Insider · CIK 0001243369

ROLAND MICHAEL J

Reports to the SEC for 6 companies · SCOTTSDALE, AZ

sec.gov

Transactions

Companies

Filings

CIK

0001243369

Forms 4 and 5

Insider transactions

15 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2017-10-02	BRWSaba Capital Income & Opportunities FundS Sale	Director	SSale	−26.4K sh	$5.20	−$137K	22,858
2017-10-02	BRWSaba Capital Income & Opportunities FundS Sale	Director	SSale	−500 sh	$5.21	−$2,602.5	22,358
2017-10-02	BRWSaba Capital Income & Opportunities FundS Sale	Director	SSale	−2,600 sh	$5.21	−$13.5K	19,758
2017-10-02	BRWSaba Capital Income & Opportunities FundS Sale	Director	SSale	−2,301 sh	$5.22	−$12K	17,457
2017-10-02	BRWSaba Capital Income & Opportunities FundS Sale	Director	SSale	−1,700 sh	$5.21	−$8,857	15,757
2017-10-02	BRWSaba Capital Income & Opportunities FundS Sale	Director	SSale	−3,350 sh	$5.21	−$17.5K	12,407
2017-10-02	BRWSaba Capital Income & Opportunities FundS Sale	Director	SSale	−12.4K sh	$5.21	−$64.6K	0
2016-06-29	BRWSaba Capital Income & Opportunities FundP Purchase	Director	PPurchase	+24.6K sh	$5.08	+$125K	24,628
2016-06-29	BRWSaba Capital Income & Opportunities FundP Purchase	Director	PPurchase	+24.6K sh	$5.09	+$125K	49,250
2016-01-04	Pomona Investment FundP Purchase	Director	PPurchase	+4,887.586 sh	$10.23	+$50K	4,887.586
2016-01-04	Pomona Investment FundP Purchase	Director	PPurchase	+4,970.179 sh	$10.06	+$50K	4,970.179
2011-03-15	XSIAXVOYA CREDIT INCOME FUNDS Sale	Senior Vice President	SSale	−807.32 sh	$13.26	−$10.7K	0
2010-09-01	XSIAXVOYA CREDIT INCOME FUNDS Sale	Senior Vice President	SSale	−395.11 sh	$12.52	−$4,946.777	767.68
2010-04-15	XSIAXVOYA CREDIT INCOME FUNDP Purchase	Senior Vice President	PPurchase	+1,162.79 sh	$12.90	+$15K	1,162.79
2010-04-15	XSIAXVOYA CREDIT INCOME FUNDP Purchase	Senior Vice President	PPurchase	+1,162.79 sh	$12.90	+$15K	767.68

Recent filings

Accepted (ET)
Oct 54
ROLAND MICHAEL J0001321927-17-000012
SEC(opens sec.gov)
Jun 304
Voya PRIME RATE TRUST0001321927-16-000065
SEC(opens sec.gov)
Mar 25
Pomona Investment Fund0001321927-16-000053
SEC(opens sec.gov)
Jan 54
Pomona Investment Fund0001321927-16-000041
SEC(opens sec.gov)
Apr 115/A
ING SENIOR INCOME FUND0001321927-11-000094
SEC(opens sec.gov)
Apr 85
ING SENIOR INCOME FUND0001321927-11-000092
SEC(opens sec.gov)
Apr 84
ING SENIOR INCOME FUND0001321927-11-000081
SEC(opens sec.gov)

Companies

Address

7337 E. DOUBLETREE RANCH RD.

SCOTTSDALE, AZ, 85258