Stout Kim Form 3 filed for Western Asset Diversified Income Fund (NYSE: WDI)
Filing Impact
Filing Sentiment
Form Type
3
Rhea-AI Filing Summary
Western Asset Diversified Income Fund (WDI) filed an initial insider ownership report on Form 3 for Stout Kim, identified as "CCO/Subadviser." The filing does not list any transactions, exercises, gifts, or tax withholdings, and shows no reported holdings or derivative positions in this excerpt.
Positive
- None.
Negative
- None.
Key Terms
Form 3, reporting person, CCO/Subadviser
3 terms
Form 3 regulatory
"filed an initial insider ownership report on Form 3 for Stout Kim"
Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.
reporting person regulatory
"lists Stout Kim as a reporting person with the role "CCO/Subadviser""
CCO/Subadviser financial
"Stout Kim is identified as "CCO/Subadviser" for Western Asset Diversified Income Fund"
FAQ
What does the WDI Form 3 filing for Stout Kim show?
The Form 3 for Western Asset Diversified Income Fund (WDI) lists Stout Kim as a reporting person with the role "CCO/Subadviser." The excerpt shows no reported transactions, holdings, or derivative positions, serving as an initial ownership disclosure record.
What is Stout Kim’s role in relation to Western Asset Diversified Income Fund (WDI)?
In the Form 3 data, Stout Kim is identified as "CCO/Subadviser" for Western Asset Diversified Income Fund (WDI). The person is not flagged as a director, officer, or ten-percent owner, but is still a reporting person under insider disclosure rules.
Does the WDI Form 3 mention any Rule 10b5-1 trading plans for Stout Kim?
The provided Form 3 excerpt for Western Asset Diversified Income Fund (WDI) includes an empty footnote field for Stout Kim and shows no references to Rule 10b5-1 trading plans or other pre-arranged trading arrangements.