Every SEC Form 3/4/5 on record for this filer (CIK 1271525) — 7 issuers, 9 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 |
|---|---|---|---|---|---|
| PIPR | PIPER SANDLER COMPANIES | Director | 2020-05-18 → 2026-05-21 | 7 | — |
| PJC | PIPER JAFFRAY COMPANIES | Director · lapsed | 2018-09-18 → 2019-05-20 | 4 | — |
| JHA | Nuveen High Income December 2018 Target Term Fund | Filer · lapsed | 2015-11-12 → 2017-12-29 | 2 | — |
| JCO | Nuveen Credit Opportunities 2022 Target Term Fund | Filer · lapsed | 2017-03-28 → 2017-03-28 | 1 | — |
| JHD | Nuveen High Income December 2019 Target Term Fund | Filer · lapsed | 2016-05-10 → 2016-05-10 | 1 | — |
| NHA | Nuveen Municipal 2021 Target Term Fund | Filer · lapsed | 2016-01-28 → 2016-01-28 | 1 | — |
| JHY | Nuveen High Income 2020 Target Term Fund | Filer · lapsed | 2015-07-31 → 2015-07-31 | 1 | — |
No open-market buy or sale on record — only grants, exercises, withholding or gifts. Switch to “All forms” to see them.
1 of 7 issuers are covered and open a security page; the rest are on file here only.
