Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 1WS Credit Income FundOWSCX · Entity 9856 | Trustee | June 24, 2021 | June 28, 2021 |
| Corient Registered Alternatives FundNONE · Entity 53284 | Director | February 02, 2026 | February 04, 2026 |
| Neuberger Energy Infrastructure & Income Fund Inc.NML · Entity 5332 | Director | April 02, 2020 | April 03, 2020 |
| Neuberger High Yield Strategies Fund Inc.NHS · Entity 8981 | Director | June 21, 2023 | June 24, 2023 |
| Neuberger Next Generation Connectivity Fund Inc.NBXG · Entity 4837 | Director | May 27, 2021 | May 27, 2021 |
| Thrivent Church Loan & Income FundXCLIX · Entity 115288 | Director | March 16, 2023 | March 20, 2023 |
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.
1WS Credit Income Fund
Report date June 24, 2021 · Filed June 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class I SharesSEC Table I · non-derivative | Direct | 2,314.364 |
Reported balance
After 2021-06-24 transaction · row 1
1 source rowRow 1 · 2021-06-24 · Purchase · Acquired 1,644.737 · Balance 2,314.364 |
Corient Registered Alternatives Fund
Report date February 02, 2026 · Filed February 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common shares of beneficial interestSEC Table I · non-derivative | Direct | 9,730.3 |
Reported balance
After 2026-02-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-02-02 · Purchase · Acquired 4,672.9 · Balance 9,730.3 F1: This figure is approximate. Due to the timing of the Fund's determination of its net asset value, the price per share, and the number of shares of the Fund that corresponds to, or held as a result of, the purchase cannot be determined at the time of this filing. |
Filing footnotes · ownership attribution and instrument terms
F1: This figure is approximate. Due to the timing of the Fund's determination of its net asset value, the price per share, and the number of shares of the Fund that corresponds to, or held as a result of, the purchase cannot be determined at the time of this filing.
Neuberger Energy Infrastructure & Income Fund Inc.
Report date April 02, 2020 · Filed April 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Common StockSEC Table I · non-derivative | Direct | 3,667.587 |
Reported balance
After 2020-04-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-04-02 · Purchase · Acquired 2,500 · Balance 3,667.587 F1: The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $1.9100 to $1.9300. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F2: Includes 467.587 shares acquired over time under a distribution reinvestment plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $1.9100 to $1.9300. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
F2: Includes 467.587 shares acquired over time under a distribution reinvestment plan.
Neuberger High Yield Strategies Fund Inc.
Report date June 21, 2023 · Filed June 24, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,689 |
Reported balance
After 2023-06-21 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-06-21 · Other · Acquired 3,422 · Balance 13,689 F1: Includes shares acquired over time under a distribution reinvestment plan. |
| Transferable Subscription Rights (rights to buy)SEC Table II · derivative / convertible security · Expires 2023-06-21 | Direct | 0 |
Reported balance
After 2023-06-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-06-21 · Other · Disposed 10,267 · Balance 0 F2: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3: Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired over time under a distribution reinvestment plan.
F2: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3).
F3: Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023.
F4: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments.
Neuberger Next Generation Connectivity Fund Inc.
Report date May 27, 2021 · Filed May 27, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,000 |
Reported balance
After 2021-05-25 transaction · row 1
1 source rowRow 1 · 2021-05-25 · Purchase · Acquired 5,000 · Balance 5,000 |
Thrivent Church Loan & Income Fund
Report date March 16, 2023 · Filed March 20, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class S shares of beneficial interestSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-03-16 transaction · row 1
1 source rowRow 1 · 2023-03-16 · Purchase · Disposed 5,379.386 · Balance 0 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
STEBEN SELECT MULTI-STRATEGY FUND
Report date October 30, 2018 · Filed October 30, 2018 · Amendment
Section 16 reporting ended · disclosed 2018-10-30. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Beneficial Interest - Class ISEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-10-30 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2018-10-30 · Sale · Disposed 30,331.96 · 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 |
|---|---|---|---|---|---|---|
| February 02, 2026 Filed Feb 4, 2026 22:13 UTC | Corient Registered Alternatives Fund NONE · Entity 53284 | PurchaseCommon shares of beneficial interest | 4,672.9 | $10.70 | $50,000.03 |
DisclosureSEC source: 0000898432-26-000080 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,730.3 F1 · shares: This figure is approximate. Due to the timing of the Fund's determination of its net asset value, the price per share, and the number of shares of the Fund that corresponds to, or held as a result of, the purchase cannot be determined at the time of this filing. F1 · price: This figure is approximate. Due to the timing of the Fund's determination of its net asset value, the price per share, and the number of shares of the Fund that corresponds to, or held as a result of, the purchase cannot be determined at the time of this filing. F1 · balance_after: This figure is approximate. Due to the timing of the Fund's determination of its net asset value, the price per share, and the number of shares of the Fund that corresponds to, or held as a result of, the purchase cannot be determined at the time of this filing. Read SEC document |
| March 03, 2025 Filed Mar 3, 2025 16:20 UTC | Corient Registered Alternatives Fund NONE · Entity 53284 | PurchaseCommon shares of beneficial interest | 50,000 | $10.00 | $500,000.00 |
DisclosureSEC source: 0000898432-25-000149 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 F1 · shares: This figure is approximate. Due to the timing of the Fund's determination of its net asset value, the price per share and the number of shares of the Fund that correspond to, or are held as a result of, this $50,000 purchase cannot be determined at the time of this filing. F1 · price: This figure is approximate. Due to the timing of the Fund's determination of its net asset value, the price per share and the number of shares of the Fund that correspond to, or are held as a result of, this $50,000 purchase cannot be determined at the time of this filing. F1 · balance_after: This figure is approximate. Due to the timing of the Fund's determination of its net asset value, the price per share and the number of shares of the Fund that correspond to, or are held as a result of, this $50,000 purchase cannot be determined at the time of this filing. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:19 UTC | Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 | OtherTransferable Subscription Rights (rights to buy) · Derivative | 10,267 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-23-000406 · form4.xml · derivative · entry 2 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,422 shares Expires 2023-06-21 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · security: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · derivative.exercise_price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on May 23, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on June 21, 2023. F4 · price: The final subscription price of $7.42 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:19 UTC | Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 | OtherCommon Stock | 3,422 | $7.42 | $25,391.24 |
DisclosureSEC source: 0000898432-23-000406 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,689 F1 · balance_after: Includes shares acquired over time under a distribution reinvestment plan. Read SEC document |
| March 16, 2023 Filed Mar 20, 2023 16:50 UTC | Thrivent Church Loan & Income Fund XCLIX · Entity 115288 | PurchaseClass S shares of beneficial interest | 5,379.386 | $9.16 | $49,275.18 |
DisclosureSEC source: 0001721413-23-000007 · primary_doc.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:56 UTC | Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 | OtherTransferable Subscription Rights (rights to buy) · Derivative | 5,289 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000898432-22-000344 · form4.xml · derivative · entry 2 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,763 shares Expires 2022-05-17 F2 · security: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · security: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · derivative.exercise_price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · derivative.exercise_price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · derivative.exercise_price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F2 · price: Neuberger Berman High Yield Strategies Fund Inc. (the "Fund") issued transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on April 19, 2022 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every three Rights held (1 for 3). F3 · price: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional Common Stock which was not subscribed for by other Record Date Stockholders (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received and subscribed for additional shares of Common Stock pursuant to the Over-Subscription Privilege. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on May 17, 2022. F4 · price: The final subscription price of $8.60 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments. F5 · derivative.underlying_shares: Includes shares acquired through the Over-Subscription Privilege. Read SEC document |
| May 17, 2022 Filed May 20, 2022 01:56 UTC | Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 | OtherCommon Stock | 3,763 | $8.60 | $32,361.80 |
DisclosureSEC source: 0000898432-22-000344 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,100.2 F1 · balance_after: Includes shares acquired over time under a distribution reinvestment plan. Read SEC document |
| June 24, 2021 Filed Jun 28, 2021 20:56 UTC | 1WS Credit Income Fund OWSCX · Entity 9856 | PurchaseClass I Shares | 1,644.737 | $21.44 | $35,263.16 |
DisclosureSEC source: 0000898432-21-000509 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,314.364 Read SEC document |
| June 04, 2021 Filed Jun 8, 2021 21:42 UTC | 1WS Credit Income Fund OWSCX · Entity 9856 | PurchaseClass I Shares | 1,644.737 | $21.28 | $35,000.00 |
DisclosureSEC source: 0000898432-21-000447 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,644.737 Read SEC document |
| May 25, 2021 Filed May 27, 2021 22:54 UTC | Neuberger Next Generation Connectivity Fund Inc. NBXG · Entity 4837 | PurchaseCommon Stock | 5,000 | $20.00 | $100,000.00 |
DisclosureSEC source: 0000898432-21-000443 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| May 26, 2020 Filed May 27, 2020 15:38 UTC | Thrivent Church Loan & Income Fund XCLIX · Entity 115288 | PurchaseClass S shares of beneficial interest | 2,319.109 | $10.78 | $25,000.00 |
DisclosureSEC source: 0001721413-20-000004 · primary_doc.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,936.947 F1 · balance_after: Includes shares received as dividend reinvestment Read SEC document |
| April 02, 2020 Filed Apr 3, 2020 21:45 UTC | Neuberger Energy Infrastructure & Income Fund Inc. NML · Entity 5332 | PurchaseShares of Common Stock | 2,500 | $1.91 | $4,787.00 |
DisclosureSEC source: 0000898432-20-000468 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,667.587 F1 · price: The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $1.9100 to $1.9300. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F2 · balance_after: Includes 467.587 shares acquired over time under a distribution reinvestment plan. Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 16:00 UTC | Thrivent Church Loan & Income Fund XCLIX · Entity 115288 | PurchaseClass S Shares of beneficial interest | 2,507.523 | $9.97 | $25,000.00 |
DisclosureSEC source: 0000898432-19-000099 · form4.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,507.523 Read SEC document |
| October 30, 2018 Filed Oct 30, 2018 16:06 UTC Amendment | STEBEN SELECT MULTI-STRATEGY FUND NONE · Entity 162732 | SaleShares of Beneficial Interest - Class I | 30,331.96 | $9.05 | $274,652.86 |
DisclosureSEC source: 0001615774-18-011528 · ownership.xml · nonDerivative · entry 1 MORRISS GEORGE W · CIK 0001254652 · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 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.