ROMAN III FRIEDRICH
CIK 1277343 · last filed 2019-05-08
"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 · Page 3 of 3
24 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 |
|---|---|---|---|---|---|
| 2013-01-04 | GUGGENHEIM ENHANCED EQUITY STRATEGY FUND (GGE) Delisted | Buy (P) | +100 | $1.7K | EDGAR |
| 2013-01-04 | GBAB | Buy (P) | +215 | $4.9K | EDGAR |
| 2011-05-04 | GUGGENHEIM ENHANCED EQUITY STRATEGY FUND (DCS) Delisted | Buy (P) | +200 | $3.7K | EDGAR |
| 2011-04-20 | GOF | Buy (P) | +280 | $5.9K | EDGAR |
Showing 21–24 of 24
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Page 3 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.
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.