person · Reporting owner
THUMMEL ROBERT JOSEPH JR.
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TORTOISE ENERGY INDEPENDENCE FUND, INC.NDP · Entity 84717 | President · Member of Investment Committee | November 08, 2018 | November 08, 2018 |
| TORTOISE ENERGY INFRASTRUCTURE CORPTYG · Entity 8897 | Member of Investment Committee | November 08, 2018 | November 08, 2018 |
| TORTOISE SUSTAINABLE & SOCIAL IMPACT TERM FUNDTEAF · Entity 73494 | Member of Investment Committee | May 24, 2019 | May 24, 2019 |
| Tax-Exempt Private Credit Fund, Inc.TSIFX · Entity 76830 | Member of investment committee | September 03, 2024 | September 05, 2024 |
| Tortoise Midstream Energy Fund, Inc.NTG · Entity 84716 | Member of Investment Committee | July 13, 2018 | July 13, 2018 |
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.
TORTOISE ENERGY INDEPENDENCE FUND, INC.
Report date November 08, 2018 · Filed November 08, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 3,000 |
Reported balance
After 2018-11-08 transaction · row 1
1 source rowRow 1 · 2018-11-08 · Purchase · Acquired 900 · Balance 3,000 |
TORTOISE ENERGY INFRASTRUCTURE CORP
Report date November 08, 2018 · Filed November 08, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 1,367 |
Reported balance
After 2018-11-08 transaction · row 1
1 source rowRow 1 · 2018-11-08 · Purchase · Acquired 390 · Balance 1,367 |
TORTOISE SUSTAINABLE & SOCIAL IMPACT TERM FUND
Report date May 24, 2019 · Filed May 24, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 2,550 |
Reported balance
After 2019-05-24 transaction · row 1
1 source rowRow 1 · 2019-05-24 · Purchase · Acquired 1,300 · Balance 2,550 |
Tax-Exempt Private Credit Fund, Inc.
Report date September 03, 2024 · Filed September 05, 2024
This filing explicitly reported no securities owned.
Tortoise Midstream Energy Fund, Inc.
Report date July 13, 2018 · Filed July 13, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,667 |
Reported balance
After 2018-07-13 transaction · row 1
1 source rowRow 1 · 2018-07-13 · Other · Acquired 417 · Balance 1,667 F1: On June 7, 2018, Tortoise MLP Fund, Inc. (the "Fund") announced the terms of a pro rata offering of transferable rights (the "Rights") to holders of the Fund's common shares, as of the record date of June 19, 2018 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 15,802,094 of the Fund's common shares. Record Date Shareholders received one Right for each outstanding whole common share held on the record date. The Rights entitle their holders to purchase one new common share for every three Rights held; however, any Record Date Stockholder who owns fewer than three common shares as of the Record Date will be entitled to subscribe for one common share. The subscription price per common share is an estimated $16.54 (the "basic subscription privilege"). F2: The reporting person exercised his basic subscription privilege in full. The subscription rights will expire if they are not exercised by 5:00 p.m. Eastern time on July 18, 2018 (unless otherwise extended). |
| Transferable Subscription Rights (Right to Buy)SEC Table II · derivative / convertible security · Expires 2018-07-18 | Direct | 0 |
Reported balance
After 2018-07-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-07-13 · Other · Disposed 1,251 · Balance 0 F1: On June 7, 2018, Tortoise MLP Fund, Inc. (the "Fund") announced the terms of a pro rata offering of transferable rights (the "Rights") to holders of the Fund's common shares, as of the record date of June 19, 2018 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 15,802,094 of the Fund's common shares. Record Date Shareholders received one Right for each outstanding whole common share held on the record date. The Rights entitle their holders to purchase one new common share for every three Rights held; however, any Record Date Stockholder who owns fewer than three common shares as of the Record Date will be entitled to subscribe for one common share. The subscription price per common share is an estimated $16.54 (the "basic subscription privilege"). F2: The reporting person exercised his basic subscription privilege in full. The subscription rights will expire if they are not exercised by 5:00 p.m. Eastern time on July 18, 2018 (unless otherwise extended). |
Filing footnotes · ownership attribution and instrument terms
F1: On June 7, 2018, Tortoise MLP Fund, Inc. (the "Fund") announced the terms of a pro rata offering of transferable rights (the "Rights") to holders of the Fund's common shares, as of the record date of June 19, 2018 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 15,802,094 of the Fund's common shares. Record Date Shareholders received one Right for each outstanding whole common share held on the record date. The Rights entitle their holders to purchase one new common share for every three Rights held; however, any Record Date Stockholder who owns fewer than three common shares as of the Record Date will be entitled to subscribe for one common share. The subscription price per common share is an estimated $16.54 (the "basic subscription privilege").
F2: The reporting person exercised his basic subscription privilege in full. The subscription rights will expire if they are not exercised by 5:00 p.m. Eastern time on July 18, 2018 (unless otherwise extended).
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 24, 2019 Filed May 24, 2019 11:19 UTC | TORTOISE SUSTAINABLE & SOCIAL IMPACT TERM FUND TEAF · Entity 73494 | PurchaseCommon Shares | 1,300 | $18.75 | $24,375.00 |
DisclosureSEC source: 0001567619-19-012030 · doc1.xml · nonDerivative · entry 1 THUMMEL ROBERT JOSEPH JR. · CIK 0001444607 · Member of Investment Committee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,550 Read SEC document |
| March 27, 2019 Filed Mar 28, 2019 20:43 UTC | TORTOISE SUSTAINABLE & SOCIAL IMPACT TERM FUND TEAF · Entity 73494 | PurchaseCommon Shares | 1,250 | $20.00 | $25,000.00 |
DisclosureSEC source: 0000913849-19-000233 · ownership.xml · nonDerivative · entry 1 THUMMEL ROBERT JOSEPH JR. · CIK 0001444607 · Member of Investment Committee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,250 Read SEC document |
| November 08, 2018 Filed Nov 8, 2018 14:24 UTC | TORTOISE ENERGY INDEPENDENCE FUND, INC. NDP · Entity 84717 | PurchaseCommon Shares | 900 | $10.97 | $9,873.00 |
DisclosureSEC source: 0001567619-18-005388 · doc1.xml · nonDerivative · entry 1 THUMMEL ROBERT JOSEPH JR. · CIK 0001444607 · President · Member of Investment Committee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| November 08, 2018 Filed Nov 8, 2018 14:16 UTC | TORTOISE ENERGY INFRASTRUCTURE CORP TYG · Entity 8897 | PurchaseCommon Shares | 390 | $25.46 | $9,929.40 |
DisclosureSEC source: 0001567619-18-005382 · doc1.xml · nonDerivative · entry 1 THUMMEL ROBERT JOSEPH JR. · CIK 0001444607 · Member of Investment Committee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,367 Read SEC document |
| July 13, 2018 Filed Jul 13, 2018 16:55 UTC | Tortoise Midstream Energy Fund, Inc. NTG · Entity 84716 | OtherTransferable Subscription Rights (Right to Buy) · Derivative | 1,251 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-032399 · doc1.xml · derivative · entry 2 THUMMEL ROBERT JOSEPH JR. · CIK 0001444607 · Member of Investment Committee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 417 shares Expires 2018-07-18 F1 · security: On June 7, 2018, Tortoise MLP Fund, Inc. (the "Fund") announced the terms of a pro rata offering of transferable rights (the "Rights") to holders of the Fund's common shares, as of the record date of June 19, 2018 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 15,802,094 of the Fund's common shares. Record Date Shareholders received one Right for each outstanding whole common share held on the record date. The Rights entitle their holders to purchase one new common share for every three Rights held; however, any Record Date Stockholder who owns fewer than three common shares as of the Record Date will be entitled to subscribe for one common share. The subscription price per common share is an estimated $16.54 (the "basic subscription privilege"). F2 · security: The reporting person exercised his basic subscription privilege in full. The subscription rights will expire if they are not exercised by 5:00 p.m. Eastern time on July 18, 2018 (unless otherwise extended). F1 · derivative.exercise_price: On June 7, 2018, Tortoise MLP Fund, Inc. (the "Fund") announced the terms of a pro rata offering of transferable rights (the "Rights") to holders of the Fund's common shares, as of the record date of June 19, 2018 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 15,802,094 of the Fund's common shares. Record Date Shareholders received one Right for each outstanding whole common share held on the record date. The Rights entitle their holders to purchase one new common share for every three Rights held; however, any Record Date Stockholder who owns fewer than three common shares as of the Record Date will be entitled to subscribe for one common share. The subscription price per common share is an estimated $16.54 (the "basic subscription privilege"). F2 · derivative.exercise_price: The reporting person exercised his basic subscription privilege in full. The subscription rights will expire if they are not exercised by 5:00 p.m. Eastern time on July 18, 2018 (unless otherwise extended). F1 · price: On June 7, 2018, Tortoise MLP Fund, Inc. (the "Fund") announced the terms of a pro rata offering of transferable rights (the "Rights") to holders of the Fund's common shares, as of the record date of June 19, 2018 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 15,802,094 of the Fund's common shares. Record Date Shareholders received one Right for each outstanding whole common share held on the record date. The Rights entitle their holders to purchase one new common share for every three Rights held; however, any Record Date Stockholder who owns fewer than three common shares as of the Record Date will be entitled to subscribe for one common share. The subscription price per common share is an estimated $16.54 (the "basic subscription privilege"). F2 · price: The reporting person exercised his basic subscription privilege in full. The subscription rights will expire if they are not exercised by 5:00 p.m. Eastern time on July 18, 2018 (unless otherwise extended). F1 · derivative.expiration_date: On June 7, 2018, Tortoise MLP Fund, Inc. (the "Fund") announced the terms of a pro rata offering of transferable rights (the "Rights") to holders of the Fund's common shares, as of the record date of June 19, 2018 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 15,802,094 of the Fund's common shares. Record Date Shareholders received one Right for each outstanding whole common share held on the record date. The Rights entitle their holders to purchase one new common share for every three Rights held; however, any Record Date Stockholder who owns fewer than three common shares as of the Record Date will be entitled to subscribe for one common share. The subscription price per common share is an estimated $16.54 (the "basic subscription privilege"). F2 · derivative.expiration_date: The reporting person exercised his basic subscription privilege in full. The subscription rights will expire if they are not exercised by 5:00 p.m. Eastern time on July 18, 2018 (unless otherwise extended). Read SEC document |
| July 13, 2018 Filed Jul 13, 2018 16:55 UTC | Tortoise Midstream Energy Fund, Inc. NTG · Entity 84716 | OtherCommon Stock | 417 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-032399 · doc1.xml · nonDerivative · entry 1 THUMMEL ROBERT JOSEPH JR. · CIK 0001444607 · Member of Investment Committee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,667 F1 · price: On June 7, 2018, Tortoise MLP Fund, Inc. (the "Fund") announced the terms of a pro rata offering of transferable rights (the "Rights") to holders of the Fund's common shares, as of the record date of June 19, 2018 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 15,802,094 of the Fund's common shares. Record Date Shareholders received one Right for each outstanding whole common share held on the record date. The Rights entitle their holders to purchase one new common share for every three Rights held; however, any Record Date Stockholder who owns fewer than three common shares as of the Record Date will be entitled to subscribe for one common share. The subscription price per common share is an estimated $16.54 (the "basic subscription privilege"). F2 · price: The reporting person exercised his basic subscription privilege in full. The subscription rights will expire if they are not exercised by 5:00 p.m. Eastern time on July 18, 2018 (unless otherwise extended). Read SEC document |
| November 30, 2017 Filed Nov 30, 2017 15:53 UTC | Tortoise Midstream Energy Fund, Inc. NTG · Entity 84716 | PurchaseCommon Shares | 650 | $15.55 | $10,107.50 |
DisclosureSEC source: 0001140361-17-044440 · doc1.xml · nonDerivative · entry 1 THUMMEL ROBERT JOSEPH JR. · CIK 0001444607 · Member of Investment Committee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,250 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.