Every SEC Form 3/4/5 on record for this filer (CIK 1221433) — 2 issuers, 17 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 |
|---|---|---|---|---|---|
| AWK | American Water Works Company, Inc. | Director | 2016-05-17 → 2024-09-04 | 14 | −$89,494 |
| NBXG | Neuberger Berman Next Generation Connectivity Fund Inc. | Director · lapsed | 2021-05-25 → 2022-03-23 | 3 | $8,150 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| AWK | 2024-09-03 | Sell | 710 | $142.85 | $101,424 | 36,880 |
| AWK | 2023-08-28 | Buy | 56 | $141.07 | $7,900 | 35,960 |
| NBXG | 2022-03-21 | Sell | 1,250 | $13.48 | $16,850 | — |
| NBXG | 2021-05-25 | Buy | 1,250 | $20.00 | $25,000 | 1,250 |
| AWK | 2021-03-01 | Buy | 61 | $144.83 | $8,835 | 31,676 |
1 of 2 issuers are covered and open a security page; the rest are on file here only.
