Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BLACKROCK CORE BOND TRUSTBHK · Entity 8872 | Portfolio Manager | January 29, 2021 | February 03, 2021 |
| BLACKROCK CORPORATE HIGH YIELD FUND, INC.HYT · Entity 4761 | Portfolio Manager | January 31, 2023 | February 02, 2023 |
| BLACKROCK DEBT STRATEGIES FUND, INC.DSU · Entity 5351 | Portfolio Manager | July 26, 2017 | July 27, 2017 |
| BLACKROCK FLOATING RATE INCOME TRUSTBGT · Entity 5844 | Portfolio Manager | January 29, 2021 | February 02, 2021 |
| BlackRock HPS Credit Strategies FundNA · Entity 28548 | Portfolio Manager | January 31, 2024 | February 03, 2024 |
| BlackRock Private Investments FundNA · Entity 28628 | Portfolio Manager | February 20, 2024 | March 05, 2024 |
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.
BLACKROCK CORE BOND TRUST
Report date January 29, 2021 · Filed February 03, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2021-01-29 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-01-29 · Exercise / conversion · Acquired 4,809.6603 · Balance 4,809.6603 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Row 2 · 2021-01-29 · Disposition to issuer · Disposed 4,809.6603 · Balance 0 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-01-29 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-01-29 · Exercise / conversion · Disposed 4,809.6603 · Balance 0 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.
F2: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
BLACKROCK CORPORATE HIGH YIELD FUND, INC.
Report date January 31, 2023 · Filed February 02, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 136,411 |
Ending reported balance
After 2023-01-31 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-01-31 · Exercise / conversion · Acquired 15,156.7713 · Balance 151,567.7713 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Row 2 · 2023-01-31 · Disposition to issuer · Disposed 15,156.7713 · Balance 136,411 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-01-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-01-31 · Exercise / conversion · Disposed 15,156.7713 · Balance 0 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.
F2: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
BLACKROCK DEBT STRATEGIES FUND, INC.
Report date July 26, 2017 · Filed July 27, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 46,325 |
Reported balance
After 2017-07-26 transaction · row 1
1 source rowRow 1 · 2017-07-26 · Purchase · Acquired 10,000 · Balance 46,325 |
BLACKROCK FLOATING RATE INCOME TRUST
Report date January 29, 2021 · Filed February 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2021-01-29 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-01-29 · Exercise / conversion · Acquired 4,876.6543 · Balance 4,876.6543 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Row 2 · 2021-01-29 · Disposition to issuer · Disposed 4,876.6543 · Balance 0 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-01-29 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-01-29 · Exercise / conversion · Disposed 4,876.6543 · Balance 0 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.
F2: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
BlackRock HPS Credit Strategies Fund
Report date January 31, 2024 · Filed February 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2024-01-31 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-01-31 · Exercise / conversion · Acquired 111,710.4706 · Balance 111,710.4706 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Row 2 · 2024-01-31 · Disposition to issuer · Disposed 111,710.4706 · Balance 0 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 98,805.4246 |
Reported balance
After 2024-01-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-01-31 · Grant · Acquired 98,805.4246 · Balance 98,805.4246 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5: These phantom shares vest in equal installments on each of the first three anniversaries of the award. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 42,946.0269 |
Reported balance
After 2024-01-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-01-31 · Exercise / conversion · Disposed 21,473.0134 · Balance 42,946.0269 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 33,505.1895 |
Reported balance
After 2024-01-31 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-01-31 · Exercise / conversion · Disposed 33,505.1895 · Balance 33,505.1895 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-01-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2024-01-31 · Exercise / conversion · Disposed 56,732.2677 · Balance 0 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.
F2: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
F3: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
F4: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
F5: These phantom shares vest in equal installments on each of the first three anniversaries of the award.
BlackRock Private Investments Fund
Report date February 20, 2024 · Filed March 05, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 25,079.5866 |
Reported balance
After 2024-02-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-02-20 · Grant · Acquired 25,079.5866 · Balance 25,079.5866 F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2: These phantom shares vest in equal installments over a three-year period based on the net asset value of the Issuer's common stock as of January 31 of the applicable year. |
Filing footnotes · ownership attribution and instrument terms
F1: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.
F2: These phantom shares vest in equal installments over a three-year period based on the net asset value of the Issuer's common stock as of January 31 of the applicable year.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BlackRock Capital Investment Corp
Report date March 18, 2024 · Filed March 20, 2024
Section 16 reporting ended · disclosed 2024-03-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-03-18 transaction · row 1
1 source rowRow 1 · 2024-03-18 · Disposition to issuer · Disposed 490,003 · Balance 0 F1: On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger"). F2: At the effective time of the Merger, each outstanding share of the Issuer common stock (other than certain excluded shares) automatically converted into the right to receive 0.3834 validly issued, fully-paid and nonassessable shares of TCPC common stock. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-03-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-03-18 · Disposition to issuer · Disposed 42,247.05 · Balance 0 F3: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1: On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger"). F5: In connection with the Merger, each Issuer phantom share converted into 0.3651 TCPC phantom shares on substantially the same terms and conditions as the Issuer award. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-03-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-03-18 · Disposition to issuer · Disposed 52,024.86 · Balance 0 F3: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F6: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1: On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger"). F5: In connection with the Merger, each Issuer phantom share converted into 0.3651 TCPC phantom shares on substantially the same terms and conditions as the Issuer award. |
| Phantom SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-03-18 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-03-18 · Disposition to issuer · Disposed 113,305.93 · Balance 0 F3: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F7: As previously reported on a Form 4 dated February 2, 2024, the Reporting Person was granted phantom shares on January 31, 2024 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1: On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger"). F5: In connection with the Merger, each Issuer phantom share converted into 0.3651 TCPC phantom shares on substantially the same terms and conditions as the Issuer award. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger").
F2: At the effective time of the Merger, each outstanding share of the Issuer common stock (other than certain excluded shares) automatically converted into the right to receive 0.3834 validly issued, fully-paid and nonassessable shares of TCPC common stock.
F3: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.
F4: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
F5: In connection with the Merger, each Issuer phantom share converted into 0.3651 TCPC phantom shares on substantially the same terms and conditions as the Issuer award.
F6: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
F7: As previously reported on a Form 4 dated February 2, 2024, the Reporting Person was granted phantom shares on January 31, 2024 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
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 |
|---|---|---|---|---|---|---|
| March 18, 2024 Filed Mar 20, 2024 18:30 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Disposition to issuerPhantom Shares · Derivative | 113,305.93 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950172-24-000082 · form4.xml · derivative · entry 4 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 113,305.93 shares Expires not disclosed F3 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F7 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2024, the Reporting Person was granted phantom shares on January 31, 2024 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · kind: On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger"). F5 · price: In connection with the Merger, each Issuer phantom share converted into 0.3651 TCPC phantom shares on substantially the same terms and conditions as the Issuer award. F3 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F7 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2024, the Reporting Person was granted phantom shares on January 31, 2024 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F7 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2024, the Reporting Person was granted phantom shares on January 31, 2024 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| March 18, 2024 Filed Mar 20, 2024 18:30 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Disposition to issuerPhantom Shares · Derivative | 52,024.86 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950172-24-000082 · form4.xml · derivative · entry 3 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 52,024.86 shares Expires not disclosed F3 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F6 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · kind: On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger"). F5 · price: In connection with the Merger, each Issuer phantom share converted into 0.3651 TCPC phantom shares on substantially the same terms and conditions as the Issuer award. F3 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F6 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F6 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| March 18, 2024 Filed Mar 20, 2024 18:30 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Disposition to issuerPhantom Shares · Derivative | 42,247.05 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950172-24-000082 · form4.xml · derivative · entry 2 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 42,247.05 shares Expires not disclosed F3 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · kind: On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger"). F5 · price: In connection with the Merger, each Issuer phantom share converted into 0.3651 TCPC phantom shares on substantially the same terms and conditions as the Issuer award. F3 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| March 18, 2024 Filed Mar 20, 2024 18:30 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Disposition to issuerCommon Stock | 490,003 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950172-24-000082 · form4.xml · nonDerivative · entry 1 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger"). F2 · price: At the effective time of the Merger, each outstanding share of the Issuer common stock (other than certain excluded shares) automatically converted into the right to receive 0.3834 validly issued, fully-paid and nonassessable shares of TCPC common stock. Read SEC document |
| February 20, 2024 Filed Mar 5, 2024 21:52 UTC | BlackRock Private Investments Fund NA · Entity 28628 | GrantPhantom Shares · Derivative | 25,079.5866 | $11.32 | $283,900.92 |
DisclosureSEC source: 0000950170-24-026172 · ownership.xml · derivative · entry 1 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,079.5866 Underlying: Common Stock · 25,079.5866 shares Expires not disclosed F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_price: These phantom shares vest in equal installments over a three-year period based on the net asset value of the Issuer's common stock as of January 31 of the applicable year. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: These phantom shares vest in equal installments over a three-year period based on the net asset value of the Issuer's common stock as of January 31 of the applicable year. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: These phantom shares vest in equal installments over a three-year period based on the net asset value of the Issuer's common stock as of January 31 of the applicable year. Read SEC document |
| January 31, 2024 Filed Feb 3, 2024 01:56 UTC | BlackRock HPS Credit Strategies Fund NA · Entity 28548 | Exercise / conversionPhantom Shares · Derivative | 56,732.2677 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-010949 · ownership.xml · derivative · entry 6 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 56,732.2677 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2024 Filed Feb 3, 2024 01:56 UTC | BlackRock HPS Credit Strategies Fund NA · Entity 28548 | Exercise / conversionPhantom Shares · Derivative | 33,505.1895 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-010949 · ownership.xml · derivative · entry 5 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,505.1895 Underlying: Common Stock · 33,505.1895 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2024 Filed Feb 3, 2024 01:56 UTC | BlackRock HPS Credit Strategies Fund NA · Entity 28548 | Exercise / conversionPhantom Shares · Derivative | 21,473.0134 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-010949 · ownership.xml · derivative · entry 4 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,946.0269 Underlying: Common Stock · 21,473.0134 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2024 Filed Feb 3, 2024 01:56 UTC | BlackRock HPS Credit Strategies Fund NA · Entity 28548 | GrantPhantom Shares · Derivative | 98,805.4246 | $8.62 | $851,702.76 |
DisclosureSEC source: 0000950170-24-010949 · ownership.xml · derivative · entry 3 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 98,805.4246 Underlying: Common Stock · 98,805.4246 shares Expires not disclosed F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. Read SEC document |
| January 31, 2024 Filed Feb 3, 2024 01:56 UTC | BlackRock HPS Credit Strategies Fund NA · Entity 28548 | Disposition to issuerCommon Stock | 111,710.4706 | $8.62 | $962,944.26 |
DisclosureSEC source: 0000950170-24-010949 · ownership.xml · nonDerivative · entry 2 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2024 Filed Feb 3, 2024 01:56 UTC | BlackRock HPS Credit Strategies Fund NA · Entity 28548 | Exercise / conversionCommon Stock | 111,710.4706 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-010949 · ownership.xml · nonDerivative · entry 1 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,710.4706 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 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 15:11 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 61,479 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-24-002623 · doc4.xml · derivative · entry 6 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 61,479 shares Expires not disclosed 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. F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 15:11 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 41,135.28 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-24-002623 · doc4.xml · derivative · entry 5 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,135.28 Underlying: Common Stock · 41,135.28 shares Expires not disclosed 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 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F1 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F1 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F1 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 15:11 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 25,327.89 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-24-002623 · doc4.xml · derivative · entry 4 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,655.78 Underlying: Common Stock · 25,327.89 shares Expires not disclosed 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. F3 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · price: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 15:11 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | GrantPhantom Shares · Derivative | 110,324.19 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-24-002623 · doc4.xml · derivative · entry 3 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 110,324.19 Underlying: Common Stock · 110,324.19 shares Expires not disclosed F3 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F3 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F3 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 15:11 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Disposition to issuerCommon Stock | 127,942.1707 | $3.86 | $493,856.78 |
DisclosureSEC source: 0001209191-24-002623 · doc4.xml · nonDerivative · entry 2 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 490,003 F1 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F2 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · price: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 15:11 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionCommon Stock | 127,942.1707 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-24-002623 · doc4.xml · nonDerivative · entry 1 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 617,945.1707 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 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F2 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · price: As previously reported on a Form 4 dated February 2, 2023, the Reporting Person was granted phantom shares on January 31, 2023 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 23:03 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | Exercise / conversionPhantom Shares · Derivative | 23,330.8769 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-003555 · doc4.xml · derivative · entry 6 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,330.8769 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_date: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.expiration_date: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 23:03 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | Exercise / conversionPhantom Shares · Derivative | 51,022.6614 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-003555 · doc4.xml · derivative · entry 5 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,022.6614 Underlying: Common Stock · 51,022.6614 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 23:03 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | Exercise / conversionPhantom Shares · Derivative | 30,228.5727 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-003555 · doc4.xml · derivative · entry 4 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,457.1453 Underlying: Common Stock · 30,228.5727 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 23:03 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | GrantPhantom Shares · Derivative | 58,676.4495 | $8.72 | $511,658.64 |
DisclosureSEC source: 0000899243-23-003555 · doc4.xml · derivative · entry 3 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,676.4495 Underlying: Common Stock · 58,676.4495 shares Expires not disclosed F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 23:03 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | Disposition to issuerCommon Stock | 104,582.1109 | $8.72 | $911,956.01 |
DisclosureSEC source: 0000899243-23-003555 · doc4.xml · nonDerivative · entry 2 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 23:03 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | Exercise / conversionCommon Stock | 104,582.1109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-003555 · doc4.xml · nonDerivative · entry 1 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,582.1109 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 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 19:13 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 36,530.4582 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-006439 · doc4.xml · derivative · entry 6 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 36,530.4582 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_date: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.expiration_date: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 19:13 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 55,051.4725 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-006439 · doc4.xml · derivative · entry 5 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,051.4725 Underlying: Common Stock · 55,051.4725 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 19:13 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 36,834.657 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-006439 · doc4.xml · derivative · entry 4 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,669.3141 Underlying: Common Stock · 36,834.657 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 19:13 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | GrantPhantom Shares · Derivative | 68,039.7128 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-006439 · doc4.xml · derivative · entry 3 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,039.7128 Underlying: Common Stock · 68,039.7128 shares Expires not disclosed F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 19:13 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Disposition to issuerCommon Stock | 128,416.5877 | $3.76 | $482,846.37 |
DisclosureSEC source: 0001209191-23-006439 · doc4.xml · nonDerivative · entry 2 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 490,003 F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4 · price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 19:13 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionCommon Stock | 128,416.5877 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-006439 · doc4.xml · nonDerivative · entry 1 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 618,419.5877 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 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2022, the Reporting Person was granted phantom shares on January 31, 2022 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4 · price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 18:04 UTC | BLACKROCK CORPORATE HIGH YIELD FUND, INC. HYT · Entity 4761 | Exercise / conversionPhantom Shares · Derivative | 15,156.7713 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-003559 · doc4.xml · derivative · entry 3 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,156.7713 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 18:04 UTC | BLACKROCK CORPORATE HIGH YIELD FUND, INC. HYT · Entity 4761 | Disposition to issuerCommon Stock | 15,156.7713 | $9.28 | $140,654.84 |
DisclosureSEC source: 0000899243-23-003559 · doc4.xml · nonDerivative · entry 2 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,411 F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 18:04 UTC | BLACKROCK CORPORATE HIGH YIELD FUND, INC. HYT · Entity 4761 | Exercise / conversionCommon Stock | 15,156.7713 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-003559 · doc4.xml · nonDerivative · entry 1 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,567.7713 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 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 3, 2022 02:45 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | Exercise / conversionPhantom Shares · Derivative | 21,510.383 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-004325 · doc4.xml · derivative · entry 5 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,510.383 Underlying: Common Stock · 21,510.383 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_date: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.expiration_date: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 3, 2022 02:45 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | Exercise / conversionPhantom Shares · Derivative | 47,174.4373 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-004325 · doc4.xml · derivative · entry 4 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,348.8746 Underlying: Common Stock · 47,174.4373 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 3, 2022 02:45 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | GrantPhantom Shares · Derivative | 84,563.521 | $9.77 | $826,185.60 |
DisclosureSEC source: 0000899243-22-004325 · doc4.xml · derivative · entry 3 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,563.521 Underlying: Common Stock · 84,563.521 shares Expires not disclosed F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. Read SEC document |
| January 31, 2022 Filed Feb 3, 2022 02:45 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | Disposition to issuerCommon Stock | 68,684.8203 | $9.77 | $671,050.69 |
DisclosureSEC source: 0000899243-22-004325 · doc4.xml · nonDerivative · entry 2 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 3, 2022 02:45 UTC | BlackRock HPS Credit Strategies Fund N/A · Entity 28548 | Exercise / conversionCommon Stock | 68,684.8203 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-004325 · doc4.xml · nonDerivative · entry 1 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,684.8203 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 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 29, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 2, 2022 17:35 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 37,109.0436 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-006481 · doc4.xml · derivative · entry 6 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,109.0436 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_date: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.expiration_date: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 2, 2022 17:35 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 32,906.1265 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-006481 · doc4.xml · derivative · entry 5 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,906.1265 Underlying: Common Stock · 32,906.1265 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 2, 2022 17:35 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 49,589.5975 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-006481 · doc4.xml · derivative · entry 4 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,179.1951 Underlying: Common Stock · 49,589.5975 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 2, 2022 17:35 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | GrantPhantom Shares · Derivative | 99,540.4337 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006481 · doc4.xml · derivative · entry 3 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,540.4337 Underlying: Common Stock · 99,540.4337 shares Expires not disclosed F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F5 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award. Read SEC document |
| January 31, 2022 Filed Feb 2, 2022 17:35 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Disposition to issuerCommon Stock | 119,604.7676 | $4.15 | $496,359.79 |
DisclosureSEC source: 0001209191-22-006481 · doc4.xml · nonDerivative · entry 2 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 490,003 F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 2, 2022 17:35 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionCommon Stock | 119,604.7676 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-006481 · doc4.xml · nonDerivative · entry 1 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 609,607.7676 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 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F4 · price: As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 3, 2022 12:02 UTC | BLACKROCK CORPORATE HIGH YIELD FUND, INC. HYT · Entity 4761 | Exercise / conversionPhantom Shares · Derivative | 20,423.7002 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-004507 · doc4.xml · derivative · entry 4 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,423.7002 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_date: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.expiration_date: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 3, 2022 12:02 UTC | BLACKROCK CORPORATE HIGH YIELD FUND, INC. HYT · Entity 4761 | Exercise / conversionPhantom Shares · Derivative | 13,748.2847 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-004507 · doc4.xml · derivative · entry 3 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,748.2847 Underlying: Common Stock · 13,748.2847 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 3, 2022 12:02 UTC | BLACKROCK CORPORATE HIGH YIELD FUND, INC. HYT · Entity 4761 | Disposition to issuerCommon Stock | 34,171.9849 | $11.17 | $381,701.07 |
DisclosureSEC source: 0000899243-22-004507 · doc4.xml · nonDerivative · entry 2 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,411 F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2022 Filed Feb 3, 2022 12:02 UTC | BLACKROCK CORPORATE HIGH YIELD FUND, INC. HYT · Entity 4761 | Exercise / conversionCommon Stock | 34,171.9849 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-004507 · doc4.xml · nonDerivative · entry 1 Keenan James · CIK 0001406689 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,582.9849 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 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F3 · price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 14:13 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 40,574.9337 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-006674 · doc4.xml · derivative · entry 6 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,574.9337 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · price: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F4 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 14:13 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 33,553.9857 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-006674 · doc4.xml · derivative · entry 5 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,553.9857 Underlying: Common Stock · 33,553.9857 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · price: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.exercise_date: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F3 · derivative.expiration_date: As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 14:13 UTC | BlackRock Capital Investment Corp BKCC · Entity 92817 | Exercise / conversionPhantom Shares · Derivative | 29,753.7093 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-006674 · doc4.xml · derivative · entry 4 Keenan James · CIK 0001406689 · Interim CEO · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,507.4187 Underlying: Common Stock · 29,753.7093 shares Expires not disclosed 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 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · price: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date. 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.