SEC Form 4 · accession 0001144204-16-131084
Cornerstone Strategic Investment Fund, Inc. · CLM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ralph W Bradshaw
Officer — President · Director
Period of report
Oct 31, 2016
Accepted (ET)
Nov 2, 2016 · 3:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000814083
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 31, 2016 | X | 1,022 | $14.11 | A | 12,298 | I | By IRA |
| Common StockF1,F2 | Oct 31, 2016 | X | 104 | $14.11 | A | 108 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Non-transferable rights were issued to stockholders of record as of September 23, 2016 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock, which purchase is reflected in this filing.
- F2The total shares in Item 5 includes 2,482 shares acquired through the Issuer's dividend reinvestment plan.