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ROBERTO ROFFO

CIK 1081508 · Vice President · last filed 2011-11-29

ROBERTO ROFFO is a Vice President who has filed 9 SEC Form 4 insider transactions across 1 company since 2007. The most recent filing shows the insider sold $24.5K of TYW on Nov 29, 2011. Across all open-market trades the lifetime net is −$6.6K, making them a net seller over the disclosed history.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

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Disclosed Exposure

$0

Companies

1

Total Filings

9

Lifetime Open-Market Net

-$6.6K

Filer Profile

Related Filers
DONALD W BURTON — 1 joint filings, latest 2003-08-07
LAURIE SIMON HODRICK — 1 joint filings, latest 2003-08-07
JOHN M LOFFREDO — 1 joint filings, latest 2003-08-07
FRED G WEISS — 1 joint filings, latest 2003-08-07
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses.

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
Symbol Role Shares Price Disclosed Exposure Lifetime OM Net Filings Latest Filed
TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Vice President 417 — — -$6.6K 9 2011-11-29

Recent Filings

9 filings
Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
Filed Symbol Action Net Shares Net $ Link
2011-11-29 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Sell (S) −2,169 -$24.5K EDGAR
2010-12-03 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Buy (P) +1,000 $10.8K EDGAR
2010-07-09 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Buy (P) +1,000 $9.8K EDGAR
2010-06-15 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Sell (S) −465 -$6.7K EDGAR
2010-06-14 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Buy (P) +435 $6.0K EDGAR
2010-06-14 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Buy (P) +337 $4.7K EDGAR
2010-06-14 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Mixed −360 -$4.9K EDGAR
2010-06-14 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Buy (P) +337 $4.7K EDGAR
2007-11-06 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND (TYW) Delisted Sell (S) −447 -$6.5K EDGAR
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.