Every SEC Form 3/4/5 on record for this filer (CIK 1233561) — 4 issuers, 32 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 |
|---|---|---|---|---|---|
| BEN | FRANKLIN RESOURCES INC | Director | 2016-02-18 → 2026-02-04 | 26 | −$423,240 |
| RWT | REDWOOD TRUST INC | Director · lapsed | 2016-05-03 → 2020-05-22 | 9 | −$382,408 |
| ATAX | AMERICA FIRST MULTIFAMILY INVESTORS, L.P. | Director · lapsed | 2016-11-01 → 2018-05-25 | 6 | — |
| WAGE | WAGEWORKS, INC. | Director · lapsed | 2016-05-02 → 2017-05-01 | 3 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| BEN | 2023-10-10 | Sell | 6,011 | $24.01 | $144,324 | 10,494 |
| BEN | 2022-06-15 | Sell | 3,135 | $23.37 | $73,265 | 11,523 |
| BEN | 2021-06-15 | Sell | 2,400 | $33.91 | $81,384 | 9,146 |
| BEN | 2020-12-15 | Sell | 1,826 | $23.97 | $43,769 | 5,535 |
2 of 4 issuers are covered and open a security page; the rest are on file here only.
