Carlton Neel
CIK 1289714 · SVP & Portfolio Manager · last filed 2015-04-16
"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
$522.3K
Companies
2
Total Filings
28
Lifetime Open-Market Net
$1.63M
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 |
|---|---|---|---|---|---|---|---|
| Virtus Total Return Fund Inc. (ZF) Delisted | SVP & Portfolio Manager | 67,460 | — | — | $814.5K | 13 | 2015-04-16 |
| ZTR | SVP & Portfolio Manager | 76,578 | $6.82 | $522.3K | $818.3K | 15 | 2015-04-15 |
Recent Filings · Page 3 of 3
28 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 |
|---|---|---|---|---|---|
| 2011-01-19 | ZTR | Other (J) | +12,540 | $41.9K | EDGAR |
| 2010-01-08 | Virtus Total Return Fund Inc. (ZF) Delisted | Buy (P) | +14,600 | $31.5K | EDGAR |
| 2010-01-08 | ZTR | Buy (P) | +3,700 | $9.9K | EDGAR |
| 2009-03-11 | ZTR | Buy (P) | +3,700 | $9.9K | EDGAR |
| 2009-03-11 | Virtus Total Return Fund Inc. (ZF) Delisted | Buy (P) | +14,600 | $31.5K | EDGAR |
| 2008-10-10 | ZTR | Buy (P) | +16,000 | $49.0K | EDGAR |
| 2007-09-11 | Virtus Total Return Fund Inc. (ZF) Delisted | Other (J) | +2,000 | $9.6K | EDGAR |
| 2007-05-29 | ZTR | Other (J) | +2,690 | $13.4K | EDGAR |
Showing 21–28 of 28
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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.