Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CROSSROADS CAPITAL, INC.XRDC · Entity 175375 | CEO and President | September 01, 2016 | September 06, 2016 |
| HIGH INCOME SECURITIES FUNDPCF · Entity 6747 | Director | November 01, 2021 | November 03, 2021 |
| SPECIAL OPPORTUNITIES FUND, INC.SPE · Entity 6548 | Director | May 11, 2021 | May 12, 2021 |
| Total Return Securities FundSWZ · Entity 8820 | Director | April 01, 2026 | April 01, 2026 |
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.
CROSSROADS CAPITAL, INC.
Report date September 01, 2016 · Filed September 06, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 19,200 |
Reported balance
After 2016-09-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-09-01 · Purchase · Acquired 5,000 · Balance 19,200 F1: Shares are held by Hormel Harris Investments, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by Hormel Harris Investments, LLC.
HIGH INCOME SECURITIES FUND
Report date November 01, 2021 · Filed November 03, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,652 |
Reported balance
After 2021-11-01 transaction · row 1
1 source rowRow 1 · 2021-11-01 · Exercise / conversion · Acquired 3,977 · Balance 5,652 F1: Non-transferable rights were issued to stockholders of record as of September 22, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. |
Filing footnotes · ownership attribution and instrument terms
F1: Non-transferable rights were issued to stockholders of record as of September 22, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing.
SPECIAL OPPORTUNITIES FUND, INC.
Report date May 11, 2021 · Filed May 12, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 11,014 |
Reported balance
After 2021-05-11 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-05-11 · Exercise / conversion · Acquired 771 · Balance 11,014 F1: On May 11, 2021 the Reporting Person converted 400 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 771 shares of the Registrant's common stock. F4: Hormel Harris Investments, LLC. |
| 3.50% Convertible Preferred Stock Series BSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnote | 0 |
Reported balance
After 2021-05-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-05-11 · Exercise / conversion · Disposed 400 · Balance 0 F1: On May 11, 2021 the Reporting Person converted 400 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 771 shares of the Registrant's common stock. F2: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9275 shares of common stock for each share of Preferred Stock held, subject to adjustment. F3: If not converted prior, the shares of Preferred Stock will be redeemed by the Registrant on August 19, 2021. F4: Hormel Harris Investments, LLC. |
| Common StockSEC Table I · non-derivative | Direct | 3,061 |
Reported balance
Holding disclosure · report date 2021-05-11 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,061 |
Filing footnotes · ownership attribution and instrument terms
F1: On May 11, 2021 the Reporting Person converted 400 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 771 shares of the Registrant's common stock.
F2: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9275 shares of common stock for each share of Preferred Stock held, subject to adjustment.
F3: If not converted prior, the shares of Preferred Stock will be redeemed by the Registrant on August 19, 2021.
F4: Hormel Harris Investments, LLC.
Total Return Securities Fund
Report date April 01, 2026 · Filed April 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2026-04-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 01, 2021 Filed Nov 3, 2021 21:00 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | Exercise / conversionCommon Stock | 3,977 | $8.36 | $33,247.72 |
DisclosureSEC source: 0001104659-21-133721 · tm2131826-2_4seq1.xml · nonDerivative · entry 1 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,652 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Non-transferable rights were issued to stockholders of record as of September 22, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing. Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 16:47 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 1,675 | $10.00 | $16,750.00 |
DisclosureSEC source: 0001398344-21-018897 · fp0068880_4.xml · nonDerivative · entry 1 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,675 Read SEC document |
| May 11, 2021 Filed May 12, 2021 21:04 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Exercise / conversion3.50% Convertible Preferred Stock Series B · Derivative | 400 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-065208 · tm2116137d1_4.xml · derivative · entry 3 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 771 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 · price: On May 11, 2021 the Reporting Person converted 400 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 771 shares of the Registrant's common stock. F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9275 shares of common stock for each share of Preferred Stock held, subject to adjustment. F3 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Registrant on August 19, 2021. F4 · ownership.nature: Hormel Harris Investments, LLC. Read SEC document |
| May 11, 2021 Filed May 12, 2021 21:04 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Exercise / conversionCommon Stock | 771 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-065208 · tm2116137d1_4.xml · nonDerivative · entry 2 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,014 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: On May 11, 2021 the Reporting Person converted 400 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 771 shares of the Registrant's common stock. F4 · ownership.nature: Hormel Harris Investments, LLC. Read SEC document |
| May 05, 2021 Filed May 11, 2021 13:01 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Exercise / conversion3.50% Convertible Preferred Stock Series B · Derivative | 180 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-064293 · tm2115825d1_4.xml · derivative · entry 3 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 346 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 · price: On May 5, 2021 the Reporting Person converted 180 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 346 shares of the Registrant's common stock. F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9275 shares of common stock for each share of Preferred Stock held, subject to adjustment. F3 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Registrant on August 19, 2021. Read SEC document |
| May 05, 2021 Filed May 11, 2021 13:01 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Exercise / conversionCommon Stock | 346 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-064293 · tm2115825d1_4.xml · nonDerivative · entry 1 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,061 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: On May 5, 2021 the Reporting Person converted 180 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 346 shares of the Registrant's common stock. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 19:45 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Other3.50% Convertible preferred Stock, Series B · Derivative | 400 | $25.00 Strike: $0.00 | $10,000.00 |
DisclosureSEC source: 0001144204-16-123581 · v448689_form4.xml · derivative · entry 4 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 580 Underlying: Common Stock · 526 shares Expires not disclosed F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock were received September 8, 2016 F4 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment. F5 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021. F4 · balance_after: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment. F3 · ownership.nature: Hormel Harris Investments, LLC Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 19:45 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Other3.50% Convertible preferred Stock, Series B · Derivative | 180 | $25.00 Strike: $0.00 | $4,500.00 |
DisclosureSEC source: 0001144204-16-123581 · v448689_form4.xml · derivative · entry 2 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 580 Underlying: Common Stock · 236 shares Expires not disclosed F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock were received September 8, 2016 F4 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment. F5 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021. F4 · balance_after: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 14:29 UTC | CROSSROADS CAPITAL, INC. XRDC · Entity 175375 | PurchaseCommon Stock | 5,000 | $1.97 | $9,831.50 |
DisclosureSEC source: 0001144204-16-122836 · v448340_4.xml · nonDerivative · entry 1 HARRIS BEN H · CIK 0001472352 · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 19,200 F1 · ownership.nature: Shares are held by Hormel Harris Investments, LLC. Read SEC document |
| August 26, 2016 Filed Sep 12, 2016 19:45 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | OtherSubscription Rights (right to buy) · Derivative | 400 | $0.00 Strike: $25.00 | $0.00 |
DisclosureSEC source: 0001144204-16-123581 · v448689_form4.xml · derivative · entry 3 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: 3.50% Convertible preferred Stock, Series B · 400 shares Expires 2016-08-26 F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of July 21, 2016 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 3.50% Convertible Preferred Stock, Series B ("Preferred Stock") at a subscription price of $25 per share. F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock were received September 8, 2016 F3 · ownership.nature: Hormel Harris Investments, LLC Read SEC document |
| August 26, 2016 Filed Sep 12, 2016 19:45 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | OtherSubscription Rights (right to buy) · Derivative | 180 | $0.00 Strike: $25.00 | $0.00 |
DisclosureSEC source: 0001144204-16-123581 · v448689_form4.xml · derivative · entry 1 HARRIS BEN H · CIK 0001472352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: 3.50% Convertible preferred Stock, Series B · 180 shares Expires 2016-08-26 F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of July 21, 2016 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 3.50% Convertible Preferred Stock, Series B ("Preferred Stock") at a subscription price of $25 per share. F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock were received September 8, 2016 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.