FDUS · Insider Trading

Fidus Investment Corp.

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Every open-market purchase and sale reported by FDUS officers, directors and 10%+ beneficial owners on SEC Form 4, which must be filed within two business days of the transaction. Sales often reflect scheduled 10b5-1 plans or tax withholding rather than a directional view, so read counts alongside the size and the filer.

Form 4 Filings

most recent

Open-Market Buys

code P

Sales

code S

Reporting Insiders

current holders

FDUS — Recent Form 4 Transactions (latest 2015-08-24)

Filed	Insider	Role	Type	Shares	Value
2015-08-24	Shelby E Sherard	Chief Financial Officer	Buy	+3,435	+$49.81K
2015-08-24	Thomas Charles Lauer	Director	Buy	+100	+$749
2014-12-04	Charles D Hyman	Director	Buy	+1,700	+$25.68K
2014-12-02	Thomas Charles Lauer	Director	Buy	+1,500	+$24.16K
2014-11-25	John A. Mazzarino	Director	Buy	+10,000	+$165.73K
2013-08-16	Cary L Schaefer	CFO, CCO & Secretary	Buy	+2,110	+$39.98K
2012-11-09	Cary L Schaefer	CFO, CCO & Secretary	Buy	+2,000	+$30.86K
2012-11-09	Thomas Charles Lauer	Director	Buy	+1,202	+$18.39K
2012-11-09	Edward H Ross	Chairman of the Board and CEO	Buy	+2,000	+$30.78K
2012-08-08	Charles D Hyman	Director	Buy	+1,495	+$22.96K
2012-05-11	Raymond L. Anstiss Jr.	Director	Buy	+5,800	+$79.37K
2012-03-16	Thomas Charles Lauer	Director	Buy	+1,500	+$20.25K
2012-03-14	Edward H Ross	Chairman of the Board and CEO	Buy	+2,000	+$27.58K
2012-03-14	Charles D Hyman	Director	Buy	+1,500	+$20.70K
2012-03-14	Cary L Schaefer	CFO, CCO & Secretary	Buy	+1,500	+$20.61K
2012-02-09	PineBridge Secondary Partners II GP, L.P.	10%+ Owner	Sell	−220,557	−$3.02M
2011-12-01	Thomas Charles Lauer	Director	Buy	+1,132	+$13.53K
2011-12-01	Charles D Hyman	Director	Buy	+2,000	+$24.08K
2011-12-01	Edward H Ross	Chairman of the Board and CEO	Buy	+2,000	+$24.06K
2011-11-23	Charles D Hyman	Director	Buy	+2,000	+$24.08K
2011-11-23	Edward H Ross	Chairman of the Board and CEO	Buy	+2,000	+$24.06K
2011-11-23	Thomas Charles Lauer	Director	Buy	+1,132	+$13.53K
2011-11-14	Raymond L. Anstiss Jr.	Director	Buy	+1,000	+$12.26K

FDUS Insider Trading FAQ

Who are the insiders at FDUS?

No current Form 4 beneficial owners are on file for FDUS.

Are FDUS insiders buying or selling?

Across the 23 most recent Form 4 filings for FDUS, 22 were open-market purchases (code P) and 1 were sales (code S). Sales frequently reflect scheduled 10b5-1 plans or tax withholding rather than a view on the stock.

How current is FDUS insider data?

Form 4 must be filed within two business days of the transaction, so this is close to real time. The most recent FDUS filing is dated 2015-08-24.

How to read Form 4 activity

Form 4 reports a change in beneficial ownership by an officer, director or 10%+ holder, and must be filed within two business days of the transaction — so this is close to real time, unlike the 45-day-lagged 13F institutional data.

Transaction codes matter more than the raw buy/sell count. Code P is an open-market purchase — an insider choosing to buy with their own money, which is the signal most research treats as informative. Code S is a sale, but sales are frequently pre-scheduled under a 10b5-1 plan or cover tax withholding on vesting equity, so a run of sales often says nothing directional. Codes A and M are grants and option exercises rather than open-market decisions.

Full filing history and per-insider positions are on the FDUS quote page; the site-wide leaderboard is on the insider transactions hub.