Every SEC Form 3/4/5 on record for this filer (CIK 1244216) — 10 issuers, 36 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 |
|---|---|---|---|---|---|
| PFX | PhenixFIN Corp | Director | 2021-05-19 → 2025-09-18 | 12 | $137,046 |
| BNED | Barnes & Noble Education, Inc. | Director · lapsed | 2020-07-06 → 2021-09-27 | 4 | — |
| CYXT | Cyxtera Technologies, Inc. | Director · lapsed | 2021-08-02 → 2021-08-02 | 1 | — |
| SVACU | STARBOARD VALUE ACQUISITION CORP. | Director · lapsed | 2020-09-09 → 2020-09-09 | 1 | — |
| PETX | ARATANA THERAPEUTICS, INC. | Director · lapsed | 2018-05-22 → 2019-07-18 | 4 | — |
| MCC | Medley Capital Corp | Director · lapsed | 2019-04-19 → 2019-04-19 | 1 | — |
| EVLV | Evolv Technologies Holdings, Inc. | Director · lapsed | 2016-04-01 → 2017-06-30 | 5 | $20,335 |
| SITO | SITO MOBILE, LTD. | Director · lapsed | 2017-04-21 → 2017-06-02 | 3 | — |
| ONE | Higher One Holdings, Inc. | Director · lapsed | 2016-02-24 → 2016-08-05 | 2 | — |
| SPRT | Support.com, Inc. | Director · lapsed | 2016-03-17 → 2016-03-17 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| PFX | 2025-09-17 | Buy | 44 | $48.26 | $2,123 | 3,000 |
| PFX | 2025-09-16 | Buy | 86 | $48.09 | $4,136 | 2,956 |
| PFX | 2025-09-12 | Buy | 100 | $48.09 | $4,809 | 2,870 |
| PFX | 2025-09-11 | Buy | 162 | $48.05 | $7,784 | 2,770 |
| PFX | 2025-09-10 | Buy | 34 | $48.05 | $1,634 | 2,608 |
| PFX | 2025-09-09 | Buy | 250 | $48.17 | $12,043 | 2,574 |
| PFX | 2025-09-05 | Buy | 49 | $48.15 | $2,359 | 2,324 |
| PFX | 2025-09-03 | Buy | 100 | $48.23 | $4,823 | 2,275 |
| PFX | 2025-08-20 | Buy | 75 | $49.28 | $3,696 | 2,175 |
| PFX | 2025-08-19 | Buy | 189 | $49.25 | $9,308 | 2,100 |
2 of 10 issuers are covered and open a security page; the rest are on file here only.
