Every SEC Form 3/4/5 on record for this filer (CIK 1034123) — 7 issuers, 22 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| SLRC | SLR Investment Corp. | Director · lapsed | 2016-05-13 → 2023-05-24 | 9 | −$72,199 |
| SUNS | Sunrise Realty Trust, Inc. | Director · lapsed | 2016-05-13 → 2022-04-05 | 2 | $193,625 |
| CMAX | CareMax, Inc. | 10% owner · lapsed | 2021-06-10 → 2022-02-15 | 2 | — |
| DFPH | Oncology Institute, Inc. | President and CEO · lapsed | 2020-03-10 → 2021-11-16 | 2 | — |
| DFHT | Deerfield Healthcare Technology Acquisitions Corp. | President and CEO · Director · lapsed | 2020-07-16 → 2020-07-16 | 1 | — |
| AHCO | AdaptHealth Corp. | Director · lapsed | 2019-11-13 → 2019-11-13 | 1 | — |
| DFBH | DFB Healthcare Acquisitions Corp. | Director · lapsed | 2018-02-15 → 2018-04-03 | 3 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| SLRC | 2022-11-16 | Sell | 3,000 | $14.01 | $42,030 | 2,742 |
| SLRC | 2022-11-16 | Sell | 3,000 | $14.01 | $42,030 | 2,742 |
| SLRC | 2022-11-11 | Buy | 7,400 | $14.39 | $106,486 | 19,258 |
| SLRC | 2022-11-10 | Buy | 6,858 | $13.98 | $95,875 | 11,858 |
| SLRC | 2022-11-08 | Sell | 14,850 | $13.71 | $203,594 | 5,742 |
2 of 7 issuers are covered and open a security page; the rest are on file here only.
