A Central Index Key (CIK) is a unique identifier assigned by the SEC to each filer.

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New filings appear as the SEC updates EDGAR, and older records can vary by availability.

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Updates follow new EDGAR submissions and periodic data refreshes.

Filer Snapshot

Richard S. Pontin

CIK 0001526403. SEC filing timeline plus parsed ownership intelligence from 13F, 13D/G, and Forms 3/4/5 where available.

Entity type

Individual

Total filings

Latest filing

01 Oct 2026

Industry

n/a

Filing-backed research brief

Start with the SEC data that changes for this CIK

Latest signal: Forms 3/4/5 owner position for AB Tax-Aware Credit Opportunities Fund. Each card links back to the PortfolioSavvy page where the filing evidence is closest.

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Latest 13F portfolio

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Largest parsed holding

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Populates from the latest parsed 13F information table.

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13D/G large stake

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No recent parsed 13D/G stake row for this CIK.

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Insider / owner context

AB Tax-Aware Credit Opportunities Fund

01 Oct 2026

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Source: SEC Forms 3/4/5

3 filed on 01 Oct 2026 for CIK 0001526403.

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Business address: 4616 Triangle Avenue #4206, Austin, TX, 78751

Filer intelligence

What SEC filings say about Richard S. Pontin

A compact read of parsed XML filings. 13F, 13D/G, and Forms 3/4/5 are shown separately because they answer different ownership questions.

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Quick read

Forms 3/4/5 show insider context for AB Tax-Aware Credit Opportunities Fund.

SEC source mix

Counts show available parsed rows, not one combined ownership total.

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13F portfolio No rows yet

Quarterly institutional portfolio holdings.

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13D/G stakes No rows yet

Beneficial ownership and large-stake disclosures.

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Forms 3/4/5 3 rows

Officer, director, and 10% owner holdings or transactions.

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Forms 3/4/5 insider context

AB Tax-Aware Credit Opportunities Fund

01 Oct 2026

Issuer page Owner page

AB Private Lending Fund

06 Aug 2024

Issuer page Owner page

AB CarVal Credit Opportunities Fund

23 Feb 2024

Issuer page Owner page

Latest update

What changed recently for Richard S. Pontin

Ownership report updated

Latest ownership report period: 01 Oct 2026. Open the source-backed page to inspect the fresh filing or facts context.

Update date

01 Oct 2026

Page type

Ownership filings

Latest period

01 Oct 2026

Ownership context was refreshed from SEC Forms 3/4/5 filed on 01 Oct 2026.

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SEC filing record

CIK 0001526403 filing coverage

Start with this filing record, then use the linked ownership pages when parsed 13F, 13D/G, Forms 3/4/5, or facts data exists for this CIK.

SEC filings

First seen

26 Jul 2011

Latest filing

01 Oct 2026

Entity

Individual

Observed form types

3 4

CIK-linked evidence first

Richard S. Pontin SEC filings Richard S. Pontin owner filings Open SEC filing index

Latest Filings

Showing the latest 12 of 18 SEC filings for Richard S. Pontin.

Open full filing history

3 File 811-24186

FORM 3

Filing date: 01 Oct 2026
Reporting date: 01 Oct 2026
SEC evidence: Open document Open filing
Next action: Verify source filing

3 File 814-01744

3

Filing date: 06 Aug 2024
Reporting date: 06 Aug 2024
SEC evidence: Open document Open filing
Next action: Verify source filing

3 File 811-23939

3

Filing date: 28 Feb 2024
Reporting date: 23 Feb 2024
SEC evidence: Open document Open filing
Next action: Verify source filing

4 File 001-35247

FORM 4 -

Filing date: 19 Jun 2017
Reporting date: 15 Jun 2017
SEC evidence: Open document Open filing
Next action: Verify source filing

3 File 000-55640

FORM 3 SUBMISSION

Filing date: 05 Jul 2016
Reporting date: 05 Jul 2016
SEC evidence: Open document Open filing
Next action: Verify source filing

4 File 001-35247

FORM 4 -

Filing date: 08 Jun 2015
Reporting date: 04 Jun 2015
SEC evidence: Open document Open filing
Next action: Verify source filing

4 File 001-35247

FORM 4 -

Filing date: 09 Jun 2014
Reporting date: 05 Jun 2014
SEC evidence: Open document Open filing
Next action: Verify source filing

4 File 001-35247

FORM 4 -

Filing date: 27 Aug 2013
Reporting date: 23 Aug 2013
SEC evidence: Open document Open filing
Next action: Verify source filing

4 File 001-35247

FORM 4 -

Filing date: 22 Aug 2013
Reporting date: 20 Aug 2013
SEC evidence: Open document Open filing
Next action: Verify source filing

4 File 001-35247

FORM 4 -

Filing date: 07 Jun 2013
Reporting date: 05 Jun 2013
SEC evidence: Open document Open filing
Next action: Verify source filing

4 File 001-35247

FORM 4 -

Filing date: 23 Aug 2012
Reporting date: 22 Aug 2012
SEC evidence: Open document Open filing
Next action: Verify source filing

4 File 001-35247

FORM 4 -

Filing date: 22 Aug 2012
Reporting date: 20 Aug 2012
SEC evidence: Open document Open filing
Next action: Verify source filing

Richard S. Pontin

Start with the SEC data that changes for this CIK

What SEC filings say about Richard S. Pontin

Quick read

SEC source mix

Forms 3/4/5 insider context

What changed recently for Richard S. Pontin

CIK 0001526403 filing coverage

Latest Filings

FORM 3

3

3

FORM 4 -

FORM 3 SUBMISSION

FORM 4 -

FORM 4 -

FORM 4 -

FORM 4 -

FORM 4 -

FORM 4 -

FORM 4 -

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