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|
Exchange: |
New York Stock Exchange |
Security
Type: |
Mutual Fund |
Shares
Out: |
9,939,000 |
Market
Cap: |
91.34(M) |
Last
Volume: |
39,044 |
Avg
Vol: |
38,933 |
52
Week Range: |
$9.19 - $9.19 |
|
Level
I Sector: |
Financials |
Level
II Sector: |
Financial Services |
Level
III Sector: |
Closed - End Fund - Debt |
|
Member Indexes:
|
Rankings:
|
Insider 3 Months : - |
Insider 6 Months : - |
Insider 3/6 Months : - |
|
Guru Rank Number : - |
Guru Rank Value : - |
Guru Occurances : - |
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D/I:
|
|
|
D
is for direct shares.
I is
for indirect shares.
D/I
refers to the Direct or Indirect
shares traded vs. held. |
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|
Forms:
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|
A
Form 4 is a form filed
by an insider to indicate a change
in ownership.
A Form
3 is a form filed by
an insider to indicate an
initial ownership of a security. |
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3m +/-:
|
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|
This
represents the company's 3 month
price change. The initial price
is based on the closing price
of the stock on the day the transaction
took place. Purchases & sales
are viewed as long & short
positions respectively.
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Actions:
|
|
|
B |
Buy |
S |
Sell |
OE |
Option
Exercised |
A |
Acquired |
D |
Disposed |
AB |
Automatic
Buy |
AS |
Automatic
Sell |
IO |
Initial
Ownership |
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|
Download:
|
|
|
Download only Transactions
Forms. (Default)
Download
only Summary Infomation.
Download
both Transactions and Summary Data
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Summary (Direct Transactions Only) |
3 Months |
6 Months |
12 Months |
24 Months |
Total Shares Bought |
0 |
0 |
0 |
0 |
Total Buy Value |
$0 |
$0 |
$0 |
$0 |
Total People Bought |
0 |
0 |
0 |
0 |
Total Buy Transactions |
0 |
0 |
0 |
0 |
Total Shares Sold |
0 |
0 |
0 |
0 |
Total Sell Value |
$0 |
$0 |
$0 |
$0 |
Total People Sold |
0 |
0 |
0 |
0 |
Total Sell Transactions |
0 |
0 |
0 |
0 |
End Date |
2023-12-28 |
2023-09-26 |
2023-03-28 |
2022-03-28 |
|
Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
|
|
|
3m +/- |
|
|
Form |
Dakos Andrew |
10% Owner |
|
2020-02-28 |
4 |
B |
$9.79 |
$5,734 |
D/D |
586 |
19,889 |
2.37 |
-9% |
|
Dakos Andrew |
10% Owner |
|
2019-11-26 |
3/A |
IO |
$0.00 |
$0 |
D/D |
0 |
19,303 |
|
- |
|
Samuels Steven |
10% Owner |
|
2019-11-26 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
7,803 |
|
- |
|
Cucchi Paolo M |
Director |
|
2019-07-24 |
4 |
S |
$9.58 |
$13,247 |
D/D |
(1,383) |
0 |
|
- |
|
Hutchinson William R |
Director |
|
2018-09-19 |
4 |
S |
$10.04 |
$17,806 |
D/D |
(1,774) |
0 |
|
- |
|
Hutchinson William R |
Director |
|
2018-04-11 |
4 |
S |
$10.44 |
$85,897 |
D/D |
(8,226) |
1,774 |
|
- |
|
Citigroup Inc |
10% Owner |
|
2015-06-26 |
4 |
D |
$22,500.00 |
$29,250,000 |
I/I |
(1,300) |
0 |
|
- |
|
Cronin Daniel P |
Director |
|
2015-05-26 |
4 |
B |
$11.27 |
$45,082 |
D/D |
4,000 |
5,048 |
2.39 |
- |
|
Fuller Kenneth |
CEO, Pres. & ChairmanCEO & Pre |
|
2013-12-31 |
4 |
B |
$12.20 |
$12,200 |
D/D |
1,000 |
1,000 |
2.81 |
- |
|
Citigroup Inc |
10% Owner |
|
2011-07-26 |
4 |
B |
$22,467.00 |
$157,269 |
I/I |
7 |
1,300 |
1.5 |
- |
|
Salacuse Jeswald W |
Director |
|
2010-10-13 |
4 |
B |
$11.29 |
$2,258 |
D/D |
200 |
200 |
2.31 |
- |
|
Shepler Robert P |
Officer of the Adviser |
|
2009-02-23 |
4 |
S |
$6.81 |
$7,716 |
D/D |
(1,133) |
0 |
|
- |
|
Citigroup Inc |
10% Owner |
|
2008-11-30 |
3 |
IO |
$0.00 |
$0 |
I/I |
0 |
1,161 |
|
- |
|
Gerken R Jay |
President and CEO |
|
2008-11-21 |
4 |
B |
$5.91 |
$17,730 |
D/D |
3,000 |
4,443 |
2.81 |
- |
|
Hutchinson William R |
Director |
|
2008-01-14 |
4 |
B |
$11.94 |
$11,940 |
D/D |
1,000 |
10,000 |
2.39 |
- |
|
Shepler Robert P |
Officer of the Adviser |
|
2007-08-21 |
4 |
B |
$12.73 |
$12,730 |
D/D |
1,000 |
1,000 |
2.74 |
- |
|
Cronin Daniel P |
Director |
|
2007-03-23 |
4 |
B |
$13.97 |
$13,970 |
D/D |
1,000 |
1,000 |
2.39 |
- |
|
Hutchinson William R |
Director |
|
2007-01-30 |
4 |
B |
$14.18 |
$12,294 |
D/D |
867 |
7,867 |
2.39 |
- |
|
Hardin Paul |
Director |
|
2007-01-24 |
5 |
S |
$14.05 |
$1,953 |
D/D |
(139) |
0 |
|
- |
|
Hutchinson William R |
Director |
|
2006-10-13 |
4 |
B |
$13.39 |
$5,356 |
D/D |
400 |
8,000 |
2.39 |
- |
|
Hutchinson William R |
Director |
|
2006-10-12 |
4 |
B |
$13.31 |
$21,296 |
D/D |
1,600 |
7,600 |
2.39 |
- |
|
Hutchinson William R |
Director |
|
2006-05-03 |
4 |
B |
$13.16 |
$19,745 |
D/D |
1,500 |
6,000 |
2.39 |
- |
|
Hutchinson William R |
Director |
|
2006-05-02 |
4 |
B |
$13.18 |
$26,355 |
D/D |
2,000 |
4,500 |
2.39 |
- |
|
Hutchinson William R |
Director |
|
2006-05-01 |
4 |
B |
$13.19 |
$19,785 |
D/D |
1,500 |
2,500 |
2.39 |
- |
|
Smith Barney Fund Management Llc |
officerTitle |
|
2005-11-16 |
4/A |
S |
$12.55 |
$128,898 |
I/I |
(10,273) |
0 |
|
- |
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49 Records found
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Page 1 of 2 |
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