SEC Form 4 · accession 0001179110-15-014512
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 4, 2015 · 6:18 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 | Nov 3, 2015 | P | 2,200 | $5.256 | A | 465,709 | D | |
| Common Stock | Nov 3, 2015 | P | 1,340 | $5.26 | A | 467,049 | D | |
| Common Stock | Nov 3, 2015 | P | 100 | $5.265 | A | 467,149 | D | |
| Common stock | Nov 3, 2015 | P | 400 | $5.27 | A | 467,549 | D | |
| Common Stock | Nov 3, 2015 | P | 800 | $5.279 | A | 468,349 | D | |
| Common Stock | Nov 3, 2015 | P | 1,500 | $5.28 | A | 469,849 | D | |
| Common Stock | Nov 3, 2015 | P | 800 | $5.286 | A | 470,649 | D | |
| Common Stock | Nov 3, 2015 | P | 5,760 | $5.2896 | A | 476,409 | D | |
| Common stock | Nov 3, 2015 | P | 2,100 | $5.29 | A | 478,509 | 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