SEC Form 4 · accession 0001179110-15-014334
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)
Nov 2, 2015 · 6:00 pm EST
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 | Jan 29, 2014 | P$0 | 0 | $0.00 | A | 98,940 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common StockF1 | Oct 26, 2015 | P$0 | 0 | $0.00 | A | 107,849 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common StockF2 | Sep 28, 2015 | P$0 | 0 | $0.00 | A | 376,895 | D | |
| Common Stock | Oct 29, 2015 | P | 200 | $5.2765 | A | 396,824 | D | |
| Common Stock | Oct 29, 2015 | P | 100 | $5.277 | A | 396,924 | D | |
| Common Stock | Oct 29, 2015 | P | 3,000 | $5.279 | A | 399,924 | D | |
| Common Stock | Oct 29, 2015 | P | 12,600 | $5.28 | A | 412,524 | D | |
| Common Stock | Oct 29, 2015 | P | 900 | $5.286 | A | 413,424 | D | |
| Common Stock | Oct 29, 2015 | P | 800 | $5.2865 | A | 414,224 | D | |
| Common Stock | Oct 29, 2015 | P | 3,300 | $5.29 | A | 417,524 | D | |
| Common Stock | Oct 29, 2015 | P | 100 | $5.295 | A | 417,624 | D | |
| Common Stock | Oct 29, 2015 | P | 100 | $5.2999 | A | 417,724 | D | |
| Common Stock | Oct 29, 2015 | P | 4,800 | $5.30 | A | 422,524 | D | |
| Common stock | Oct 30, 2015 | P | 8,400 | $5.269 | A | 430,924 | D | |
| Common Stock | Oct 30, 2015 | P | 2,300 | $5.2699 | A | 433,224 | D | |
| Common Stock | Oct 30, 2015 | P | 4,601 | $5.27 | A | 437,825 | D | |
| Common Stock | Oct 30, 2015 | P | 3,009 | $5.28 | A | 440,834 | D | |
| Common Stock | Oct 30, 2015 | P | 5,000 | $5.29 | A | 445,834 | D | |
| Common Stock | Oct 30, 2015 | P | 1,700 | $5.30 | A | 447,534 | D | |
| Common Stock | Oct 30, 2015 | P | 1,900 | $5.309 | A | 449,434 | D | |
| Common Stock | Oct 30, 2015 | P | 6,400 | $5.31 | A | 455,834 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1No transaction occurred in Common Stock owned indirectly by Reporting Person
- F2No transaction occurred in Common Stock owned directly by Reporting Person