SBI · Western Asset Intermediate Muni Fund Inc. · Insider Trading
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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 |
|---|---|---|---|---|---|
| 2023-03-01 | UBS Group AG |
10% Owner |
Other↓
Filing footnotes — Auction Preferred Stock (Indirect)
CUSIP Nos. 958435208 95% of par This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis. This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients. |
Auction Preferred Stock
(I)
|
20 |
| 2022-11-16 | BANK OF AMERICA CORP /DE/ |
10% Owner |
Sell↓
Filing footnotes — Auction Rate Preferred (Indirect)
The Auction Rate Preferred Shares ("Shares") disposed of in Table 1 were beneficially owned by Bank of America, N.A. ("BANA"). BANA is a wholly owned subsidiary of Bank of America Corporation ("BAC"). |
Auction Rate Preferred
(I)
|
4 |
| 2020-04-03 | CITIGROUP INC |
10% Owner |
Sell↓
Filing footnotes — Variable Rate Demand Preferred Shares (Indirect)
The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH. |
Variable Rate Demand Preferred Shares
(I)
|
200 |