Ball George Bradley — SEC Form 4 filings
SEC reporting owner CIK 2002898. 4 Form 4 filings on record with FilingPulse; latest filed 2024-10-04.
Transaction summary — filings shown
Covers all 4 filings on record, filed 2024-09-18 to 2024-10-04. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 4 legs across 4 filings — 41,975 shares, $450,000 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 12,101 shares @ $10.33 ($125,000) in Niagara Income Opportunities Fund, filed 2024-10-04.
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 |
|---|---|---|---|---|---|
| Denali Structured Return Strategy Fund (DNLIX) | 10% owner | 2 | 2 legs · 20,341 sh · $225,000 | — | — |
| Niagara Income Opportunities Fund (NAGRX) | 10% owner | 2 | 2 legs · 21,634 sh · $225,000 | — | — |
Form 4 filings — Ball George Bradley
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2024-10-04 | 4 | Niagara Income Opportunities Fund (NAGRX) | Purchase (P): 12,100.68 @ $10.33 | EDGAR |
| 2024-10-04 | 4 | Denali Structured Return Strategy Fund (DNLIX) | Purchase (P): 11,200.72 @ $11.16 | EDGAR |
| 2024-09-18 | 4 | Denali Structured Return Strategy Fund (DNLIX) | Purchase (P): 9,140.77 @ $10.94 | EDGAR |
| 2024-09-18 | 4 | Niagara Income Opportunities Fund (NAGRX) | Purchase (P): 9,532.89 @ $10.49 | 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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