ROMAN STEPHEN — SEC Form 4 filings
SEC reporting owner CIK 1667448. 6 Form 4 filings on record with FilingPulse; latest filed 2025-05-22.
Transaction summary — filings shown
Covers all 6 filings on record, filed 2024-04-01 to 2025-05-22. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 6 legs across 6 filings — 2,790 shares, $31,094 total (shares × price as filed).
- Open-market sales (code S, non-derivative): none reported.
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 0.
- Largest priced transaction: purchase of 600 shares @ $9.48 ($5,688) in CION Investment Corp, filed 2025-05-22.
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 |
|---|---|---|---|---|---|
| CION Investment Corp (CION) | CCO & Secretary | 6 | 6 legs · 2,790 sh · $31,094 | — | — |
Form 4 filings — ROMAN STEPHEN
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2025-05-22 | 4 | CION Investment Corp (CION) | Purchase (P): 600 @ $9.48 | EDGAR |
| 2025-03-18 | 4 | CION Investment Corp (CION) | Purchase (P): 455 @ $10.93 | EDGAR |
| 2024-11-21 | 4 | CION Investment Corp (CION) | Purchase (P): 435 @ $11.53 | EDGAR |
| 2024-08-21 | 4 | CION Investment Corp (CION) | Purchase (P): 450 @ $12.18 | EDGAR |
| 2024-05-22 | 4 | CION Investment Corp (CION) | Purchase (P): 400 @ $12.41 | EDGAR |
| 2024-04-01 | 4 | CION Investment Corp (CION) | Purchase (P): 450 @ $11.05 | 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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