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 |
|---|---|---|---|---|---|---|
| October 08, 2019 Filed Oct 9, 2019 18:46 UTC | Total Return Securities Fund SWZ · Entity 8820 | PurchaseCommon Stock | 1,000 | $7.93 | $7,930.00 |
DisclosureSEC source: 0001398344-19-017704 · fp0046668_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,041 Read SEC document |
| October 08, 2019 Filed Oct 9, 2019 18:53 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 1,000 | $8.46 | $8,460.00 |
DisclosureSEC source: 0001398344-19-017706 · fp0046669_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 11:05 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 1,000 | $8.88 | $8,880.00 |
DisclosureSEC source: 0001140361-19-018281 · form4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,000 Read SEC document |
| October 03, 2019 Filed Oct 4, 2019 19:35 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | PurchaseCommon Stock | 1,500 | $8.52 | $12,780.00 |
DisclosureSEC source: 0001398344-19-017563 · fp0046500_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 18:39 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 29 | $8.95 | $259.55 |
DisclosureSEC source: 0001140361-19-017675 · form4.xml · nonDerivative · entry 3 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,000 Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 18:39 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 322 | $8.97 | $2,888.34 |
DisclosureSEC source: 0001140361-19-017675 · form4.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,971 Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 18:39 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 1,649 | $8.97 | $14,791.53 |
DisclosureSEC source: 0001140361-19-017675 · form4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,649 Read SEC document |
| August 02, 2019 Filed Aug 2, 2019 20:30 UTC | Total Return Securities Fund SWZ · Entity 8820 | PurchaseCommon Stock | 1,000 | $8.00 | $8,000.00 |
DisclosureSEC source: 0001398344-19-013416 · fp0044876_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,041 Read SEC document |
| August 02, 2019 Filed Aug 5, 2019 13:43 UTC Amendment | Total Return Securities Fund SWZ · Entity 8820 | PurchaseCommon Stock | 1,000 | $8.00 | $8,000.00 |
DisclosureSEC source: 0001398344-19-013439 · fp0044878_4a.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,041 Read SEC document |
| July 25, 2019 Filed Jul 29, 2019 21:01 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 2,700 | $13.98 | $37,746.00 |
DisclosureSEC source: 0001144204-19-036486 · tv526031_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director · CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,483 Read SEC document |
| May 23, 2019 Filed May 24, 2019 21:05 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 1,500 | $13.31 | $19,965.00 |
DisclosureSEC source: 0001144204-19-028201 · tv522410_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director · CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,992 Read SEC document |
| March 19, 2019 Filed Mar 20, 2019 17:30 UTC | HIGH INCOME SECURITIES FUND PCF · Entity 6747 | Disposition to issuerCommon Stock | 1,178 | $9.25 | $10,896.50 |
DisclosureSEC source: 0001398344-19-005254 · fp0040501_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. Read SEC document |
| November 20, 2018 Filed Nov 24, 2018 02:02 UTC | Total Return Securities Fund SWZ · Entity 8820 | Disposition to issuerCommon Stock | 691 | $7.86 | $5,431.26 |
DisclosureSEC source: 0000899243-18-029604 · doc4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41 F1 · kind: Disposed of to The Swiss Helvetia Fund, Inc. pursuant to an issuer tender offer. Read SEC document |
| October 19, 2018 Filed Oct 23, 2018 21:51 UTC | Total Return Securities Fund SWZ · Entity 8820 | OtherCommon Stock | 232 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-027304 · doc4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 732 F1 · kind: Represents shares of common stock of The Swiss Helvetia Fund, Inc. (the "Fund") received pursuant to a stock dividend with a cash election feature, payable on October 19, 2018, that was declared by the Fund's Board of Directors on September 7, 2018 to all common stockholders of record as of the close of business on September 18, 2018. Read SEC document |
| October 11, 2018 Filed Oct 11, 2018 22:00 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 1,000 | $14.47 | $14,470.00 |
DisclosureSEC source: 0001144204-18-053523 · tv504689_form4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director · CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,793 Read SEC document |
| March 26, 2018 Filed Mar 28, 2018 13:04 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 527 | $9.97 | $5,254.19 |
DisclosureSEC source: 0001140361-18-015390 · form4.xml · nonDerivative · entry 2 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Read SEC document |
| March 26, 2018 Filed Mar 28, 2018 13:04 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 473 | $9.99 | $4,725.27 |
DisclosureSEC source: 0001140361-18-015390 · form4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,473 Read SEC document |
| March 22, 2018 Filed Mar 22, 2018 21:16 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 1,000 | $14.82 | $14,820.00 |
DisclosureSEC source: 0001144204-18-016465 · tv489320_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director · CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,793 Read SEC document |
| March 14, 2018 Filed Mar 16, 2018 14:31 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 1,000 | $10.00 | $10,000.00 |
DisclosureSEC source: 0001140361-18-013831 · form4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,000 Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 17:31 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 5,200 | $14.98 | $77,896.00 |
DisclosureSEC source: 0001144204-18-006172 · tv485014_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director · CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,793 F1 · price: This transaction was executed in multiple trades at prices ranging from $14.83 to $15.13. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 04, 2018 Filed Jan 8, 2018 14:56 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 2,000 | $15.10 | $30,200.00 |
DisclosureSEC source: 0001144204-18-001221 · v482781_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director · CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,899 Read SEC document |
| November 01, 2016 Filed Nov 2, 2016 18:22 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | PurchaseCommon Stock | 3,000 | $14.16 | $42,480.00 |
DisclosureSEC source: 0001144204-16-131064 · v452032_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director · CCO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,899 F1 · price: The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| October 26, 2016 Filed Oct 31, 2016 19:18 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Disposition to issuerCommon Stock | 2,321 | $15.61 | $36,230.81 |
DisclosureSEC source: 0001144204-16-130528 · v451772_form4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director · CCO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,899 F1 · balance_after: The reported securities were tendered by the Reporting Person pursuant to the terms of the Tender Offer Statement filed by the Issuer on September 21, 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.