Tank Bradley's Form 4 filing
Neuberger Berman California Municipal Fund Inc. (NBW) · filed Oct 21, 2021
- Accession no.
- 0000898432-21-000678
- Filed
- Oct 21, 2021
- Trade date
- Oct 19-20, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions. Open-market sales total $10.2K. It was filed 2 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 19, 2021 | Common Stock | SSaleDisposed | −131 | $14.00 | −$1,834 | 608 | Indirect | |
| Oct 19, 2021 | Common Stock | SSaleDisposed | −50 | $14.00 | −$700 | 400 | Indirect | |
| Oct 19, 2021 | Common Stock | SSaleDisposed | −100 | $14.00 | −$1,400 | 450 | Indirect | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −196 | $14.00 | −$2,744 | 412 | Indirect | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −100 | $14.00 | −$1,400 | 300 | Indirect | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −150 | $14.00 | −$2,100 | 300 | 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.
No transaction price on this filing refers to a footnote.