Adam K Bernstein

CIK 1396832 · last filed 2020-04-02

Adam K Bernstein is a corporate insider who has filed 8 SEC Form 4 insider transactions across 3 companies since 2008. The most recent filing shows the insider bought $19.8K of PFLT on Apr 2, 2020. Across all open-market trades the lifetime net is +$178.8K, making them a net buyer over the disclosed history. Current disclosed insider exposure totals $364.7K 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.

Disclosed Exposure

$364.7K

Companies

3

Total Filings

8

Lifetime Open-Market Net

$178.8K

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
PFLT	Director	9,000	$7.40	$66.6K	$75.8K	3	2020-04-02
PENNANTPARK INVESTMENT CORP (PNTA) Delisted	Director	114,666	—	—	$26.7K	2	2016-12-08
PNNT	Director	88,971	$3.35	$298.1K	$76.3K	3	2011-08-08

Recent Filings

8 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
2020-04-02	PFLT	Buy (P)	+4,000	$19.8K	EDGAR
2016-12-08	PENNANTPARK INVESTMENT CORP (PNTA) Delisted	Buy (P)	+200	$1.5K	EDGAR
2015-02-12	PENNANTPARK INVESTMENT CORP (PNTA) Delisted	Buy (P)	+2,750	$25.2K	EDGAR
2011-08-22	PFLT	Buy (P)	+1,500	$16.8K	EDGAR
2011-08-09	PFLT	Buy (P)	+3,500	$39.2K	EDGAR
2011-08-08	PNNT	Buy (P)	+2,500	$24.7K	EDGAR
2008-12-10	PNNT	Buy (P)	+3,000	$11.9K	EDGAR
2008-05-13	PNNT	Buy (P)	+5,000	$39.7K	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.