HELLERMAN GERALD — SEC Form 4 filings
SEC reporting owner CIK 1222911. 8 Form 4 filings on record with FilingPulse; latest filed 2026-01-27.
Transaction summary — filings shown
Covers all 8 filings on record, filed 2024-06-06 to 2026-01-27. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 7 legs across 3 filings — 33,034 shares, $217,232 total (shares × price as filed).
- Open-market sales (code S, non-derivative): 2 legs across 2 filings — 300 shares, $2,055 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 3.
- Largest priced transaction: purchase of 12,000 shares @ $6.60 ($79,200) in HIGH INCOME SECURITIES FUND, filed 2024-12-18.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| HIGH INCOME SECURITIES FUND (PCF) | Director | 6 | 7 legs · 33,034 sh · $217,232 | 1 leg · 259 sh · $1,676 | 2 |
| Total Return Securities Fund (SWZ) | Director | 2 | — | 1 leg · 41 sh · $379 | 1 |
Form 4 filings — HELLERMAN GERALD
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-01-27 | 4 | Total Return Securities Fund (SWZ) | Disposition to issuer (D): 1,755 @ $6.81 | EDGAR |
| 2025-04-03 | 4 | SWISS HELVETIA FUND, INC. (SWZ) | Sale (S): 41 @ $9.24 | EDGAR |
| 2024-12-30 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Sale (S): 259 @ $6.47 | EDGAR |
| 2024-12-23 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Purchase (P): 2,000 @ $6.34 | EDGAR |
| 2024-12-18 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Purchase (P): 5,000 @ $6.69 · Purchase (P): 5,000 @ $6.63 · Purchase (P): 6,409 @ $6.50 · Purchase (P): 12,000 @ $6.60 · Purchase (P): 2,525 @ $6.50 | EDGAR |
| 2024-12-16 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Disposition to issuer (D): 38,142 @ $7.07 | EDGAR |
| 2024-08-19 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Option exercise (M): 2,441 @ $6.48 | EDGAR |
| 2024-06-06 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Purchase (P): 100 @ $6.81 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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