Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CORNERSTONE TOTAL RETURN FUND INCCRF · Entity 4905 | Director · President | May 22, 2025 | May 27, 2025 |
| Cornerstone Strategic Investment Fund, Inc.CLM · Entity 4490 | Director · President | May 22, 2025 | May 27, 2025 |
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.
CORNERSTONE TOTAL RETURN FUND INC
Report date May 22, 2025 · Filed May 27, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 18,636 |
Reported balance
After 2025-05-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-05-22 · Exercise / conversion · Acquired 2,594 · Balance 18,636 F1: Non-transferable rights were issued to stockholders of record as of April 21, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F2: The total shares in column (5) includes 36,229 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. |
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 54,716 |
Reported balance
Holding disclosure · report date 2025-05-22 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 54,716 F2: The total shares in column (5) includes 36,229 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. |
Filing footnotes · ownership attribution and instrument terms
F1: Non-transferable rights were issued to stockholders of record as of April 21, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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.
F2: The total shares in column (5) includes 36,229 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing.
Cornerstone Strategic Investment Fund, Inc.
Report date May 22, 2025 · Filed May 27, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 19,293 |
Reported balance
After 2025-05-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-05-22 · Exercise / conversion · Acquired 2,554 · Balance 19,293 F1: Non-transferable rights were issued to stockholders of record as of April 21, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F2: The total shares in column (5) includes 53,550 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. |
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 90,426 |
Reported balance
Holding disclosure · report date 2025-05-22 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 90,426 F1: Non-transferable rights were issued to stockholders of record as of April 21, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F2: The total shares in column (5) includes 53,550 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. |
Filing footnotes · ownership attribution and instrument terms
F1: Non-transferable rights were issued to stockholders of record as of April 21, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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.
F2: The total shares in column (5) includes 53,550 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing.
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 |
|---|---|---|---|---|---|---|
| May 22, 2025 Filed May 27, 2025 21:00 UTC | CORNERSTONE TOTAL RETURN FUND INC CRF · Entity 4905 | Exercise / conversionCommon Stock | 2,594 | $6.97 | $18,080.18 |
DisclosureSEC source: 0001398344-25-010153 · fp0093774-2_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,636 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 · security: Non-transferable rights were issued to stockholders of record as of April 21, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F1 · kind: Non-transferable rights were issued to stockholders of record as of April 21, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F2 · balance_after: The total shares in column (5) includes 36,229 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| May 22, 2025 Filed May 27, 2025 21:00 UTC | Cornerstone Strategic Investment Fund, Inc. CLM · Entity 4490 | Exercise / conversionCommon Stock | 2,554 | $7.30 | $18,644.20 |
DisclosureSEC source: 0001398344-25-010152 · fp0093774-1_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,293 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 April 21, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F2 · balance_after: The total shares in column (5) includes 53,550 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| June 28, 2022 Filed Jun 29, 2022 21:15 UTC | CORNERSTONE TOTAL RETURN FUND INC CRF · Entity 4905 | Exercise / conversionCommon Stock | 2,000 | $7.95 | $15,900.00 |
DisclosureSEC source: 0001398344-22-012687 · fp0077240_4.xml · nonDerivative · entry 2 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 28,728 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 · security: Non-transferable rights were issued to stockholders of record as of April 18, 2022 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F1 · kind: Non-transferable rights were issued to stockholders of record as of April 18, 2022 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F2 · balance_after: The total shares in column (5) includes 9,010 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| June 27, 2022 Filed Jun 29, 2022 21:13 UTC | Cornerstone Strategic Investment Fund, Inc. CLM · Entity 4490 | Exercise / conversionCommon Stock | 2,440 | $8.27 | $20,178.80 |
DisclosureSEC source: 0001398344-22-012685 · fp0077239_4.xml · nonDerivative · entry 2 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 47,412 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 · security: Non-transferable rights were issued to stockholders of record as of April 18, 2022 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F1 · kind: Non-transferable rights were issued to stockholders of record as of April 18, 2022 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F2 · balance_after: The total shares in column (5) includes 10,775 shares acquired through the Issuer's dividend reinvestment plan since the reporting person's previous Form 4 filing. Read SEC document |
| May 25, 2021 Filed May 26, 2021 19:09 UTC | CORNERSTONE TOTAL RETURN FUND INC CRF · Entity 4905 | Exercise / conversionCommon Stock | 2,028 | $10.23 | $20,746.44 |
DisclosureSEC source: 0001398344-21-012082 · fp0065807_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,738 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 · security: Non-transferable rights were issued to stockholders of record as of April 16, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F1 · kind: Non-transferable rights were issued to stockholders of record as of April 16, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F2 · balance_after: The total shares in column (5) includes 12,922 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| May 25, 2021 Filed May 26, 2021 19:14 UTC | Cornerstone Strategic Investment Fund, Inc. CLM · Entity 4490 | Exercise / conversionCommon Stock | 1,977 | $10.64 | $21,035.28 |
DisclosureSEC source: 0001398344-21-012088 · fp0065808_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,024 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 · security: Non-transferable rights were issued to stockholders of record as of April 16, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F1 · kind: Non-transferable rights were issued to stockholders of record as of April 16, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights 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. F2 · balance_after: The total shares in column (5) includes 19,895 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| February 11, 2020 Filed Feb 12, 2020 21:20 UTC | CORNERSTONE TOTAL RETURN FUND INC CRF · Entity 4905 | PurchaseCommon Stock | 1,000 | $11.42 | $11,417.00 |
DisclosureSEC source: 0001398344-20-002809 · fp0050935_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,567 F1 · balance_after: The total shares in Item 5 includes 5,614 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| February 11, 2020 Filed Feb 12, 2020 21:24 UTC | Cornerstone Strategic Investment Fund, Inc. CLM · Entity 4490 | PurchaseCommon Stock | 1,000 | $11.75 | $11,745.00 |
DisclosureSEC source: 0001398344-20-002811 · fp0050936_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,830 F1 · balance_after: The total shares in Item 5 includes 9,028 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 01:20 UTC | CORNERSTONE TOTAL RETURN FUND INC CRF · Entity 4905 | OtherCommon Stock | 1,125 | $13.09 | $14,726.25 |
DisclosureSEC source: 0001398344-18-010593 · fp0034759_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,813 F1 · security: Non-transferable rights were issued to stockholders of record as of June 18, 2018 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights received by the holder entitled its holder to purchase one share of common stock, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 2,087 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 01:18 UTC | Cornerstone Strategic Investment Fund, Inc. CLM · Entity 4490 | OtherCommon Stock | 1,186 | $13.46 | $15,963.56 |
DisclosureSEC source: 0001398344-18-010591 · fp0034758_4.xml · nonDerivative · entry 2 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,997 F1 · security: Non-transferable rights were issued to stockholders of record as of June 18, 2018 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every three rights received by the holder entitled its holder to purchase one share of common stock, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 3,480 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 16:46 UTC | CORNERSTONE TOTAL RETURN FUND INC CRF · Entity 4905 | OtherCommon Stock | 1,000 | $13.41 | $13,410.00 |
DisclosureSEC source: 0001398344-17-011618 · fp0027972_4.xml · nonDerivative · entry 2 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 9,375 F1 · security: Non-transferable rights were issued to stockholders of record as of July 17, 2017 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, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 1,262 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 16:46 UTC | CORNERSTONE TOTAL RETURN FUND INC CRF · Entity 4905 | OtherCommon Stock | 519 | $13.41 | $6,959.79 |
DisclosureSEC source: 0001398344-17-011618 · fp0027972_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 575 F1 · security: Non-transferable rights were issued to stockholders of record as of July 17, 2017 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, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 1,262 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 16:48 UTC | Cornerstone Strategic Investment Fund, Inc. CLM · Entity 4490 | OtherCommon Stock | 551 | $13.86 | $7,636.86 |
DisclosureSEC source: 0001398344-17-011620 · fp0027971_4.xml · nonDerivative · entry 2 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677 F1 · security: Non-transferable rights were issued to stockholders of record as of July 17, 2017 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, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 2,359 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 16:48 UTC | Cornerstone Strategic Investment Fund, Inc. CLM · Entity 4490 | OtherCommon Stock | 1,000 | $13.86 | $13,860.00 |
DisclosureSEC source: 0001398344-17-011620 · fp0027971_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 15,739 F1 · security: Non-transferable rights were issued to stockholders of record as of July 17, 2017 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, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 2,359 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 19:04 UTC | CORNERSTONE TOTAL RETURN FUND INC CRF · Entity 4905 | OtherCommon Stock | 1,024 | $13.69 | $14,018.56 |
DisclosureSEC source: 0001144204-16-131081 · v452004_4.xml · nonDerivative · entry 2 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 7,020 F1 · security: Non-transferable rights were issued to stockholders of record as of September 23, 2016 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, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 1,278 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 19:04 UTC | CORNERSTONE TOTAL RETURN FUND INC CRF · Entity 4905 | OtherCommon Stock | 46 | $13.69 | $629.74 |
DisclosureSEC source: 0001144204-16-131081 · v452004_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48 F1 · security: Non-transferable rights were issued to stockholders of record as of September 23, 2016 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, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 1,278 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 19:05 UTC | Cornerstone Strategic Investment Fund, Inc. CLM · Entity 4490 | OtherCommon Stock | 104 | $14.11 | $1,467.44 |
DisclosureSEC source: 0001144204-16-131084 · v452005_4.xml · nonDerivative · entry 2 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108 F1 · security: Non-transferable rights were issued to stockholders of record as of September 23, 2016 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, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 2,482 shares acquired through the Issuer's dividend reinvestment plan. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 19:05 UTC | Cornerstone Strategic Investment Fund, Inc. CLM · Entity 4490 | OtherCommon Stock | 1,022 | $14.11 | $14,420.42 |
DisclosureSEC source: 0001144204-16-131084 · v452005_4.xml · nonDerivative · entry 1 BRADSHAW RALPH W · CIK 0001107682 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 12,298 F1 · security: Non-transferable rights were issued to stockholders of record as of September 23, 2016 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, which purchase is reflected in this filing. F2 · balance_after: The total shares in Item 5 includes 2,482 shares acquired through the Issuer's dividend reinvestment plan. 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.