SEC Form 4/A · accession 0001179110-16-027624
TCW STRATEGIC INCOME FUND INC · TSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Tad Rivelle
Officer — Portfolio Manager
Period of report
Dec 8, 2015
Accepted (ET)
Jul 13, 2016 · 1:35 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 | Oct 26, 2015 | P$0 | 0 | $0.00 | A | 107,849 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common StockF2 | Jan 22, 2016 | P$0 | 0 | $0.00 | A | 855,854 | D | |
| Common Stock | Dec 11, 2015 | P | 15,000 | $5.1999 | A | 204,463 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Dec 11, 2015 | P | 2,600 | $5.20 | A | 207,063 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Feb 17, 2016 | P | 800 | $5.12 | A | 207,863 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Feb 17, 2016 | P | 9,200 | $5.1288 | A | 217,063 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Feb 17, 2016 | P | 6,500 | $5.13 | A | 223,563 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Feb 17, 2016 | P | 400 | $5.136 | A | 223,963 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Feb 17, 2016 | P | 1,000 | $5.137 | A | 224,963 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Feb 17, 2016 | P | 100 | $5.1387 | A | 225,063 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Feb 17, 2016 | P | 100 | $5.1388 | A | 225,163 | I | Charles Schwab & Co Acct for Chung-Ling K Tuan (spouse) |
| Common Stock | Feb 17, 2016 | P | 1,900 | $5.139 | A | 227,063 | 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 indirectly by Reporting Person.
- F2No transaction occurred in Common Stock owned directly by Reporting Person.