Stephens John Charles — SEC Form 4 filings
SEC reporting owner CIK 1925493. 5 Form 4 filings on record with FilingPulse; latest filed 2026-08-19.
Transaction summary — filings shown
Covers all 5 filings on record, filed 2024-10-24 to 2026-08-19. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 2 legs across 2 filings — 13,520 shares, $224,152 total (shares × price as filed).
- Open-market sales (code S, non-derivative): 1 leg across 1 filing — 12,252 shares, $201,719 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 1.
- Largest priced transaction: sale of 12,252 shares @ $16.46 ($201,719) in Pomona Investment Fund, filed 2026-08-19.
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 |
|---|---|---|---|---|---|
| Pomona Investment Fund | Secretary | 5 | 2 legs · 13,520 sh · $224,152 | 1 leg · 12,252 sh · $201,719 | 1 |
Form 4 filings — Stephens John Charles
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-08-19 | 4 | Pomona Investment Fund | Sale (S): 12,251.67 @ $16.46 | EDGAR |
| 2025-12-16 | 4/A | Pomona Investment Fund | Holdings only — no transactions reported | EDGAR |
| 2025-12-03 | 4 | Pomona Investment Fund | Purchase (P): 6,760.13 @ $17.03 | EDGAR |
| 2025-07-28 | 4 | Pomona Investment Fund | Purchase (P): 6,760.13 @ $16.13 | EDGAR |
| 2024-10-24 | 4 | Pomona Investment Fund | Grant/award (A): 5,189.20 @ $15.91 | 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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