Every SEC Form 3/4/5 on record for this filer (CIK 904853) — 6 issuers, 53 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 | 2023-02-23 → 2026-03-05 | 7 | $2M |
| NOVC | NOVATION COMPANIES, INC. | Director · lapsed | 2015-08-12 → 2021-12-30 | 15 | −$132,520 |
| MCC | Medley Capital Corp | Director · lapsed | 2020-08-24 → 2020-08-24 | 1 | — |
| RASFN | RAIT Financial Trust | 10% owner · lapsed | 2018-11-06 → 2019-02-15 | 3 | $109,615 |
| RASFP | RAIT Financial Trust | 10% owner · lapsed | 2018-11-14 → 2018-12-20 | 6 | $382,224 |
| RASFO | RAIT Financial Trust | 10% owner · lapsed | 2018-11-01 → 2018-11-02 | 2 | $101,767 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| PFX | 2026-03-03 | Buy | 11,500 | $42.56 | $489,440 | 248,248 |
| PFX | 2025-06-17 | Buy | 157 | $50.04 | $7,856 | 234,608 |
| PFX | 2025-06-17 | Buy | 167 | $49.87 | $8,328 | 234,451 |
| PFX | 2025-06-17 | Buy | 315 | $48.64 | $15,322 | 234,284 |
| PFX | 2023-06-15 | Buy | 12,126 | $36.99 | $448,541 | 16,604 |
| PFX | 2023-06-15 | Buy | 1,275 | $36.27 | $46,244 | 4,478 |
| PFX | 2023-06-14 | Buy | 501 | $34.97 | $17,520 | 501 |
| PFX | 2023-06-14 | Buy | 2,702 | $35.63 | $96,272 | 3,203 |