SEC Form 4 · accession 0001179110-15-013532
TCW STRATEGIC INCOME FUND INC · TSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tad Rivelle
Officer — Portfolio Manager
Period of report
Jan 29, 2014
Accepted (ET)
Oct 1, 2015 · 5:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000809559
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 29, 2015 | P$0 | 0 | $0.00 | A | 638,926 | D | |
| Common StockF2 | Jan 29, 2014 | P$0 | 0 | $0.00 | A | 98,940 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Sep 30, 2015 | P | 100 | $5.105 | A | 51,284 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Sep 30, 2015 | P | 2,277 | $5.11 | A | 53,561 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Sep 30, 2015 | P | 100 | $5.115 | A | 53,661 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Sep 30, 2015 | P | 1,300 | $5.118 | A | 54,961 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Sep 30, 2015 | P | 6,688 | $5.119 | A | 61,649 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Sep 30, 2015 | P | 1,000 | $5.1199 | A | 62,649 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Sep 30, 2015 | P | 5,200 | $5.12 | A | 67,849 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1No transaction occurred in Common Stock owned directly by Reporting Person
- F2No transaction occurred in Common Stock owned indirectly by Reporting Person