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Cohen & Steers Tax-Adv Pref Secs and Inc Fund V.PTA


Primary Symbol: PTA

The Funds primary investment objective is high current income. The Funds secondary investment objective is capital appreciation The Fund seeks to achieve its investment objectives by investing at least 80% of its managed assets (i.e., net assets plus assets obtained through leverage) in a portfolio of preferred and other income securities issued by U.S. and non-U.S. companies, which may be either exchange-traded or available over-the-counter. In pursuing its investment objectives, the Fund seeks to achieve favorable after-tax returns for its shareholders by seeking to minimize the U.S. federal income tax consequences on income generated by the Fund. There can be no assurance that the Fund will achieve its investment objectives.


NYSE:PTA - Post by User

Post by kaito1412on Oct 03, 2014 9:21pm
233 Views
Post# 22998220

Frank Giustra

Frank GiustraOn October 22, 2009 - Frank Giustra (According to SEDI) is no longer an insider of PTA.

Is he still in the play?

He unloaded most of his shares back in 2009

In case the table below does not work, go to SEDI 

Insider name: Giustra, Frank  
Insider's Relationship to Issuer: 3 - 10% Security Holder of Issuer  
Ceased to be Insider: 2009-10-22  
Security designation: Common Shares  
        1170665 2008-03-18 2008-03-20 Control or Direction : 
The Radcliffe Foundation
00 - Opening Balance-Initial SEDI Report                        
   
        1170666 2008-03-18 2008-03-20 Control or Direction : 
The Radcliffe Foundation
11 - Acquisition or disposition carried out privately +6,000,000     6,000,000                
   
        1312335 2008-11-04 2008-11-06 Control or Direction : 
The Radcliffe Foundation
54 - Exercise of warrants +3,950,000 0.1000   9,950,000                
   
        1328050 2008-12-01 2008-12-02 Control or Direction : 
The Radcliffe Foundation
10 - Acquisition or disposition in the public market -2,100,000 0.1700   7,850,000                
   
        1479712 2009-09-02 2009-09-08 Control or Direction : 
The Radcliffe Foundation
11 - Acquisition or disposition carried out privately -300,000     7,550,000                
   
        1182300 2008-03-18 2008-04-07 Indirect Ownership : 
Fiore Capital Corporation
00 - Opening Balance-Initial SEDI Report       3,900,000                
   
        1488368 2009-09-21 2009-09-23 Indirect Ownership : 
Fiore Capital Corporation
11 - Acquisition or disposition carried out privately -2,600,000     1,300,000                
   
Security designation: Options (Common Shares)  
        1170664 2008-03-18 2008-03-20 Control or Direction : 
The Radcliffe Foundation
00 - Opening Balance-Initial SEDI Report       2,000,000         Common Shares   2,000,000  
   
Security designation: Warrants (Common Shares)  
        1170669 2008-03-18 2008-03-20 Control or Direction : 
The Radcliffe Foundation
00 - Opening Balance-Initial SEDI Report                 Common Shares      
   
        1170674 2008-03-18 2008-03-20 Control or Direction : 
The Radcliffe Foundation
11 - Acquisition or disposition carried out privately +3,950,000     3,950,000   0.1000   2008-11-11 Common Shares +3,950,000 3,950,000  
   

        1312332 2008-11-04 2008-11-06 Control or Direction : 
The Radcliffe Foundation
54 - Exercise of warrants -3,950,000     0   0.1000   2008-11-11 Common Shares -3,950,000 0

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