ARDC · Ares Dynamic Credit Allocation Fund, Inc. · Insider Trading
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2026-09-15 | THRIVENT FINANCIAL FOR LUTHERANS |
10% Owner |
Other↓
Filing footnotes — Mandatory Redeemable Preferred Shares, Series B (Direct)
The Series B Mandatory Redeemable Preferred Shares were redeemed by the issuer at a price equal to the principal amount of $25.00 per share. |
Mandatory Redeemable Preferred Shares, Series B
|
360,000 |
| 2026-09-14 | THRIVENT FINANCIAL FOR LUTHERANS |
10% Owner |
Buy↑
|
Mandatory Redeemable Preferred Shares, Series E
|
240,000 |
| 2026-07-14 | THRIVENT FINANCIAL FOR LUTHERANS |
10% Owner |
Buy↑
|
Mandatory Redeemable Preferred Shares, Series D
|
160,000 |
| 2024-05-24 | Shaw John Joseph |
Director |
Sell↓
Filing footnotes — Common Stock (Indirect)
Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
2,025 |
| 2024-05-24 | Shaw John Joseph |
Director |
Sell↓
Filing footnotes — Common Stock (Indirect)
Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
2,099 |
| 2024-05-23 | Shaw John Joseph |
Director |
Sell↓
Filing footnotes — Common Stock (Indirect)
Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
7,975 |
| 2024-05-23 | Shaw John Joseph |
Director |
Sell↓
Filing footnotes — Common Stock (Indirect)
Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
7,901 |
| 2023-08-17 | Shaw John Joseph |
Director |
Sell↓
Filing footnotes — Common Stock (Indirect)
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.7799 to $12.85, inclusive. The Reporting Person undertakes to provide to Ares Dynamic Credit Allocation Fund, Inc., any security holder of Ares Dynamic Credit Allocation Fund, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (3) to this Form 4. Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
20,715 |
| 2023-08-16 | Shaw John Joseph |
Director |
Sell↓
Filing footnotes — Common Stock (Indirect)
Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
9,286 |
| 2022-03-17 | SPECTOR BRUCE H |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.16 to $14.20, inclusive. The Reporting Person undertakes to provide to Ares Dynamic Credit Allocation Fund, Inc., any security holder of Ares Dynamic Credit Allocation Fund, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. |
Common Stock
|
10,000 |
| 2022-01-26 | Shaw John Joseph |
Director |
Buy↑
Filing footnotes — Common Stock (Indirect)
Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
26,000 |
| 2022-01-25 | Shaw John Joseph |
Director |
Buy↑
Filing footnotes — Common Stock (Indirect)
Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
4,000 |
| 2020-05-26 | Brufsky Seth J |
Director, President and CEO / Portfolio |
Buy↑
Filing footnotes — Common Stock (Indirect)
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.24 to $11.35, inclusive. The Reporting Person undertakes to provide to Ares Dynamic Credit Allocation Fund, Inc., any security holder of Ares Dynamic Credit Allocation Fund, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the Seth J. Brufsky Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
20,000 |
| 2020-01-16 | Shaw John Joseph |
Director |
Sell↓
Filing footnotes — Common Stock (Indirect)
Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc. The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary. |
Common Stock
(I)
|
5,150 |