Biography

02

Franklin Templeton, Inc. is an American multinational investment management holding company that, together with its subsidiaries, is referred to as Franklin Templeton. It is a global investment firm with operations in over 150 countries. They were founded in New York City in 1947 as Franklin Distributors, Inc. In 1992 they merged with Templeton, Galbraith & Hansberger which had started in 1954 under John Templeton.

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Franklin Templeton, Inc. is an American multinational investment management holding company that, together with its subsidiaries, is referred to as Franklin Templeton. It is a global investment firm with operations in over 150 countries. They were founded in New York City in 1947 as Franklin Distributors, Inc. In 1992 they merged with Templeton, Galbraith & Hansberger which had started in 1954 under John Templeton.

The company’s stock is listed on the New York Stock Exchange under the ticker symbol BEN, in honor of Benjamin Franklin, for whom the company is named, and who was admired by founder Rupert Johnson Sr.

In 1973, the company's headquarters moved from New York to San Mateo, California.

History

The company was founded in 1947 in New York by Rupert H. (Harris) Johnson Sr. (1900–1989), who ran a successful retail brokerage firm from an office on Wall Street. He named the company for American polymath Benjamin Franklin because Franklin espoused frugality and prudence when it came to saving and investing. The company's first line of mutual funds, Franklin Custodian Funds, was a series of conservatively managed equity and bond funds designed to appeal to most investors.

After Rupert Sr. retired, his son, Charles B. Johnson (Charlie), took over as president and chief executive officer in 1957 at age 24. At that time, the funds had total assets under management of US$2.5 million. Rupert Johnson Jr., Charlie's brother, joined the company in 1965.

Franklin went public in 1971. In 1973, the company acquired Winfield & Company, a San Mateo, California-based investment firm, and moved Franklin's offices from New York to California. The combined organization had close to US$250 million in assets under management and approximately 60 employees. In 1979, Franklin Money Fund began a growth surge that made it Franklin's first billion-dollar fund and launched the company's significant asset growth in the 1980s.

Starting in 1980, the company's total assets under management doubled (or nearly doubled) every year for the next six years. The company's stock began trading on the New York Stock Exchange in 1986. In the same year, the company opened its first office outside North America in Taiwan. In 1988, Franklin acquired L.F. Rothschild Fund Management Company. Assets under management for Franklin grew from just over US$2 billion in 1982 to more than US$40 billion in 1989 (the crash of 1987 had little impact on Franklin's income and bond funds).

In October 1992, Franklin acquired Templeton, Galbraith & Hansberger Ltd. for a reported cost of $913 million, leading to the common name Franklin Templeton. Mutual fund pioneer Sir John Templeton was the owner of Templeton, Galbraith & Hansberger Ltd together with his son Dr. John Templeton and John Galbraith who together owned 70% of the firm.

In November 1996, Heine Securities Corporation, known for the Mutual Series of funds, merged into the Franklin Templeton complex. In October 2000, Franklin acquired Bissett Funds to increase its Canadian presence, and Bissett remains a key brand from Franklin in the Canadian market. The Fiduciary Trust Company was acquired by Franklin Templeton in April 2001.

Fiduciary Trust Company International, a member of the Franklin family, maintained an office of over 650 employees in 2 World Trade Center at the time of the September 11 attacks in 2001. 87 employees died in the collapse.

The firm has specialized expertise across a full range of asset classes. It offers products under the Franklin, Templeton, Mutual Series and Fiduciary brand names, among others. Like other large investment companies, the firm offers a wide variety of funds but is traditionally best known for bond funds under the Franklin brand, international funds under the Templeton brand, and value funds under the Mutual Series brand.

In April 2007, Franklin Resources was 445th in the Fortune 500, and 7th overall among securities companies. The same month, USA Today listed BEN stock as the top stock pick for the last 25 years based on returns, claiming it is up 64,224% since 1982. As of July 31, 2008, Franklin Resources, Inc. managed over $570 billion in total assets worldwide. In February 2009, Barron's Magazine called Franklin Templeton "King of the Decade" among fund families over the ten-year period ending in 2008.

In 2013, Charles Johnson retired as chairman and his son Greg Johnson became chairman of the board, CEO and president.

In 2019, the firm acquired Benefit Street Partners, an alternative credit investment group.

In 2020, Jenny Johnson became CEO and President of the firm and Greg Johnson became Executive chairman.

Franklin Templeton acquired AdvisorEngine in May 2020, completing the deal in September 2022. Founded 2014 by Rich Cancro, the wealth management technology platform provides advisors with CRM, portfolio management, client portal, and digital onboarding tools, enhancing Franklin Templeton's digital wealth management offerings.

In July 2020, Franklin Templeton acquired Legg Mason, Inc., making Franklin Templeton one of the world's largest independent, specialized global investment managers, with a combined $1.4 trillion in assets under management (AUM). The combined footprint deepened Templeton's presence in key geographies and created an expansive investment platform that includes institutional and retail client AUM.

In November 2021, Franklin Templeton announced its acquisition of Lexington Partners in a $1.75 billion cash deal. The acquisition completed in April 2022.

In January 2022, Franklin Templeton acquired O'Shaughnessy Asset Management, an asset management firm founded by James O'Shaughnessy.

On May 31, 2022, it was announced that BNY Mellon Investment Management would sell Alcentra to Franklin Templeton. The transaction was completed on November 1, 2022.

On May 31, 2023, Great-West Lifeco announced that Franklin Templeton would acquire Putnam Investments for $925 million. Putnam Investments subsidiary, PanAgora Asset Management would not be included in the acquisition. The deal was completed in January 2024.

In August 2023, Bloomberg News reported that Franklin Templeton executives in China were mandated to attend courses on Xi Jinping Thought.

Mutual funds and ETFs

Franklin Templeton has 455 open-ended mutual funds and seven closed-end funds. Included in these are 27 state and federal tax-free income funds, an area of investment pioneered by Franklin.

Prominent funds include the Templeton Growth Fund, Inc. (opened 1954), the Mutual Shares fund (opened 1949), and the Mutual Discovery Fund (opened 1992) and the Templeton Growth (Euro) Fund.

The Franklin Income Fund (FKINX) is a mutual fund in Morningstar's "conservative allocation" category and "large/value" style box. The fund was created in 1948 and has paid uninterrupted dividends for 60 years. The Franklin Income Fund is constructed primarily of dividend-paying stocks and bonds (2%).

Franklin Templeton launched its first exchange-traded funds (ETFs) in 2013. By 2021, these included 55 active, smart beta/multifactor and passively managed ETFs in the U.S, with US$9.7 billion in assets under management.

In 2021, Franklin Templeton launched the first "tokenised" US mutual fund as a pilot – it uses a blockchain to process transactions and record share ownership. The technology is provided by the Stellar network and Blockchain Administrator, a Delaware company. The OnChain US Government Money Fund pilot started with $1.4M of seed money and investment from employees. The automated administration can trade around the clock and removes the need for brokerages, which should result in a "highly significant decrease in fees". However, the fund actually has a high level of costs because of its small size and the fact that, as a pilot, it is maintaining traditional records in parallel.

In February 2025, Franklin Templeton launched a spot crypto exchange-traded fund that holds a combination of roughly 80% bitcoin and 20% ether. That same month Franklin applied with the SEC for a spot Solana ETF.

Effective August 17, 2026, Franklin Resources, Inc. changed its corporate name to Franklin Templeton, Inc. to bring it into alignment with its Franklin Templeton brand.

Source: Wikipedia, CC BY-SA 4.0 · View on Wikipedia ↗

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Institution

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Insider at

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Insider transactions

05
1 buys (P) 5 sells (S) Net: $-93,749,992 + 4 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

4 other filings hidden
DateTickerCodeSharesPriceValue Owned afterΔ ownA/Dvs now
July 20, 2026 BEN S 1,682,905 $11.29 $18,999,997 5,103,658 Direct -24.80% Disposed 187.3% (price as of 2026-10-06)
April 20, 2026 1762562 S 1,672,535 $11.36 $18,999,998 6,786,563 Direct -19.77% Disposed
Jan. 29, 2026 2063946 P 75,000 $10.00 $750,000 75,000 Direct · Acquired
Jan. 14, 2026 1762562 S 1,581,722 $11.38 $17,999,996 8,459,020 Direct -15.75% Disposed
Dec. 4, 2025 1762562 S 1,755,926 $11.39 $19,999,997 10,040,743 Direct -14.88% Disposed
Oct. 15, 2025 1762562 S 1,614,311 $11.46 $18,500,004 11,796,669 Direct -12.04% Disposed
July 15, 2025 1762562 S 1,519,097 $11.52 $17,499,997 13,410,980 Direct -10.17% Disposed
April 17, 2025 1762562 S 863,558 $11.58 $10,000,002 14,930,077 Direct -5.47% Disposed
Jan. 8, 2025 EMO S 9,704 $47.06 $456,670 0 Direct -100.00% Disposed 8.5% (price as of 2026-10-06)
Jan. 3, 2025 EMO S 8,772 $47.00 $412,284 8,204 Direct -51.67% Disposed 8.6% (price as of 2026-10-06)
Dec. 27, 2024 EMO S 1,124 $46.03 $51,738 16,976 Direct -6.21% Disposed 10.9% (price as of 2026-10-06)
Dec. 24, 2024 EMO S 8,153 $46.01 $375,120 18,100 Direct -31.06% Disposed 11.0% (price as of 2026-10-06)
Dec. 20, 2024 EMO S 1,747 $45.09 $78,772 26,253 Direct -6.24% Disposed 13.2% (price as of 2026-10-06)
Dec. 16, 2024 EMO S 2,209 $46.04 $101,702 28,000 Direct -7.31% Disposed 10.9% (price as of 2026-10-06)
Dec. 11, 2024 EMO S 1,200 $47.45 $56,940 31,709 Direct -3.65% Disposed 7.6% (price as of 2026-10-06)
Dec. 11, 2024 EMO S 2,700 $47.45 $128,115 30,209 Direct -8.20% Disposed 7.6% (price as of 2026-10-06)
Dec. 10, 2024 EMO S 2,610 $47.43 $123,792 32,909 Direct -7.35% Disposed 7.6% (price as of 2026-10-06)
Dec. 9, 2024 EMO S 1,000 $48.05 $48,050 35,519 Direct -2.74% Disposed 6.2% (price as of 2026-10-06)
Oct. 18, 2024 EMO S 7,900 $43.71 $345,309 36,519 Direct -17.79% Disposed 16.8% (price as of 2026-10-06)
Oct. 17, 2024 EMO S 6,600 $43.69 $288,354 44,419 Direct -12.94% Disposed 16.8% (price as of 2026-10-06)
Oct. 16, 2024 EMO S 8,467 $43.69 $369,923 51,019 Direct -14.23% Disposed 16.8% (price as of 2026-10-06)
Oct. 15, 2024 EMO S 6,376 $43.42 $276,846 59,486 Direct -9.68% Disposed 17.6% (price as of 2026-10-06)
Oct. 14, 2024 EMO S 7,657 $43.90 $336,142 65,862 Direct -10.41% Disposed 16.3% (price as of 2026-10-06)
Nov. 8, 2022 SABA P 10,134 $4.21 $42,664 9,990,587 Direct +0.10% Acquired -6.7% (price as of 2026-10-06)
Nov. 7, 2022 SABA P 44,574 $4.24 $188,994 9,980,453 Direct +0.45% Acquired -7.3% (price as of 2026-10-06)
Nov. 4, 2022 SABA P 40,694 $4.17 $169,694 9,935,879 Direct +0.41% Acquired -5.8% (price as of 2026-10-06)
Nov. 3, 2022 SABA P 50,786 $4.15 $210,762 9,895,185 Direct +0.52% Acquired -5.3% (price as of 2026-10-06)
Nov. 2, 2022 SABA P 55,596 $4.15 $230,723 9,844,399 Direct +0.57% Acquired -5.3% (price as of 2026-10-06)
Nov. 1, 2022 SABA P 65,500 $4.28 $280,340 9,788,803 Direct +0.67% Acquired -8.2% (price as of 2026-10-06)
Oct. 31, 2022 SABA P 65,118 $4.29 $279,356 9,723,303 Direct +0.67% Acquired -8.4% (price as of 2026-10-06)
Oct. 28, 2022 SABA P 64,406 $4.25 $273,726 9,658,185 Direct +0.67% Acquired -7.5% (price as of 2026-10-06)
Oct. 27, 2022 SABA P 55,502 $4.20 $233,108 9,593,779 Direct +0.58% Acquired -6.4% (price as of 2026-10-06)
Oct. 26, 2022 SABA P 71,000 $4.26 $302,460 9,538,277 Direct +0.75% Acquired -7.7% (price as of 2026-10-06)
Oct. 25, 2022 SABA P 70,500 $4.18 $294,690 9,467,277 Direct +0.75% Acquired -6.0% (price as of 2026-10-06)
Oct. 24, 2022 SABA P 53,800 $4.07 $218,966 9,396,777 Direct +0.58% Acquired -3.4% (price as of 2026-10-06)
Oct. 21, 2022 SABA P 37,672 $4.07 $153,325 9,342,977 Direct +0.40% Acquired -3.4% (price as of 2026-10-06)
Oct. 20, 2022 SABA P 66,413 $4.08 $270,965 9,305,305 Direct +0.72% Acquired -3.7% (price as of 2026-10-06)
Oct. 19, 2022 SABA P 61,729 $4.06 $250,620 9,238,892 Direct +0.67% Acquired -3.2% (price as of 2026-10-06)
Oct. 18, 2022 SABA P 60,150 $4.08 $245,412 9,177,163 Direct +0.66% Acquired -3.7% (price as of 2026-10-06)
Oct. 17, 2022 SABA P 51,277 $4.16 $213,312 9,117,013 Direct +0.57% Acquired -5.5% (price as of 2026-10-06)
Oct. 14, 2022 SABA P 59,500 $4.09 $243,355 9,065,736 Direct +0.66% Acquired -3.9% (price as of 2026-10-06)
Oct. 13, 2022 SABA P 59,700 $4.16 $248,352 9,006,236 Direct +0.67% Acquired -5.5% (price as of 2026-10-06)
Oct. 12, 2022 SABA P 46,244 $4.19 $193,762 8,946,536 Direct +0.52% Acquired -6.2% (price as of 2026-10-06)
Oct. 11, 2022 SABA P 56,167 $4.26 $239,271 8,900,292 Direct +0.64% Acquired -7.7% (price as of 2026-10-06)
Oct. 10, 2022 SABA P 36,136 $4.29 $155,023 8,844,125 Direct +0.41% Acquired -8.4% (price as of 2026-10-06)
Oct. 7, 2022 SABA P 17,402 $4.27 $74,307 8,807,989 Direct +0.20% Acquired -8.0% (price as of 2026-10-06)
Oct. 5, 2022 1762562 P 1,963,865 $12.73 $25,000,001 7,867,833 Indirect +33.26% Acquired
Oct. 5, 2022 SABA P 2,967,386 $4.27 $12,670,738 8,790,587 Direct +50.96% Acquired -8.0% (price as of 2026-10-06)
Sept. 21, 2022 SABA P 49,621 $4.50 $223,294 5,823,201 Direct +0.86% Acquired -12.7% (price as of 2026-10-06)
Sept. 20, 2022 SABA P 50,921 $4.49 $228,635 5,773,580 Direct +0.89% Acquired -12.5% (price as of 2026-10-06)
Sept. 19, 2022 SABA P 66,591 $4.51 $300,325 5,722,659 Direct +1.18% Acquired -12.9% (price as of 2026-10-06)
Sept. 16, 2022 SABA P 49,769 $4.47 $222,467 5,656,068 Direct +0.89% Acquired -12.1% (price as of 2026-10-06)
Sept. 15, 2022 SABA P 72,568 $4.54 $329,459 5,606,299 Direct +1.31% Acquired -13.4% (price as of 2026-10-06)
Sept. 14, 2022 SABA P 38,437 $4.55 $174,888 5,533,731 Direct +0.70% Acquired -13.6% (price as of 2026-10-06)
Sept. 14, 2022 1547341 P 100 $30.50 $3,050 73,014 Direct +0.14% Acquired
Sept. 13, 2022 1547341 P 4,917 $30.74 $151,149 72,914 Direct +7.23% Acquired
Sept. 13, 2022 SABA P 53,895 $4.58 $246,839 5,495,294 Direct +0.99% Acquired -14.2% (price as of 2026-10-06)
Sept. 12, 2022 1547341 P 4,500 $31.35 $141,075 67,997 Direct +7.09% Acquired
Sept. 12, 2022 SABA P 70,903 $4.61 $326,863 5,441,399 Direct +1.32% Acquired -14.8% (price as of 2026-10-06)
Sept. 9, 2022 1547341 P 4,194 $30.74 $128,924 63,497 Direct +7.07% Acquired
Sept. 9, 2022 SABA P 26,347 $4.56 $120,142 5,370,496 Direct +0.49% Acquired -13.8% (price as of 2026-10-06)
Sept. 8, 2022 1547341 P 4,400 $29.97 $131,868 59,303 Direct +8.01% Acquired
Sept. 8, 2022 SABA P 58,211 $4.55 $264,860 5,344,149 Direct +1.10% Acquired -13.6% (price as of 2026-10-06)
Sept. 7, 2022 1762562 P 1,965,409 $12.72 $25,000,002 5,903,968 Indirect +49.90% Acquired
Sept. 7, 2022 1547341 P 4,500 $29.82 $134,190 54,903 Direct +8.93% Acquired
Sept. 7, 2022 SABA P 71,230 $4.56 $324,809 5,285,938 Direct +1.37% Acquired -13.8% (price as of 2026-10-06)
Sept. 6, 2022 1547341 P 4,645 $30.05 $139,582 50,403 Direct +10.15% Acquired
Sept. 6, 2022 SABA P 67,752 $4.59 $310,982 5,214,708 Direct +1.32% Acquired -14.4% (price as of 2026-10-06)
Sept. 2, 2022 1547341 P 4,600 $30.31 $139,426 45,758 Direct +11.18% Acquired
Sept. 2, 2022 SABA P 58,900 $4.64 $273,296 5,146,956 Direct +1.16% Acquired -15.3% (price as of 2026-10-06)
Sept. 1, 2022 1547341 P 4,300 $29.51 $126,893 41,158 Direct +11.67% Acquired
Sept. 1, 2022 SABA P 76,800 $4.64 $356,352 5,088,056 Direct +1.53% Acquired -15.3% (price as of 2026-10-06)
Aug. 31, 2022 1547341 P 4,496 $30.37 $136,544 36,858 Direct +13.89% Acquired
Aug. 31, 2022 SABA P 75,286 $4.65 $350,080 5,011,256 Direct +1.53% Acquired -15.5% (price as of 2026-10-06)
Aug. 30, 2022 1547341 P 4,000 $30.79 $123,160 32,362 Direct +14.10% Acquired
Aug. 30, 2022 SABA P 75,695 $4.65 $351,982 4,935,970 Direct +1.56% Acquired -15.5% (price as of 2026-10-06)
Aug. 29, 2022 SABA P 74,435 $4.67 $347,611 4,860,275 Direct +1.56% Acquired -15.8% (price as of 2026-10-06)
Aug. 29, 2022 1547341 P 4,378 $31.74 $138,958 28,362 Direct +18.25% Acquired
Aug. 26, 2022 SABA P 63,577 $4.70 $298,812 4,785,840 Direct +1.35% Acquired -16.4% (price as of 2026-10-06)
Aug. 26, 2022 1547341 P 4,419 $31.56 $139,464 23,984 Direct +22.59% Acquired
Aug. 25, 2022 1547341 P 4,219 $31.95 $134,797 19,565 Direct +27.49% Acquired
Aug. 25, 2022 SABA P 82,067 $4.71 $386,536 4,722,263 Direct +1.77% Acquired -16.6% (price as of 2026-10-06)
Aug. 24, 2022 1547341 P 2,187 $31.62 $69,153 15,346 Direct +16.62% Acquired
Aug. 24, 2022 SABA P 74,710 $4.70 $351,137 4,640,196 Direct +1.64% Acquired -16.4% (price as of 2026-10-06)
Aug. 23, 2022 1547341 P 4,200 $31.18 $130,956 13,159 Direct +46.88% Acquired
Aug. 23, 2022 SABA P 74,898 $4.62 $346,029 4,565,486 Direct +1.67% Acquired -14.9% (price as of 2026-10-06)
Aug. 22, 2022 1547341 P 4,328 $30.70 $132,870 8,959 Direct +93.46% Acquired
Aug. 22, 2022 SABA P 71,931 $4.60 $330,883 4,490,588 Direct +1.63% Acquired -14.6% (price as of 2026-10-06)
Aug. 19, 2022 SABA P 82,931 $4.64 $384,800 4,418,657 Direct +1.91% Acquired -15.3% (price as of 2026-10-06)
Aug. 18, 2022 SABA P 83,345 $4.72 $393,388 4,335,726 Direct +1.96% Acquired -16.7% (price as of 2026-10-06)
Aug. 17, 2022 SABA P 82,516 $4.76 $392,776 4,252,381 Direct +1.98% Acquired -17.4% (price as of 2026-10-06)
Aug. 16, 2022 SABA P 49,355 $4.79 $236,410 4,169,865 Direct +1.20% Acquired -18.0% (price as of 2026-10-06)
Aug. 15, 2022 SABA P 60,084 $4.80 $288,403 4,120,510 Direct +1.48% Acquired -18.1% (price as of 2026-10-06)
Aug. 12, 2022 SABA P 23,986 $4.81 $115,373 4,060,426 Direct +0.59% Acquired -18.3% (price as of 2026-10-06)
Aug. 11, 2022 SABA P 128,398 $4.84 $621,446 4,036,440 Direct +3.29% Acquired -18.8% (price as of 2026-10-06)
Aug. 10, 2022 SABA P 89,536 $4.81 $430,668 3,908,042 Direct +2.34% Acquired -18.3% (price as of 2026-10-06)

Showing latest 100 of 626 transactions

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II) Options, RSUs and convertible securities reported on Form 4 Table II.

06
DateTickerSecurityUnderlying Exercise priceExpirationSharesA/D
Dec. 9, 2021 943861 Convertible Notes Common Stock (26,955) $21.33 May 31, 2023 26,955 Acquired
Dec. 9, 2021 943861 Convertible Notes Common Stock (1,347,918) $21.33 May 31, 2023 1,347,918 Disposed
Oct. 15, 2021 943861 Convertible Notes Common Stock (43,127) $21.33 May 31, 2023 43,127 Acquired
July 15, 2021 943861 Convertible Notes Common Stock (41,719) $21.33 May 31, 2023 41,719 Acquired
April 15, 2021 943861 Convertible Notes Common Stock (16,465) $21.33 May 31, 2023 16,465 Acquired
March 9, 2021 943861 Convertible Notes Common Stock (1,219,652) $21.33 May 31, 2023 1,219,652 Acquired
March 9, 2021 943861 Convertible Notes Common Stock (698,046) $21.33 May 31, 2022 698,046 Disposed
Jan. 15, 2021 943861 Convertible Notes Common Stock (22,790) $21.33 May 31, 2022 22,790 Acquired
Oct. 15, 2020 943861 Convertible Notes Common Stock (22,046) $21.33 May 31, 2022 22,046 Acquired
July 15, 2020 943861 Convertible Notes Common Stock (21,326) $21.33 May 31, 2021 21,326 Acquired
July 15, 2020 943861 Convertible Notes Common Stock (21,326) $21.33 May 31, 2021 21,326 Acquired
April 15, 2020 943861 Convertible Notes Common Stock (20,630) $21.33 May 31, 2021 20,630 Acquired
Jan. 15, 2020 943861 Convertible Notes Common Stock (19,956) $21.33 May 31, 2021 19,956 Acquired
Oct. 15, 2019 943861 Convertible Notes Common Stock (19,305) $21.33 May 31, 2021 19,305 Acquired
July 15, 2019 943861 Convertible Notes Common Stock (9,492) $21.33 May 31, 2021 9,492 Acquired
May 31, 2019 943861 Convertible Notes Common Stock (562,501) $21.33 May 31, 2021 562,501 Acquired
May 29, 2019 943861 Convertible Notes Common Stock (410,156) $21.33 Aug. 30, 2019 410,156 Disposed
Feb. 7, 2018 943861 Warrants Common Stock (546,875) $0.01 Oct. 12, 2026 546,875 Disposed
Sept. 28, 2017 1282648 Warrants Common Stock (11,650) $14.04 Sept. 9, 2020 11,650 Disposed
May 10, 2017 1282648 Warrants Common Stock (1,165) $14.04 Sept. 9, 2020 1,165 Disposed
April 7, 2017 1282648 Warrants Common Stock (10,485) $14.04 Sept. 9, 2020 10,485 Disposed
March 9, 2017 1282648 Warrants Common Stock (583) $14.04 Sept. 9, 2020 583 Disposed
Nov. 22, 2016 1504167 Class A Warrants Common Stock (3,281,250) $0.35 · 4,375,000 Acquired
March 29, 2016 1504167 Warrants Common Stock (270,000) $1.20 March 29, 2021 270,000 Acquired
April 12, 2013 1379895 Warrants Common Stock (10,161) $40.00 Oct. 2, 2017 10,161 Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 17 holdings

07

Securities held when first becoming an insider, per SEC Form 3.

DateTickerSecuritySharesOwnership
Aug. 19, 2024 2008602 Common Shares · Indirect
Aug. 22, 2022 1547341 Common Stock · Indirect
July 1, 2022 SABA Shares of beneficial interest · Indirect
Aug. 5, 2021 1762562 Common Stock · Indirect
July 2, 2021 WDI Common Stock 5,000 Direct
Nov. 14, 2016 1282648 Common Stock · Indirect
Nov. 14, 2016 1282648 Warrants→ Common Stock · Indirect
Oct. 24, 2016 943861 Common Stock 4,469,465 Indirect
Oct. 24, 2016 943861 Convertible Notes→ Common Stock (410,156) 410,156 Indirect
Oct. 24, 2016 943861 Warrants→ Common Stock (546,875) 546,875 Indirect
Sept. 29, 2016 1282648 Common Stock 33,822,339 Indirect
Sept. 29, 2016 1282648 Warrants→ Common Stock (439,097) 439,097 Indirect
Dec. 21, 2015 1504167 Common Stock 4,100,000 Indirect
Oct. 10, 2012 1379895 Common Stock 31,387,446 Indirect
Oct. 10, 2012 1379895 Warrants→ Common Stock (1,544,050) 1,544,050 Indirect
Feb. 8, 2010 30419 Common Stock 15,264,757 Indirect
Jan. 17, 2008 906338 Ordinary Shares 3,694,822 Indirect