Finnen Paul E. — SEC Form 4 filings
SEC reporting owner CIK 1834407. 5 Form 4 filings on record with FilingPulse; latest filed 2025-12-11.
Transaction summary — filings shown
Covers all 5 filings on record, filed 2024-12-20 to 2025-12-11. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 5 legs across 5 filings — 49,951 shares, $1,070,000 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 46,598 shares @ $21.46 ($1,000,000) in Flat Rock Enhanced Income Fund, filed 2025-05-02.
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 |
|---|---|---|---|---|---|
| Flat Rock Enhanced Income Fund (FRBBX) | Director | 3 | 3 legs · 48,201 sh · $1,035,000 | — | — |
| Flat Rock Core Income Fund (CORFX) | Director | 2 | 2 legs · 1,750 sh · $35,000 | — | — |
Form 4 filings — Finnen Paul E.
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2025-12-11 | 4 | Flat Rock Core Income Fund (CORFX) | Purchase (P): 1,261.99 @ $19.81 | EDGAR |
| 2025-12-11 | 4 | Flat Rock Enhanced Income Fund (FRBBX) | Purchase (P): 1,139.99 @ $21.93 | EDGAR |
| 2025-05-02 | 4 | Flat Rock Enhanced Income Fund (FRBBX) | Purchase (P): 46,598.32 @ $21.46 | EDGAR |
| 2024-12-20 | 4 | Flat Rock Core Income Fund (CORFX) | Purchase (P): 487.57 @ $20.51 | EDGAR |
| 2024-12-20 | 4 | Flat Rock Enhanced Income Fund (FRBBX) | Purchase (P): 462.75 @ $21.61 | 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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