Every SEC Form 3/4/5 on record for this filer (CIK 1604617) — 2 issuers, 24 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 | CHIEF FINANCIAL OFFICER | 2021-01-08 → 2025-12-29 | 15 | $151,984 |
| ABDC | Alcentra Capital Corp | CFO, COO, Treas. & Secretary · lapsed | 2016-03-28 → 2020-01-31 | 6 | $22,931 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| PFX | 2025-12-23 | Buy | 150 | $45.33 | $6,800 | 3,428 |
| PFX | 2025-12-22 | Buy | 6 | $45.00 | $270 | 3,278 |
| PFX | 2025-12-17 | Buy | 37 | $44.00 | $1,628 | 3,272 |
| PFX | 2025-09-23 | Buy | 248 | $47.75 | $11,842 | 3,235 |
| PFX | 2025-08-14 | Buy | 350 | $49.25 | $17,238 | 2,987 |
| PFX | 2025-06-23 | Buy | 1 | $48.12 | $48 | 2,637 |
| PFX | 2025-03-10 | Buy | 173 | $53.75 | $9,299 | 2,636 |
| PFX | 2025-03-07 | Buy | 127 | $53.95 | $6,852 | 2,463 |
| PFX | 2024-06-14 | Buy | 1,000 | $45.12 | $45,120 | 2,336 |
| PFX | 2024-03-11 | Buy | 225 | $45.01 | $10,127 | 1,336 |