Insider · CIK 0001280303

BROCK THOMAS W

Reports to the SEC for 5 companies · NEW YORK, NY

sec.gov

Transactions

Companies

Filings

CIK

0001280303

Forms 4 and 5

Insider transactions

24 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2020-12-02	USALIBERTY ALL STAR EQUITY FUNDP Purchase	Trustee	PPurchase	+5,000 sh	$6.68	+$33.4K	85,000
2020-11-09	USALIBERTY ALL STAR EQUITY FUNDP Purchase	Trustee	PPurchase	+25K sh	$6.45	+$161K	80,000
2020-08-31	USALIBERTY ALL STAR EQUITY FUNDP Purchase	Trustee	PPurchase	+6,254 sh	$6.19	+$38.7K	55,000
2020-06-19	USALIBERTY ALL STAR EQUITY FUNDS Sale	Trustee	SSale	−2,568 sh	$5.81	−$14.9K	0
2020-03-31	ASGLIBERTY ALL STAR GROWTH FUND INC.P Purchase	Director	PPurchase	+10K sh	$4.34	+$43.5K	60,124
2019-04-23	USALIBERTY ALL STAR EQUITY FUNDP Purchase	Trustee	PPurchase	+700 sh	$6.42	+$4,494	2,500
2019-02-20	USALIBERTY ALL STAR EQUITY FUNDP Purchase	Trustee	PPurchase	+800 sh	$6.09	+$4,869.2	1,800
2018-11-13	USALIBERTY ALL STAR EQUITY FUNDP Purchase	Trustee	PPurchase	+1,000 sh	$6.19	+$6,187	1,000
2018-11-06	USALIBERTY ALL STAR EQUITY FUNDP Purchase	Trustee	PPurchase	+15K sh	$6.12	+$91.8K	48,746.706
2017-05-09	Silver Bay Realty Trust Corp.A Award	Director, Chief Executive Officer	AAward	+135K sh	—	—	171,750
2017-05-09	Silver Bay Realty Trust Corp.D Disposition to Issuer	Director, Chief Executive Officer	DDisposition to Issuer	−172K sh	—	—	0
2017-01-27	Silver Bay Realty Trust Corp.A Award	Director, Chief Executive Officer	AAward	+17.8K sh	—	—	36,375
2015-05-20	Silver Bay Realty Trust Corp.A Award	Director, Chief Executive Officer	AAward	+3,222 sh	—	—	18,538
2013-05-22	Silver Bay Realty Trust Corp.A Award	Director, Chief Executive Officer	AAward	+4,164 sh	—	—	12,117
2013-03-07	Silver Bay Realty Trust Corp.P Purchase	Director, Chief Executive Officer	PPurchase	+5,000 sh	$19.38	+$96.9K	7,703
2012-12-19	Silver Bay Realty Trust Corp.A Award	Director, Chief Executive Officer	AAward	+2,703 sh	—	—	2,703
2011-08-08	EDFVirtus Stone Harbor Emerging Markets Income FundP Purchase	Trustee	PPurchase	+1,250 sh	$23.53	+$29.4K	6,382
2011-08-08	EDFVirtus Stone Harbor Emerging Markets Income FundP Purchase	Trustee	PPurchase	+500 sh	$23.67	+$11.8K	6,882
2011-03-15	EDFVirtus Stone Harbor Emerging Markets Income FundP Purchase	Trustee	PPurchase	+500 sh	$22.89	+$11.4K	5,000
2011-03-15	EDFVirtus Stone Harbor Emerging Markets Income FundP Purchase	Trustee	PPurchase	+2,300 sh	$23.01	+$52.9K	4,300
2011-03-15	EDFVirtus Stone Harbor Emerging Markets Income FundP Purchase	Trustee	PPurchase	+200 sh	$22.95	+$4,590	4,500
2011-03-10	EDFVirtus Stone Harbor Emerging Markets Income FundP Purchase	Trustee	PPurchase	+700 sh	$24.00	+$16.8K	700
2011-03-10	EDFVirtus Stone Harbor Emerging Markets Income FundP Purchase	Trustee	PPurchase	+900 sh	$23.99	+$21.6K	1,600
2011-03-10	EDFVirtus Stone Harbor Emerging Markets Income FundP Purchase	Trustee	PPurchase	+400 sh	$23.98	+$9,592	2,000

Recent filings

Accepted (ET)
Dec 24
BROCK THOMAS W0001280303-20-000006
SEC(opens sec.gov)
Nov 94
BROCK THOMAS W0001280303-20-000005
SEC(opens sec.gov)
Sep 14
BROCK THOMAS W0001280303-20-000004
SEC(opens sec.gov)
Jul 14
BROCK THOMAS W0001280303-20-000003
SEC(opens sec.gov)
Mar 314
BROCK THOMAS W0001280303-20-000002
SEC(opens sec.gov)
Apr 234
BROCK THOMAS W0001280303-19-000003
SEC(opens sec.gov)
Feb 204
BROCK THOMAS W0001280303-19-000002
SEC(opens sec.gov)
Nov 144
BROCK THOMAS W0001280303-18-000004
SEC(opens sec.gov)
Nov 64
BROCK THOMAS W0001280303-18-000003
SEC(opens sec.gov)
May 94
Silver Bay Realty Trust Corp.0001209191-17-030918
SEC(opens sec.gov)
Jan 314
Silver Bay Realty Trust Corp.0001557255-17-000008
SEC(opens sec.gov)
May 214
Silver Bay Realty Trust Corp.0001557255-15-000049
SEC(opens sec.gov)
May 244
BROCK THOMAS W0001280303-13-000008
SEC(opens sec.gov)
Mar 114
BROCK THOMAS W0001280303-13-000007
SEC(opens sec.gov)
Dec 214
BROCK THOMAS W0001280303-12-000005
SEC(opens sec.gov)
Aug 104
BROCK THOMAS W0001501103-11-000017
SEC(opens sec.gov)
Mar 164
BROCK THOMAS W0001501103-11-000008
SEC(opens sec.gov)

Companies

Address

STONE HARBOR INVESTMENT PARTNERS LP 31 WEST 52ND STREET

NEW YORK, NY, 10019