Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HIGH INCOME SECURITIES FUNDPCF · Entity 6747 | Director | December 26, 2024 | December 30, 2024 |
| SPECIAL OPPORTUNITIES FUND, INC.SPE · Entity 6548 | Director | April 05, 2022 | April 07, 2022 |
| Total Return Securities FundSWZ · Entity 8820 | Director | January 23, 2026 | January 27, 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.
HIGH INCOME SECURITIES FUND
Report date December 26, 2024 · Filed December 30, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 37,000 |
Reported balance
After 2024-12-26 transaction · row 1
1 source rowRow 1 · 2024-12-26 · Sale · Disposed 259 · Balance 37,000 |
SPECIAL OPPORTUNITIES FUND, INC.
Report date April 05, 2022 · Filed April 07, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 43,584 |
Last balance in matching sequence
After 2022-04-06 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2022-04-05 · Disposition to issuer · Disposed 5,333 · Balance 37,984 F1: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. F2: Includes shares acquired through reinvested distributions. Row 2 · 2022-04-06 · Purchase · Acquired 1,500 · Balance 39,484 F2: Includes shares acquired through reinvested distributions. Row 3 · 2022-04-06 · Purchase · Acquired 2,000 · Balance 41,484 F2: Includes shares acquired through reinvested distributions. Row 4 · 2022-04-06 · Purchase · Acquired 1,000 · Balance 42,484 F2: Includes shares acquired through reinvested distributions. Row 5 · 2022-04-06 · Purchase · Acquired 100 · Balance 42,584 F2: Includes shares acquired through reinvested distributions. Row 6 · 2022-04-06 · Purchase · Acquired 1,000 · Balance 43,584 F2: Includes shares acquired through reinvested distributions. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3.
F2: Includes shares acquired through reinvested distributions.
Total Return Securities Fund
Report date January 23, 2026 · Filed January 27, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,527 |
Reported balance
After 2026-01-23 transaction · row 1
1 source rowRow 1 · 2026-01-23 · Disposition to issuer · Disposed 1,755 · Balance 3,527 F1: Represents the sale of shares to the issuer pursuant to issuer tender offer exempt under Rule 16b-3. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the sale of shares to the issuer pursuant to issuer tender offer exempt under Rule 16b-3.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
MVC CAPITAL, INC.
Report date December 23, 2020 · Filed December 23, 2020
Section 16 reporting ended · disclosed 2020-12-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-12-23 transaction · row 1
1 source rowRow 1 · 2020-12-23 · Disposition to issuer · Disposed 68,000 · Balance 0 F1: MVC Capital, Inc. ("MVC"), Barings BDC, Inc., a Maryland corporation ("Barings BDC"), Mustang Acquisition Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Barings BDC, ("Merger Sub") and Barings LLC, a Delaware limited liability company and investment adviser to Barings BDC ("Barings") entered into the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), pursuant to which the acquisition of MVC by Barings BDC was completed in two steps: (i) the first step being a merger of Merger Sub with and into MVC (the "First Step") with MVC surviving as a wholly owned subsidiary of Barings BDC ("First Step Surviving Company"), and (ii) the second step being a merger of the First Step Surviving Company with and into Barings BDC with Barings BDC as the surviving company (the "Second Step", and together with the First Step, the "Merger"). F2: At the effective time of the Merger, each share of issued and outstanding MVC common stock was canceled and exchanged for the right to receive (i) $0.39492 per share in cash, without interest, from Barings and (ii) 0.9790836 of a validly issued, fully paid and non-assessable share of Barings BDC common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: MVC Capital, Inc. ("MVC"), Barings BDC, Inc., a Maryland corporation ("Barings BDC"), Mustang Acquisition Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Barings BDC, ("Merger Sub") and Barings LLC, a Delaware limited liability company and investment adviser to Barings BDC ("Barings") entered into the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), pursuant to which the acquisition of MVC by Barings BDC was completed in two steps: (i) the first step being a merger of Merger Sub with and into MVC (the "First Step") with MVC surviving as a wholly owned subsidiary of Barings BDC ("First Step Surviving Company"), and (ii) the second step being a merger of the First Step Surviving Company with and into Barings BDC with Barings BDC as the surviving company (the "Second Step", and together with the First Step, the "Merger").
F2: At the effective time of the Merger, each share of issued and outstanding MVC common stock was canceled and exchanged for the right to receive (i) $0.39492 per share in cash, without interest, from Barings and (ii) 0.9790836 of a validly issued, fully paid and non-assessable share of Barings BDC common stock.
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 |
|---|---|---|---|---|---|---|
| January 23, 2026 Filed Jan 27, 2026 21:32 UTC | Total Return Securities Fund SWZ · Entity 8820 | Disposition to issuerCommon Stock | 1,755 | $6.81 | $11,951.55 |
DisclosureSEC source: 0001398344-26-001386 · fp0097351-1_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,527 F1 · kind: Represents the sale of shares to the issuer pursuant to issuer tender offer exempt under Rule 16b-3. Read SEC document |
| April 02, 2025 Filed Apr 3, 2025 20:05 UTC | Total Return Securities Fund SWZ · Entity 8820 | SaleCommon Stock | 41 | $9.24 | $378.84 |
DisclosureSEC source: 0001398344-25-006575 · fp0092908-1_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,283 Read SEC document |
| December 26, 2024 Filed Dec 30, 2024 22:01 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | SaleCommon Stock | 259 | $6.47 | $1,676.40 |
DisclosureSEC source: 0001104659-24-132545 · tm2432220-1_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,000 Read SEC document |
| December 19, 2024 Filed Dec 23, 2024 22:01 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 2,000 | $6.34 | $12,680.00 |
DisclosureSEC source: 0001104659-24-131359 · tm2431893-1_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,259 Read SEC document |
| December 17, 2024 Filed Dec 18, 2024 22:01 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 2,525 | $6.50 | $16,412.50 |
DisclosureSEC source: 0001104659-24-129801 · tm2431476-1_4seq1.xml · nonDerivative · entry 5 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,259 Read SEC document |
| December 17, 2024 Filed Dec 18, 2024 22:01 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 12,000 | $6.60 | $79,200.00 |
DisclosureSEC source: 0001104659-24-129801 · tm2431476-1_4seq1.xml · nonDerivative · entry 4 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,734 Read SEC document |
| December 17, 2024 Filed Dec 18, 2024 22:01 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 6,409 | $6.50 | $41,658.50 |
DisclosureSEC source: 0001104659-24-129801 · tm2431476-1_4seq1.xml · nonDerivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,734 Read SEC document |
| December 16, 2024 Filed Dec 18, 2024 22:01 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 5,000 | $6.63 | $33,150.00 |
DisclosureSEC source: 0001104659-24-129801 · tm2431476-1_4seq1.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,325 Read SEC document |
| December 16, 2024 Filed Dec 18, 2024 22:01 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 5,000 | $6.69 | $33,450.00 |
DisclosureSEC source: 0001104659-24-129801 · tm2431476-1_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,325 Read SEC document |
| December 12, 2024 Filed Dec 16, 2024 22:04 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | Disposition to issuerCommon Stock | 38,142 | $7.07 | $269,663.94 |
DisclosureSEC source: 0001104659-24-128974 · tm2431179-5_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,325 F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. Read SEC document |
| August 15, 2024 Filed Aug 19, 2024 21:04 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | Exercise / conversionCommon Stock | 2,441 | $6.48 | $15,817.68 |
DisclosureSEC source: 0001104659-24-090894 · tm2422003-3_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,467 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 holders of record of shares of beneficial interest ("common stock") of the Issuer as of July 8, 2024 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every right received by the holder entitled such 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 |
| June 04, 2024 Filed Jun 6, 2024 21:00 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 100 | $6.81 | $680.98 |
DisclosureSEC source: 0001104659-24-069130 · tm2416651-1_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,026 F1 · balance_after: Amount includes shares of common stock received by the Reporting Person pursuant to automatically reinvested distributions. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 1,000 | $14.66 | $14,660.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 6 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,584 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 100 | $14.65 | $1,465.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 5 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,584 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 1,000 | $14.73 | $14,730.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 4 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,484 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 2,000 | $14.77 | $29,540.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,484 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 21:01 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 1,500 | $14.94 | $22,410.00 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,484 F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 21:01 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Disposition to issuerCommon Stock | 5,333 | $15.69 | $83,674.77 |
DisclosureSEC source: 0001104659-22-043673 · tm2212183-2_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,984 F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3. F2 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| March 02, 2022 Filed Mar 3, 2022 20:26 UTC | Total Return Securities Fund SWZ · Entity 8820 | PurchaseCommon Stock | 498 | $8.84 | $4,402.32 |
DisclosureSEC source: 0001398344-22-005208 · fp0073866_4.xml · nonDerivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,324 Read SEC document |
| March 02, 2022 Filed Mar 3, 2022 20:26 UTC | Total Return Securities Fund SWZ · Entity 8820 | PurchaseCommon Stock | 235 | $8.85 | $2,079.75 |
DisclosureSEC source: 0001398344-22-005208 · fp0073866_4.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,826 Read SEC document |
| March 02, 2022 Filed Mar 3, 2022 20:26 UTC | Total Return Securities Fund SWZ · Entity 8820 | PurchaseCommon Stock | 267 | $8.87 | $2,368.29 |
DisclosureSEC source: 0001398344-22-005208 · fp0073866_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,591 F1 · balance_after: Mr. Hellerman acquired 257 shares of the issuer as the result of automatic reinvestment of dividends. Read SEC document |
| January 28, 2022 Filed Jan 28, 2022 22:12 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 532 | $14.50 | $7,714.00 |
DisclosureSEC source: 0001104659-22-009073 · tm224833d1_4.xml · nonDerivative · entry 4 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,318 F1 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| January 28, 2022 Filed Jan 28, 2022 22:12 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 68 | $14.59 | $992.12 |
DisclosureSEC source: 0001104659-22-009073 · tm224833d1_4.xml · nonDerivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,786 F1 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 22:12 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 785 | $14.63 | $11,484.55 |
DisclosureSEC source: 0001104659-22-009073 · tm224833d1_4.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,718 F1 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 22:12 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 285 | $14.72 | $4,195.20 |
DisclosureSEC source: 0001104659-22-009073 · tm224833d1_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,933 F1 · balance_after: Includes shares acquired through reinvested distributions. Read SEC document |
| January 21, 2022 Filed Jan 24, 2022 22:06 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 700 | $8.28 | $5,796.00 |
DisclosureSEC source: 0001104659-22-006981 · tm224339-1_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,035 F1 · balance_after: Amount includes shares of common stock received by the Reporting Person pursuant to automatically reinvested distributions. Read SEC document |
| November 02, 2021 Filed Nov 3, 2021 21:01 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | Exercise / conversionCommon Stock | 19,072 | $8.36 | $159,441.92 |
DisclosureSEC source: 0001104659-21-133728 · tm2131826-5_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,778 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. F2 · balance_after: Amount includes 694 shares of common stock received by the Reporting Person pursuant to automatic distributions. Read SEC document |
| September 20, 2021 Filed Sep 21, 2021 21:02 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 824 | $15.16 | $12,491.84 |
DisclosureSEC source: 0001104659-21-117933 · tm2128138-1_4seq1.xml · nonDerivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,648 F1 · balance_after: This includes shares acquired through reinvested distributions. Read SEC document |
| September 20, 2021 Filed Sep 21, 2021 21:02 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 824 | $15.17 | $12,500.08 |
DisclosureSEC source: 0001104659-21-117933 · tm2128138-1_4seq1.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,824 F1 · balance_after: This includes shares acquired through reinvested distributions. Read SEC document |
| September 20, 2021 Filed Sep 21, 2021 21:02 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 824 | $15.17 | $12,495.96 |
DisclosureSEC source: 0001104659-21-117933 · tm2128138-1_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 F1 · balance_after: This includes shares acquired through reinvested distributions. Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 13:29 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | SaleCommon Stock | 9,000 | $10.00 | $90,000.00 |
DisclosureSEC source: 0001398344-21-018881 · fp0068869.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,012 F1 · balance_after: Amount includes 778 shares received by the Reporting Person pursuant to automatic distributions. Read SEC document |
| July 19, 2021 Filed Jul 20, 2021 21:04 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 1,000 | $15.00 | $14,995.00 |
DisclosureSEC source: 0001104659-21-094020 · tm2122665-1_4seq1.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,175 F1 · balance_after: This includes shares acquired through reinvested distributions. Read SEC document |
| February 02, 2021 Filed Feb 4, 2021 21:40 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | Exercise / conversionCommon Stock | 11,183 | $8.24 | $92,147.92 |
DisclosureSEC source: 0001398344-21-002380 · fp0061916_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,234 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 December 23, 2020 in connection with a rights offering by the Issuer at the rate of one right for each share of beneficial interest owned. Each right entitled its holder to purchase one share of beneficial interest, which purchase is reflected in this filing. F2 · balance_after: Amount includes 275 shares received by the Reporting Person pursuant to automatic distributions. Read SEC document |
| December 23, 2020 Filed Dec 23, 2020 16:46 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | Disposition to issuerCommon Stock, $0.01 par value | 68,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-20-029445 · form4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: MVC Capital, Inc. ("MVC"), Barings BDC, Inc., a Maryland corporation ("Barings BDC"), Mustang Acquisition Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Barings BDC, ("Merger Sub") and Barings LLC, a Delaware limited liability company and investment adviser to Barings BDC ("Barings") entered into the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), pursuant to which the acquisition of MVC by Barings BDC was completed in two steps: (i) the first step being a merger of Merger Sub with and into MVC (the "First Step") with MVC surviving as a wholly owned subsidiary of Barings BDC ("First Step Surviving Company"), and (ii) the second step being a merger of the First Step Surviving Company with and into Barings BDC with Barings BDC as the surviving company (the "Second Step", and together with the First Step, the "Merger"). F2 · price: At the effective time of the Merger, each share of issued and outstanding MVC common stock was canceled and exchanged for the right to receive (i) $0.39492 per share in cash, without interest, from Barings and (ii) 0.9790836 of a validly issued, fully paid and non-assessable share of Barings BDC common stock. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 19:25 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Disposition to issuer3.50% Convertible Preferred Stock Series B · Derivative | 400 | $25.53 Strike: $0.00 | $10,212.16 |
DisclosureSEC source: 0001104659-20-136758 · tm2038801d1_4.xml · derivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 744 shares Expires not disclosed F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $13.73 per share of common stock (which is a ratio of 1.8601 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 Issuer on August 19, 2021. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 19:25 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Disposition to issuer3.50% Convertible Preferred Stock Series B · Derivative | 350 | $25.56 Strike: $0.00 | $8,946.00 |
DisclosureSEC source: 0001104659-20-136758 · tm2038801d1_4.xml · derivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400 Underlying: Common Stock · 651 shares Expires not disclosed F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $13.74 per share of common stock (which is a ratio of 1.8601 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 Issuer on August 19, 2021. Read SEC document |
| October 30, 2020 Filed Nov 2, 2020 20:11 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 1,900 | $7.25 | $13,775.00 |
DisclosureSEC source: 0001398344-20-021221 · fp0058979_4.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,776 Read SEC document |
| October 30, 2020 Filed Nov 2, 2020 20:11 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 100 | $7.24 | $724.00 |
DisclosureSEC source: 0001398344-20-021221 · fp0058979_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,876 Read SEC document |
| October 28, 2020 Filed Oct 28, 2020 21:18 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 2,000 | $11.48 | $22,960.00 |
DisclosureSEC source: 0001104659-20-119026 · tm2034525d1_form4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,684 Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 15:46 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 50 | $8.26 | $413.00 |
DisclosureSEC source: 0001398344-20-018540 · fp0057725_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,776 Read SEC document |
| April 03, 2020 Filed Apr 3, 2020 20:44 UTC | Total Return Securities Fund SWZ · Entity 8820 | PurchaseCommon Stock | 1,000 | $6.90 | $6,900.00 |
DisclosureSEC source: 0001398344-20-007510 · fp0052502_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,067 F1 · balance_after: Mr. Hellerman acquired 9 shares of the issuer as the result of automatic reinvestment of dividends. Read SEC document |
| April 03, 2020 Filed Apr 6, 2020 17:14 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 1,000 | $5.91 | $5,910.00 |
DisclosureSEC source: 0001104659-20-043563 · tm2015057d2_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,432 Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 19:16 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 140 | $8.75 | $1,225.00 |
DisclosureSEC source: 0001104659-20-044124 · tm2015272d1_4.xml · nonDerivative · entry 4 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,684 Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 19:16 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 220 | $8.73 | $1,920.60 |
DisclosureSEC source: 0001104659-20-044124 · tm2015272d1_4.xml · nonDerivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,544 Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 19:16 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 630 | $8.71 | $5,487.30 |
DisclosureSEC source: 0001104659-20-044124 · tm2015272d1_4.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,324 Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 19:16 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 10 | $8.70 | $87.00 |
DisclosureSEC source: 0001104659-20-044124 · tm2015272d1_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,694 Read SEC document |
| March 09, 2020 Filed Mar 10, 2020 21:10 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 238 | $12.49 | $2,972.62 |
DisclosureSEC source: 0001104659-20-031439 · tv538865_4.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director · CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Read SEC document |
| March 09, 2020 Filed Mar 10, 2020 21:10 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 762 | $12.55 | $9,563.10 |
DisclosureSEC source: 0001104659-20-031439 · tv538865_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director · CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,115 Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 21:04 UTC | Total Return Securities Fund SWZ · Entity 8820 | PurchaseCommon Stock | 1,000 | $8.00 | $8,000.00 |
DisclosureSEC source: 0001398344-20-004873 · fp0051458_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,057 F1 · balance_after: Mr. Hellerman acquired 16 shares of the issuer as the result of automatic reinvestments of dividends. Read SEC document |
| October 23, 2019 Filed Oct 24, 2019 17:22 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 1,750 | $8.48 | $14,840.00 |
DisclosureSEC source: 0001398344-19-018437 · fp0047052_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,250 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.