Every SEC Form 3/4/5 on record for this filer (CIK 1380376) — 3 issuers, 11 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 |
|---|---|---|---|---|---|
| RCIAX | Alternative Credit Income Fund | Chief Financial Officer · lapsed | 2020-11-10 → 2021-01-08 | 2 | — |
| BCPL | BC Partners Lending Corp | CFO, Treasurer · lapsed | 2019-10-18 → 2019-10-18 | 1 | $100,000 |
| KCAP | KCAP Financial, Inc. | CFO, Treasurer and Secretary · lapsed | 2016-05-10 → 2018-06-27 | 8 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| BCPL | 2019-10-16 | Buy | 4,000 | $25.00 | $100,000 | 4,000 |