Every SEC Form 3/4/5 on record for this filer (CIK 1197563) — 2 issuers, 34 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 |
|---|---|---|---|---|---|
| HRZN | Horizon Technology Finance Corp | Director | 2016-03-07 → 2024-11-14 | 10 | $604,970 |
| WBS | WEBSTER FINANCIAL CORP | Executive Vice Chairman · lapsed | 2015-07-23 → 2017-05-31 | 16 | −$2M |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| HRZN | 2024-11-14 | Buy | 4,500 | $9.20 | $41,400 | 59,500 |
| HRZN | 2024-11-13 | Buy | 5,000 | $9.35 | $46,750 | 55,000 |
| HRZN | 2022-05-16 | Buy | 10,000 | $12.23 | $122,300 | 50,000 |
| HRZN | 2022-05-12 | Buy | 5,000 | $11.82 | $59,100 | 40,000 |
| HRZN | 2020-03-31 | Buy | 6,500 | $8.43 | $54,795 | 35,000 |
| HRZN | 2020-03-25 | Buy | 2,000 | $8.91 | $17,820 | 28,500 |
| HRZN | 2020-03-20 | Buy | 8,000 | $7.57 | $60,560 | 26,500 |
| HRZN | 2018-03-15 | Buy | 10,000 | $10.60 | $106,000 | 18,500 |
1 of 2 issuers are covered and open a security page; the rest are on file here only.
