Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NOVATION COMPANIES, INC.NOVC · Entity 13492 | Director | December 30, 2021 | December 30, 2021 |
| PhenixFIN CorpPFX · Entity 6843 | Director · 10% owner | March 03, 2026 | March 05, 2026 |
| RAIT Financial TrustRASFN · Entity 155141 | 10% owner | February 14, 2019 | February 15, 2019 |
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.
NOVATION COMPANIES, INC.
Report date December 30, 2021 · Filed December 30, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-30 transaction · row 1
1 source rowRow 1 · 2021-12-30 · Other · Disposed 250,000 · Balance 0 F1: Forfeiture of restricted shares of common stock under the Novation Companies, Inc. 2015 Incentive Stock Plan, which vested on October 1, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Forfeiture of restricted shares of common stock under the Novation Companies, Inc. 2015 Incentive Stock Plan, which vested on October 1, 2021.
PhenixFIN Corp
Report date March 03, 2026 · Filed March 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCK, $0.001 par valueSEC Table I · non-derivative | Direct | 248,248 |
Reported balance
After 2026-03-03 transaction · row 1
1 source rowRow 1 · 2026-03-03 · Purchase · Acquired 11,500 · Balance 248,248 |
| COMMON STOCK, $0.001 par valueSEC Table I · non-derivative | IndirectBy Howard Amster 2021 Charitable Remainder Unitrust 1 | 409 |
Reported balance
Holding disclosure · report date 2026-03-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 409 F1: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2021 Charitable Remainder Unitrust 1. |
| COMMON STOCK, $0.001 par valueSEC Table I · non-derivative | IndirectBy Howard Amster 2021 Charitable Remainder Unitrust 2 | 9,233 |
Reported balance
Holding disclosure · report date 2026-03-03 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 9,233 F2: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2021 Charitable Remainder Unitrust 2. |
| COMMON STOCK, $0.001 par valueSEC Table I · non-derivative | IndirectBy Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998 | 424 |
Reported balance
Holding disclosure · report date 2026-03-03 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 424 F3: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998. |
| COMMON STOCK, $0.001 par valueSEC Table I · non-derivative | IndirectBy Pleasant Lake Corp | 557 |
Reported balance
Holding disclosure · report date 2026-03-03 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 557 F4: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as President of Pleasant Lake Corp. |
| COMMON STOCK, $0.001 par valueSEC Table I · non-derivative | IndirectBy Howard Amster 2019 Charitable Remainder Unitrust 1 | 16,604 |
Reported balance
Holding disclosure · report date 2026-03-03 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 16,604 F5: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2019 Charitable Remainder Unitrust 1. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2021 Charitable Remainder Unitrust 1.
F2: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2021 Charitable Remainder Unitrust 2.
F3: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998.
F4: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as President of Pleasant Lake Corp.
F5: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2019 Charitable Remainder Unitrust 1.
RAIT Financial Trust
Report date February 14, 2019 · Filed February 15, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| RASFN RAIT FINANCIAL TRUST 8.875% SERIES C CUMULATIVESEC Table I · non-derivative | IndirectSEE EXPLANATION BELOW | 1,134,514 |
Reported balance
After 2019-02-14 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-02-14 · Purchase · Acquired 30,000 · Balance 1,134,514 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 17, 2018 Filed Aug 23, 2018 18:20 UTC | NOVATION COMPANIES, INC. NOVC · Entity 13492 | GrantCommon Stock | 833,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-18-002475 · form411464003ams_08222018.xml · nonDerivative · entry 1 Amster Howard · CIK 0000904853 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,290,224 F1 · shares: Grant of restricted shares of common stock under the Novation Companies, Inc. 2015 Incentive Stock Plan in payment of a portion of the annual base compensation for each non-employee director. The number of restricted shares was calculated based on the closing price of the common stock on the grant date. The restricted shares will vest on August 17, 2019. Read SEC document |
| August 23, 2017 Filed Aug 25, 2017 22:17 UTC | NOVATION COMPANIES, INC. NOVC · Entity 13492 | GrantCommon Stock | 208,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-17-002232 · form411464ams_08252017.xml · nonDerivative · entry 1 AMSTER HOWARD · CIK 0000904853 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,456,891 F1 · shares: Grant of restricted shares of common stock under the Novation Companies, Inc. 2015 Incentive Stock Plan in payment of a portion of the annual base compensation for each non-employee director. The number of restricted shares was calculated based on the closing price of the common stock on the grant date. The restricted shares will vest on August 23, 2018. 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.