosed F1 · derivative.exercise_price: 1. The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on April 10, 2019. F1 · derivative.exercise_date: 1. The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 1. The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| February 21, 2019 Filed Feb 22, 2019 22:45 UTC | PCM FUND, INC. PCM · Entity 8844 | PurchaseCOMMON STOCK | 1,000 | $10.69 | $10,686.50 |
DisclosureSEC source: 0001209191-19-012735 · doc4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| February 21, 2019 Filed Feb 22, 2019 22:42 UTC | PIMCO Income Opportunity Fund PKO · Entity 132353 | PurchaseCOMMON STOCK | 1,000 | $26.19 | $26,192.00 |
DisclosureSEC source: 0001209191-19-012718 · doc4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 20:39 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 2,840 | $11.00 | $31,240.00 |
DisclosureSEC source: 0001104659-19-001606 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,790 Underlying: Class A Common Stock · 2,840 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on January 10, 2019. F1 · derivative.exercise_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 18:41 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 3,575 | $8.74 | $31,245.50 |
DisclosureSEC source: 0001104659-18-061582 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,950 Underlying: Class A Common Stock · 3,575 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on October 10, 2018. F1 · derivative.exercise_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| July 10, 2018 Filed Jul 11, 2018 20:00 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 3,078 | $10.15 | $31,241.70 |
DisclosureSEC source: 0001104659-18-044677 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,375 Underlying: Class A Common Stock · 3,078 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on July 10, 2018. F1 · derivative.exercise_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| May 16, 2018 Filed May 17, 2018 23:59 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 5,800 | $10.19 | $59,102.00 |
DisclosureSEC source: 0001104659-18-034180 · a4.xml · nonDerivative · entry 2 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.19 to $10.35, inclusive. 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, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F3 · ownership.nature: These securities are held directly by ADR Partners, which is controlled by Mr. Rappaport. Mr. Rappaport disclaims beneficial ownership of the shares held by ADR Partners except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Rappaport is the beneficial owner of the shares held by ADR Partners. Read SEC document |
| May 15, 2018 Filed May 17, 2018 23:59 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 4,200 | $10.16 | $42,672.00 |
DisclosureSEC source: 0001104659-18-034180 · a4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,200 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.14 to $10.27, inclusive. 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, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. F3 · ownership.nature: These securities are held directly by ADR Partners, which is controlled by Mr. Rappaport. Mr. Rappaport disclaims beneficial ownership of the shares held by ADR Partners except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Rappaport is the beneficial owner of the shares held by ADR Partners. Read SEC document |
| April 30, 2018 Filed May 3, 2018 01:25 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 7,534 | $11.06 | $83,326.04 |
DisclosureSEC source: 0001104659-18-029982 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,297 Underlying: Class A Common Stock · 7,534 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $83,333. The price of the derivative security is based on the closing price of the Company's shares on April 30, 2018. F1 · derivative.exercise_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 17:25 UTC | Virtus Convertible & Income 2024 Target Term Fund CBH · Entity 90218 | PurchaseCommon Stock | 1,000 | $10.01 | $10,010.00 |
DisclosureSEC source: 0001209191-17-049443 · doc4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| July 07, 2017 Filed Jul 10, 2017 21:37 UTC | Virtus Dividend, Interest & Premium Strategy Fund NFJ · Entity 4708 | PurchaseCommon Stock | 1,000 | $13.10 | $13,099.90 |
DisclosureSEC source: 0001209191-17-044642 · doc4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| July 07, 2017 Filed Jul 10, 2017 21:36 UTC | Virtus Convertible & Income Fund II NCZ · Entity 5978 | PurchaseCommon Stock | 1,000 | $6.26 | $6,255.00 |
DisclosureSEC source: 0001209191-17-044641 · doc4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| July 07, 2017 Filed Jul 10, 2017 21:35 UTC | Virtus Diversified Income & Convertible Fund ACV · Entity 6061 | PurchaseCommon Stock | 1,000 | $21.29 | $21,290.00 |
DisclosureSEC source: 0001209191-17-044640 · doc4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| July 07, 2017 Filed Jul 10, 2017 21:35 UTC | Virtus Equity & Convertible Income Fund NIE · Entity 5206 | PurchaseCommon Stock | 1,000 | $19.75 | $19,749.90 |
DisclosureSEC source: 0001209191-17-044639 · doc4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 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.