Every SEC Form 3/4/5 on record for this filer (CIK 1720170) — 10 issuers, 17 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 |
|---|---|---|---|---|---|
| EQH | Equitable Holdings, Inc. | Director | 2022-06-06 → 2026-05-21 | 7 | −$124,335 |
| CARV | CARVER BANCORP INC | Director | 2017-12-13 → 2024-11-27 | 10 | $113,992 |
| MIO | Pioneer Municipal High Income Opportunities Fund, Inc. | Filer · lapsed | 2021-08-10 → 2021-08-10 | 1 | — |
| XILSX | Pioneer ILS Interval Fund | Trustee · lapsed | 2021-03-23 → 2021-03-23 | 1 | — |
| XILBX | Pioneer ILS Bridge Fund | Trustee · lapsed | 2021-03-23 → 2021-03-23 | 1 | — |
| MHI | PIONEER MUNICIPAL HIGH INCOME TRUST | Trustee · lapsed | 2021-03-23 → 2021-03-23 | 1 | — |
| HNW | Pioneer Diversified High Income Trust | Trustee · lapsed | 2021-03-23 → 2021-03-23 | 1 | — |
| MAV | PIONEER MUNICIPAL HIGH INCOME ADVANTAGE TRUST | Trustee · lapsed | 2021-03-23 → 2021-03-23 | 1 | — |
| PHT | PIONEER HIGH INCOME TRUST | Trustee · lapsed | 2021-03-23 → 2021-03-23 | 1 | — |
| PHD | Pioneer Floating Rate Trust | Trustee · lapsed | 2021-03-23 → 2021-03-23 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| EQH | 2025-05-23 | Sell | 1,500 | $51.95 | $77,925 | 16,799 |
| CARV | 2024-11-25 | Buy | 59,880 | $1.67 | $100,000 | 64,880 |
| EQH | 2024-11-19 | Sell | 1,000 | $46.41 | $46,410 | 14,906 |
| CARV | 2024-02-27 | Buy | 1,000 | $1.67 | $1,670 | 5,000 |
| CARV | 2023-03-14 | Buy | 450 | $4.20 | $1,890 | 4,000 |
2 of 10 issuers are covered and open a security page; the rest are on file here only.
