RICHARD J HERRING
CIK 1250383 · last filed 2022-12-21
"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
11
Total Filings
15
Lifetime Open-Market Net
$94.3K
Filer Profile
Reported Address
345 PARK AVENUENEW YORK, NY 10154
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.
View filings on SEC EDGAR.
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 |
|---|---|---|---|---|---|---|---|
| KTF | Director | 0 | $8.68 | $0 | -$5.2K | 1 | 2022-12-21 |
| DWS STRATEGIC MUNICIPAL INCOME TRUST (KSM) Delisted | Director | 0 | $10.07 | $0 | -$13.8K | 3 | 2022-12-21 |
| DEUTSCHE HIGH INCOME TRUST (KHI) Delisted | Director | 1,000 | — | — | $9.4K | 1 | 2014-07-02 |
| DWS MULTI-MARKET INCOME TRUST (KMM) Delisted | Director | 1,000 | — | — | $9.5K | 1 | 2014-07-02 |
| DEUTSCHE HIGH INCOME OPPORTUNITIES FUND, INC. (DHG) Delisted | Director | 700 | — | — | $10.3K | 1 | 2014-07-02 |
| DEUTSCHE STRATEGIC INCOME TRUST (KST) Delisted | Director | 800 | — | — | $10.3K | 1 | 2014-07-02 |
| DEUTSCHE GLOBAL HIGH INCOME FUND, INC. (LBF) Delisted | Director | 1,100 | — | — | $9.3K | 1 | 2014-07-02 |
| THAI CAPITAL FUND INC (TF) Delisted | Director | 1,300 | — | — | $15.1K | 1 | 2008-06-20 |
| ABERDEEN SINGAPORE FUND INC (SGF) Delisted | Director | 1,100 | — | — | $14.6K | 1 | 2008-03-21 |
| ABRDN JAPAN EQUITY FUND, INC. (JEQ) Delisted | Director | 2,300 | $8.05 | $18.5K | $14.7K | 1 | 2008-03-19 |
| DWS RREEF REAL ESTATE FUND II, INC. (SRO) Delisted | Director | 2,250 | — | — | $20.2K | 1 | 2007-05-02 |
Recent Filings · Page 2 of 2
15 filingsInsider 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 |
|---|---|---|---|---|---|
| 2010-07-12 | DWS STRATEGIC MUNICIPAL INCOME TRUST (KSM) Delisted | Sell (S) | −1,300 | -$16.9K | EDGAR |
| 2008-06-20 | THAI CAPITAL FUND INC (TF) Delisted | Buy (P) | +1,300 | $15.1K | EDGAR |
| 2008-03-21 | ABERDEEN SINGAPORE FUND INC (SGF) Delisted | Buy (P) | +1,100 | $14.6K | EDGAR |
| 2008-03-19 | ABRDN JAPAN EQUITY FUND, INC. (JEQ) Delisted | Buy (P) | +2,300 | $14.7K | EDGAR |
| 2007-05-02 | DWS RREEF REAL ESTATE FUND II, INC. (SRO) Delisted | Buy (P) | +1,000 | $20.2K | EDGAR |
Showing 11–15 of 15
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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.
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.