Tank Bradley's Form 4 filing
Neuberger Berman California Municipal Fund Inc. (NBW) · filed Oct 18, 2021
- Accession no.
- 0000898432-21-000674
- Filed
- Oct 18, 2021
- Trade date
- Oct 14-18, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions. Open-market sales total $92.0K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Tank BradleyCIK 0001254645 | Other: CIO of Adviser of Issuer |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 14, 2021 | Common Stock | SSaleDisposed | −103 | $14.10 | −$1,452.3 | 3,497 | Indirect | |
| Oct 14, 2021 | Common Stock | SSaleDisposed | −75 | $14.10 | −$1,057.5 | 2,125 | Indirect | |
| Oct 14, 2021 | Common Stock | SSaleDisposed | −50 | $14.10 | −$705 | 2,450 | Indirect | |
| Oct 15, 2021 | Common Stock | SSaleDisposed | −680 | $14.02F1 | −$9,533.6 | 2,817 | Indirect | |
| Oct 15, 2021 | Common Stock | SSaleDisposed | −400 | $14.02F1 | −$5,608 | 1,725 | Indirect | |
| Oct 15, 2021 | Common Stock | SSaleDisposed | −450 | $14.02F1 | −$6,309 | 2,000 | Indirect | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −2,078 | $14.02F2 | −$29,133.56 | 739 | Indirect | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −1,275 | $14.02F2 | −$17,875.5 | 450 | Indirect | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −1,450 | $14.02F2 | −$20,329 | 550 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $ 14.02 to $ 14.06. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
Referenced by the price of 3 transactions in Table I.
- F2
The shares were purchased in separate transactions. The range of prices for the transactions reported on this line was $ 14.00 to $ 14.08. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
Referenced by the price of 3 transactions in Table I.