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ROMAN III FRIEDRICH

CIK 1277343 · last filed 2019-05-08

ROMAN III FRIEDRICH is a corporate insider who has filed 24 SEC Form 4 insider transactions across 5 companies since 2011. Across all open-market trades the lifetime net is +$117.1K, making them a net buyer over the disclosed history. Current disclosed insider exposure totals $61.0K across reported positions.

"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

$61.0K

Companies

5

Total Filings

24

Lifetime Open-Market Net

$117.1K

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
GOF Director 5,838 $10.44 $61.0K $92.7K 11 2019-05-08
FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND (FMO) Delisted Director 0 $12.12 $0 $6.8K 3 2014-03-20
GUGGENHEIM ENHANCED EQUITY STRATEGY FUND (GGE) Delisted Director 0 $0.04 $0 -$999 2 2014-03-20
GBAB Director 0 $13.78 $0 $14.9K 2 2014-03-20
GUGGENHEIM ENHANCED EQUITY STRATEGY FUND (DCS) Delisted Director 200 — — $3.7K 1 2011-05-04

Recent Filings

24 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
2019-05-08 — Buy (P) +1,060 $21.8K
2019-05-08 GOF Buy (P) +1,090 $22.0K EDGAR
2019-03-19 GOF Buy (P) +158 $3.1K EDGAR
2019-03-07 — Buy (P) +1,095 $23.2K
2018-09-06 GOF Buy (P) +150 $3.3K EDGAR
2018-07-24 GOF Buy (P) +850 $18.1K EDGAR
2018-03-29 GOF Buy (P) +740 $14.9K EDGAR
2017-12-05 GOF Buy (P) +135 $2.9K EDGAR
2017-07-21 GOF Buy (P) +500 $10.5K EDGAR
2016-08-29 — Buy (P) +452 $10.0K
Showing 1–10 of 24
Page 1 of 3
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.