WHF WhiteHorse Finance, Inc. - Closed End Fund
$7.17
Price · Aug 19, 2026
Fundamentals as of May 7, 2026
52W Range
$6–$9
38% of range
Analyst Rating
HOLD
12 analysts
Price Target
$8
+5% upside
P/E (TTM)
11.6
ROE
5.2%
Net Profit Margin
—
WHF Stock Snapshot Price, market cap, P/E, EPS, ROE, debt/equity, 52-week range
Price
$7.17
Market Cap
$159M
P/E (TTM)
11.6
EPS (TTM)
$0.62
Revenue (TTM)
—
Div Yield
—
ROE
5.2%
Debt/Equity
—
52W Range
$6 – $9
WHF Stock Price Chart Daily OHLCV with technical indicators — pan, zoom, and customize your view
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10-Year Performance Revenue, net income, margins and EPS trends
Revenue & Net Income
—
EPS
$0.62
2020-12-31
→
2025-12-31
Free Cash Flow
—
Margins
—
Valuation P/E, P/S, P/B, EV/EBITDA ratios — is the stock expensive or cheap?
Metric
5Y trend
WHF
Peer Median
P/E (TTM)
11.6
11.8
P/B
0.6
0.9
Profitability Gross, operating and net margins; ROE, ROA, ROIC
Metric
5Y trend
WHF
Peer Median
ROA
2.2%
3.9%
ROE
5.2%
6.0%
Financial Health Debt, liquidity, solvency — balance sheet strength
Metric
5Y trend
WHF
Peer Median
Growth Revenue, EPS and net income growth: YoY, 3Y CAGR, 5Y CAGR
Metric
5Y trend
WHF
Peer Median
EPS YoY
31.9%
—
Net Income YoY
32.1%
—
Capital Efficiency Asset turnover, inventory turnover, receivables turnover
Metric
5Y trend
WHF
Peer Median
Dividends Yield, payout ratio, dividend history, 5Y CAGR
Dividend Yield
—
Payout Ratio
—
5Y Div CAGR
—
| Ex-date | Amount |
|---|---|
| May 21, 2026 | $0.2500 |
| March 12, 2026 | $0.2600 |
| Dec. 22, 2025 | $0.2500 |
| Oct. 31, 2025 | $0.0350 |
| Sept. 19, 2025 | $0.3850 |
| June 18, 2025 | $0.3850 |
| March 21, 2025 | $0.3850 |
| Dec. 20, 2024 | $0.3850 |
| Oct. 31, 2024 | $0.2450 |
| Sept. 18, 2024 | $0.3850 |
| June 18, 2024 | $0.3850 |
| March 21, 2024 | $0.3850 |
| Dec. 19, 2023 | $0.3850 |
| Sept. 18, 2023 | $0.3700 |
| June 20, 2023 | $0.3700 |
| March 23, 2023 | $0.4250 |
| Dec. 20, 2022 | $0.3550 |
| Oct. 28, 2022 | $0.0500 |
| Sept. 19, 2022 | $0.3550 |
| June 16, 2022 | $0.3550 |
WHF Analyst Consensus Bullish and bearish analyst opinions, 12-month price target, upside
SELL
12 analysts
- Strong Buy 0 0.0%
- Buy 0 0.0%
- Hold 6 50.0%
- Sell 5 41.7%
- Strong Sell 1 8.3%
12-Month Price Target
3 analysts · 2026-08-14
Median
$7.50
Now
$7.17
Low
$6.00
High
$9.00
Median target
$7.50
+4.6%
Mean target
$7.50
+4.6%
Earnings History EPS actual vs estimate, surprise %, beat rate, next earnings date
Avg Surprise
-0.02%
| Period | EPS Actual | EPS Est | Surprise |
|---|---|---|---|
| March 31, 2026 | $0.25 | $0.29 | -0.03% |
| Dec. 31, 2025 | $0.28 | $0.28 | 0.00% |
| Sept. 30, 2025 | $0.26 | $0.29 | -0.03% |
| June 30, 2025 | $0.28 | $0.31 | -0.02% |
| March 31, 2025 | $0.29 | $0.33 | -0.04% |
Peer comparison (GICS sub-industry) Key metrics vs sector peers
| Ticker | Market Cap | P/E | Rev YoY | Net Margin | ROE | Gross Margin |
|---|---|---|---|---|---|---|
| WHF | $155M | 11.2 | — | — | 5.2% | — |
| WHG | — | 21.8 | 3.2% | 7.2% | 5.7% | — |
| EARN | — | — | — | — | — | — |
| OXSQ | — | — | — | — | — | — |
| SAMG | — | 27.1 | 1.4% | 3.9% | 7.5% | — |
| INV | $283M | -0.8 | — | -14266.4% | -93.2% | — |
| BLK | $165.98B | 30.3 | 18.7% | 22.9% | 10.7% | — |
Full Fundamentals All metrics by year — income statement, balance sheet, cash flow
Income Statement 8
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| SG&A Expense | $5M | $4M | $4M | $4M | $4M | $3M | |
| Interest Expense | $23M | $28M | $30M | $22M | $17M | $13M | |
| Income Tax | $0 | $0 | $0 | $0 | · | · | |
| Net Income | $14M | $11M | $20M | $16M | $30M | $32M | |
| EPS (Basic) | $0.62 | $0.47 | $0.88 | $0.68 | $1.42 | $1.55 | |
| EPS (Diluted) | $0.62 | $0.47 | $0.88 | $0.68 | $1.42 | $1.55 | |
| Shares (Basic) | 23,174,909 | 23,243,088 | 23,243,088 | 23,229,552 | 21,150,168 | 20,546,032 | |
| Shares (Diluted) | 23,174,909 | 23,243,088 | 23,243,088 | 23,229,552 | 21,150,168 | 20,546,032 |
Balance Sheet 10
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| Cash & Equivalents | $7M | $12M | $11M | $10M | $12M | $8M | |
| Total Assets | $615M | $677M | $731M | $796M | $851M | · | |
| Total Liabilities | $355M | $391M | $414M | $464M | $501M | · | |
| Long-term Debt | $324M | $353M | $386M | $440M | $476M | · | |
| Common Stock | $22.0K | $23.0K | $23.0K | $23.0K | $23.0K | · | |
| Paid-in Capital | $329M | $337M | $338M | $339M | $339M | · | |
| Retained Earnings | $-69M | $-51M | $-22M | $-7M | $11M | · | |
| Stockholders' Equity | $260M | $286M | $317M | $332M | $350M | · | |
| Liabilities + Equity | $615M | $677M | $731M | $796M | $851M | · | |
| Shares Outstanding | 22,234,045 | 23,243,088 | 23,243,088 | 23,243,088 | 23,162,667 | 20,546,032 |
Cash Flow 9
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| Operating Cash Flow | $77M | $79M | $90M | $72M | $-90M | $-65M | |
| Debt Issued | $40M | $119M | $132M | $141M | $358M | $236M | |
| Net Debt Issued | $-202M | $-34M | $-90M | $-35M | · | · | |
| Stock Issued | · | · | · | $125.0K | $37M | · | |
| Stock Repurchased | $7M | · | · | · | · | · | |
| Net Stock Activity | $-7M | · | · | $125.0K | · | · | |
| Financing Cash Flow | $-75M | $-75M | $-92M | $-68M | $97M | $53M | |
| Net Change in Cash | $2M | $3M | $-2M | $4M | $7M | $-12M | |
| Taxes Paid | $1M | $1M | $1M | $1M | $910.0K | $833.0K |
Profitability 2
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| ROA | 2.2% | 1.5% | 2.7% | 1.9% | · | · | |
| ROE | 5.2% | 3.6% | 6.3% | 4.6% | · | · |
Growth Rates 6
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| EPS YoY | 31.9% | -46.6% | 29.4% | -52.1% | -8.4% | · | |
| EPS CAGR 3Y | -3.0% | -30.8% | -17.2% | · | · | · | |
| EPS CAGR 5Y | -16.7% | · | · | · | · | · | |
| Net Income YoY | 32.1% | -46.8% | 30.1% | -47.9% | -5.0% | · | |
| Net Income CAGR 3Y | -2.9% | -28.8% | -13.6% | · | · | · | |
| Net Income CAGR 5Y | -14.7% | · | · | · | · | · |
Valuation (TTM) 7
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| Net Income TTM | $14M | $11M | $20M | $16M | $30M | $32M | |
| Market Cap | $155M | $225M | $286M | $303M | · | · | |
| P/E | 11.2 | 20.6 | 14.0 | 19.2 | 10.9 | 8.8 | |
| P/B | 0.6 | 0.8 | 0.9 | 0.9 | · | · | |
| P / Tangible Book | 0.6 | 0.8 | 0.9 | 0.9 | · | · | |
| P / Cash Flow | 2.0 | 2.9 | 3.2 | 4.2 | · | · | |
| Earnings Yield | 8.9% | 4.9% | 7.1% | 5.2% | 9.2% | 11.4% |
Income Statement 7
| Metric | Trend | Q1 2026 | Q4 2025 | Q3 2025 | Q2 2025 | Q1 2025 | Q4 2024 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q3 2022 | Q4 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| SG&A Expense | $1M | $1M | $1M | $1M | $953.0K | $1M | $1M | $1M | $1M | $774.0K | $896.0K | $1M | $884.0K | $1M | $896.0K | |
| Interest Expense | $5M | $5M | $6M | $6M | $6M | $6M | $7M | $7M | $7M | $8M | $7M | $8M | $6M | $5M | $4M | |
| Net Income | $-687.0K | $8M | $-556.0K | $2M | $4M | $4M | $-7M | $8M | $6M | $6M | $4M | $8M | $4M | $7M | $8M | |
| EPS (Basic) | $-0.03 | $0.36 | $-0.02 | $0.10 | $0.18 | $0.17 | $-0.30 | $0.34 | $0.26 | $0.24 | $0.17 | $0.32 | $0.17 | $0.32 | $0.40 | |
| EPS (Diluted) | $-0.03 | $0.36 | $-0.02 | $0.10 | $0.18 | $0.17 | $-0.30 | $0.34 | $0.26 | $0.24 | $0.17 | $0.32 | $0.17 | $0.32 | $0.40 | |
| Shares (Basic) | 22,168,930 | -46,554,355 | 23,243,088 | 23,243,088 | 23,243,088 | -46,486,176 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,240,651 | 20,851,435 | |
| Shares (Diluted) | 22,168,930 | -46,554,355 | 23,243,088 | 23,243,088 | 23,243,088 | -46,486,176 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,240,651 | 20,851,435 |
Balance Sheet 10
| Metric | Trend | Q1 2026 | Q4 2025 | Q3 2025 | Q2 2025 | Q1 2025 | Q4 2024 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q3 2022 | Q4 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Cash & Equivalents | $12M | $7M | $10M | $11M | $11M | $12M | $11M | $13M | $11M | $11M | $10M | $12M | $10M | · | · | |
| Total Assets | $606M | $615M | $626M | $671M | $679M | $677M | $684M | $703M | $735M | $747M | $772M | $781M | $797M | · | · | |
| Total Liabilities | $356M | $355M | $361M | $396M | $397M | $391M | $387M | $391M | $421M | $424M | $447M | $451M | $454M | · | · | |
| Long-term Debt | $324M | $324M | $324M | $363M | $361M | $353M | $353M | $359M | $390M | $398M | $425M | $424M | $431M | · | · | |
| Common Stock | $22.0K | $22.0K | $23.0K | $23.0K | $23.0K | $23.0K | $23.0K | $23.0K | $23.0K | $23.0K | $23.0K | $23.0K | $23.0K | · | · | |
| Paid-in Capital | $326M | $329M | $337M | $337M | $337M | $337M | $338M | $338M | $338M | $339M | $339M | $339M | $340M | · | · | |
| Retained Earnings | $-76M | $-69M | $-72M | $-62M | $-56M | $-51M | $-41M | $-26M | $-25M | $-17M | $-14M | $-9M | $3M | · | · | |
| Stockholders' Equity | $250M | $260M | $265M | $275M | $281M | $286M | $297M | $313M | $314M | $322M | $325M | $330M | $343M | · | · | |
| Liabilities + Equity | $606M | $615M | $626M | $671M | $679M | $677M | $684M | $703M | $735M | $747M | $772M | $781M | $797M | · | · | |
| Shares Outstanding | 21,821,425 | 22,234,045 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | 23,243,088 | · | · |
Cash Flow 8
| Metric | Trend | Q1 2026 | Q4 2025 | Q3 2025 | Q2 2025 | Q1 2025 | Q4 2024 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q3 2022 | Q4 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Operating Cash Flow | $28M | $959.0K | $62M | $22M | $-7M | $21M | $15M | $42M | $2M | $42M | $11M | $22M | $-122.0K | $49M | · | |
| Debt Issued | · | $0 | $0 | $21M | $19M | $20M | $40M | $20M | $39M | $47M | $26M | $20M | $23M | $36M | · | |
| Net Debt Issued | · | · | · | · | $9M | · | · | · | $4M | · | · | $-18M | · | · | · | |
| Stock Issued | · | · | · | · | · | · | · | · | · | · | · | · | $1.0K | $174.0K | · | |
| Stock Repurchased | $3M | · | · | · | · | · | · | · | · | · | · | · | · | · | · | |
| Net Stock Activity | $-3M | · | · | · | · | · | · | · | · | · | · | · | · | · | · | |
| Financing Cash Flow | $-9M | $-17M | $-49M | $-8M | $-1M | $-14M | $-16M | $-41M | $-5M | $-36M | $-10M | $-26M | $847.0K | $-52M | · | |
| Net Change in Cash | $20M | $-16M | $13M | $14M | $-8M | $7M | $-1M | $855.0K | $-4M | $7M | $837.0K | $-4M | $721.0K | $-3M | · |
Profitability 2
| Metric | Trend | Q1 2026 | Q4 2025 | Q3 2025 | Q2 2025 | Q1 2025 | Q4 2024 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q3 2022 | Q4 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| ROA | -0.11% | · | -0.08% | 0.33% | 0.60% | · | -0.96% | 1.1% | 0.79% | 0.73% | 1.0% | 1.9% | 0.97% | · | · | |
| ROE | -0.26% | · | -0.20% | 0.77% | 1.4% | · | -2.2% | 2.5% | 1.8% | 1.7% | 2.4% | 4.5% | 2.2% | · | · |
Valuation (TTM) 7
| Metric | Trend | Q1 2026 | Q4 2025 | Q3 2025 | Q2 2025 | Q1 2025 | Q4 2024 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q3 2022 | Q4 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Net Income TTM | $5M | · | $-900.0K | $7M | $11M | · | $13M | $23M | $23M | $21M | $23M | $24M | $25M | · | · | |
| Market Cap | $161M | · | $161M | $203M | $224M | · | $269M | $285M | $288M | $297M | $298M | $291M | $258M | · | · | |
| P/E | 32.2 | · | -173.0 | 27.2 | 20.1 | · | 21.4 | 12.1 | 12.5 | 14.2 | 13.1 | 11.8 | 9.7 | · | · | |
| P/B | 0.6 | · | 0.6 | 0.7 | 0.8 | · | 0.9 | 0.9 | 0.9 | 0.9 | 0.9 | 0.9 | 0.8 | · | · | |
| P / Tangible Book | 0.6 | · | 0.6 | 0.7 | 0.8 | · | 0.9 | 0.9 | 0.9 | 0.9 | 0.9 | 0.9 | 0.8 | · | · | |
| P / Cash Flow | 5.7 | · | · | · | -32.0 | · | · | · | 180.1 | · | · | 13.4 | · | · | · | |
| Earnings Yield | 3.1% | · | -0.58% | 3.7% | 5.0% | · | 4.7% | 8.2% | 8.0% | 7.0% | 7.6% | 8.5% | 10.3% | · | · |
Financial Statements Income statement, balance sheet, cash flow — annual, last 5 years
Income Statement
| 2025-12-31 | 2024-12-31 | 2023-12-31 | 2022-12-31 | 2021-12-31 | |
|---|---|---|---|---|---|
| Net Income | $14M | $11M | $20M | $16M | $30M |
| Diluted EPS | $0.62 | $0.47 | $0.88 | $0.68 | $1.42 |
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Institutional owners (13F) 55 filers · $24.8M total · As of June 30, 2026
Institutions that report holding this stock in their quarterly SEC Form 13F. Long positions only; a single filer may appear twice for separate option legs. Large offsetting put/call legs typically reflect market-making or hedged inventory, not directional conviction.
Institutional activity — Q2 2026 vs prior quarter
| New positions | Exited positions | Increased | Decreased | Net shares change |
|---|---|---|---|---|
| 7 (-3 vs prior Q) | 7 (-8 vs prior Q) | 16 (+1 vs prior Q) | 16 (+7 vs prior Q) | -27K |
Compared to Q1 2026. SEC Form 13F filings are due within 45 days of quarter-end plus a short buffer for late filers — quarters still inside that window are skipped in favor of the most recent fully-reported pair.
| Institution | Value | Shares | % of tracked 13F | Type |
|---|---|---|---|---|
| Lalia Capital, LLC | $4,775,552 | 712,769 | 19.29% | Shares |
| TWO SIGMA INVESTMENTS, LP | $2,885,020 | 430,600 | 11.66% | Shares |
| Ethos Financial Group, LLC | $2,415,564 | 360,532 | 9.76% | Shares |
| Advisors Asset Management, Inc. | $1,601,256 | 165,419 | 6.47% | Shares |
| TWO SIGMA ADVISERS, LP | $1,433,451 | 206,252 | 5.79% | Shares |
| CastleKnight Management LP | $1,377,895 | 205,656 | 5.57% | Shares |
| BANK OF AMERICA CORP /DE/ | $1,239,540 | 185,006 | 5.01% | Shares |
| Legal & General Group Plc | $1,171,689 | 174,879 | 4.73% | Shares |
| BANK OF MONTREAL /CAN/ | $769,441 | 114,842 | 3.11% | Shares |
| RAYMOND JAMES FINANCIAL INC | $675,394 | 100,805 | 2.73% | Shares |
| Blue Trust, Inc. | $640,523 | 95,601 | 2.59% | Shares |
| Trexquant Investment LP | $606,564 | 90,532 | 2.45% | Shares |
| LPL Financial LLC | $509,105 | 75,986 | 2.06% | Shares |
| BlackRock, Inc. | $476,605 | 71,135 | 1.93% | Shares |
| Sound Income Strategies, LLC | $475,662 | 70,994 | 1.92% | Shares |
| BASSO CAPITAL MANAGEMENT, L.P. | $351,750 | 52,500 | 1.42% | Shares |
| Closed-End Fund Advisors, Inc. | $301,473 | 44,996 | 1.22% | Shares |
| O'SHAUGHNESSY ASSET MANAGEMENT, LLC | $297,500 | 44,403 | 1.20% | Shares |
| GABLES CAPITAL MANAGEMENT INC. | $293,896 | 43,865 | 1.19% | Shares |
| Virtus Investment Advisers, LLC | $278,573 | 41,578 | 1.13% | Shares |
| H D Vest Advisory Services | $240,413 | 27,570 | 0.97% | Shares |
| Snowden Capital Advisors LLC | $211,787 | 30,473 | 0.86% | Shares |
| DIMENSION CAPITAL MANAGEMENT LLC | $189,858 | 28,337 | 0.77% | Shares |
| MARSHALL WACE, LLP | $189,798 | 28,328 | 0.77% | Shares |
| UBS Group AG | $179,721 | 26,824 | 0.73% | Shares |
| Vident Advisory, LLC | $162,683 | 24,281 | 0.66% | Shares |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | $148,794 | 22,208 | 0.60% | Shares |
| Atria Wealth Solutions, Inc. | $137,103 | 15,058 | 0.55% | Shares |
| NOMURA HOLDINGS INC | $134,000 | 20,000 | 0.54% | Shares |
| NewEdge Wealth, LLC | $116,632 | 17,408 | 0.47% | Shares |
| CITADEL ADVISORS LLC | $92,460 | 13,800 | 0.37% | Call option |
| Powell Investment Advisors, LLC | $83,629 | 12,033 | 0.34% | Shares |
| Northstar Advisory Group, LLC | $78,908 | 11,777 | 0.32% | Shares |
| NORDEN GROUP LLC | $73,700 | 11,000 | 0.30% | Shares |
| ROYAL BANK OF CANADA | $38,000 | 5,735 | 0.15% | Shares |
| HIGHLINE WEALTH PARTNERS LLC | $21,907 | 3,270 | 0.09% | Shares |
| OSAIC HOLDINGS, INC. | $19,176 | 2,861 | 0.08% | Shares |
| JPMORGAN CHASE & CO | $12,978 | 1,937 | 0.05% | Shares |
| SIMPLEX TRADING, LLC | $10,009 | 1,494 | 0.04% | Shares |
| Iron Horse Wealth Management, LLC | $9,191 | 1,054 | 0.04% | Shares |
| GROUP ONE TRADING LLC | $7,718 | 1,152 | 0.03% | Shares |
| BNP PARIBAS FINANCIAL MARKETS | $5,956 | 889 | 0.02% | Shares |
| Farther Finance Advisors, LLC | $5,194 | 775 | 0.02% | Shares |
| WELLS FARGO & COMPANY/MN | $1,708 | 255 | 0.01% | Shares |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | $1,356 | 200 | 0.01% | Shares |
| FTB Advisors, Inc. | $1,290 | 148 | 0.01% | Shares |
| CIBC Private Wealth Group LLC | $498 | 72 | 0.00% | Shares |
| Hilton Head Capital Partners, LLC | $436 | 65 | 0.00% | Shares |
| Cambridge Investment Research Advisors, Inc. | $306 | 45,609 | 0.00% | Shares |
| CANADA LIFE ASSURANCE Co | $167 | 25,023 | 0.00% | Shares |
| Steward Partners Investment Advisory, LLC | $94 | 14 | 0.00% | Shares |
| LSV ASSET MANAGEMENT | $66 | 9,900 | 0.00% | Shares |
| BI Asset Management Fondsmaeglerselskab A/S | $42 | 6,276 | 0.00% | Shares |
| Caitong International Asset Management Co., Ltd | $27 | 4 | 0.00% | Shares |
| MORGAN STANLEY | $11 | 1 | 0.00% | Shares |
Company insiders 15 insiders · 6 officers · 9 directors
| Insider | Role | Last activity | Shares owned | Buys 12m | Sells 12m | Net 12m |
|---|---|---|---|---|---|---|
| Stuart D Aronson | Chief Executive Officer | May 21, 2026 P | 100,000 | 8 | 0 | $514,640 |
| James Demus Carvell III | Chief Executive Officer | Nov. 20, 2015 O | 13,491 | 0 | 0 | $0 |
| Joyson Thomas | Chief Financial Officer | May 21, 2026 P | 25,001 | 2 | 0 | $51,419 |
| Gerhard Lombard | CFO, Treasurer | March 7, 2016 P | 5,454 | 0 | 0 | $0 |
| Ethan M. Underwood | Chief Operating Officer | Dec. 10, 2012 P | 6,667 | 0 | 0 | $0 |
| Marco A. Collazos | Chief Compliance Officer | March 18, 2020 P | 10,000 | 0 | 0 | $0 |
| John Bolduc | Director | June 4, 2026 P | 302,630 | 34 | 0 | $997,547 |
| John Paul Volpe | Director | May 29, 2026 P | 2,000 | 3 | 1 | $14,050 |
| Rick Patrick Frier | Director | March 4, 2020 P | 3,700 | 0 | 0 | $0 |
| Stacy G Smith | Director | March 4, 2020 P | 3,700 | 0 | 0 | $0 |
| Kevin Francis Burke | Director | June 17, 2019 P | 7,530 | 0 | 0 | $0 |
| Rick D Puckett | Director | Oct. 6, 2017 G | 0 | 0 | 0 | $0 |
| Tom C Davis | Director | Dec. 15, 2014 P | 8,000 | 0 | 0 | $0 |
| Sami Mnaymneh | 10% owner | May 29, 2024 S | 3,976,258 | 0 | 0 | $0 |
| Anthony Tamer | 10% owner | May 29, 2024 S | 3,976,258 | 0 | 0 | $0 |
Insiders from SEC Form 3/4/5 filings; net = open-market P/S only
Activists & 5%+ owners 2 positions
Investors who filed SEC Schedule 13D — beneficial ownership above 5% with an intent to influence the issuer (activist stakes, board campaigns, M&A). Each row shows the most recent known state of that filer's position.
| Filer | Filed | Stake | Status | Purpose | Filing |
|---|---|---|---|---|---|
| Sami Mnaymneh (2) ×9 filings | May 31, 2024 | — | Initial filing | — | SEC |
| Anthony Tamer (2) ×9 filings | May 31, 2024 | — | Initial filing | — | SEC |
Purpose is an automated classification of the filer's own stated purpose (SEC Item 4) — not investment advice. "—" means no clear purpose was stated or the text could not be classified.
ETF ownership Held by 1 ETF
Weight reflects direct equity holdings (N-PORT) only; leveraged or derivative-based funds may hold additional swap exposure not shown.
| Fund | Weight | Units | As of | Source |
|---|---|---|---|---|
| VPC · ETFis Series Trust I | 1.17% | 51,415 NS | April 30, 2026 | N-PORT |