Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
20813 (S) $5.39 |
2021-06-15 |
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
109744 (S) $14.81 |
2021-06-15 |
RiverNorth Managed Duration Municipal Income Fund, Inc.
(RMM) |
DIMELLA ROBERT A
(Portfolio Manager) |
15863 (S) $20.33 |
2021-06-15 |
Miller/Howard High Income Equity Fund
(HIE) |
Saba Capital Management, L.P.
(10% owner) |
95287 (B) $10.73 |
2021-06-15 |
California Resources Corp
(CRC) |
ARES MANAGEMENT LLC
(10% owner) |
275000 (S) $32.71 |
2021-06-15 |
PennyMac Financial Services, Inc.
(PFSI) |
MFN Partners, LP
(Director) |
193915 (B) $62.02 |
2021-06-15 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
10000 (B) $15.59 |
2021-06-15 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
10000 (B) $15.59 |
2021-06-15 |
Golub Capital BDC 3, Inc.
(N/A) |
Golub Lawrence E
(Chairman) |
92041 (B) $15.00 |
2021-06-15 |
Golub Capital BDC 3, Inc.
(N/A) |
Golub David
(President and CEO) |
92041 (B) $15.00 |
2021-06-15 |
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
3000 (S) $24.24 |
2021-06-15 |
PROGENITY, INC.
(PROG) |
Athyrium Capital Management, LP
(10% owner) |
8097166 (B) $2.47 |
2021-06-14 |
Apria, Inc.
(APR) |
Apria Holdings LLC
(10% owner) |
5175000 (S) $25.38 |
2021-06-14 |
LifeStance Health Group, Inc.
(LFST) |
TPG Group Holdings (SBS) Advisors, Inc.
(10% owner) |
5246286 (S) $17.01 |
2021-06-14 |
Elevate Credit, Inc.
(ELVT) |
TCV V LP
(May be part of a 13(g) group) |
1380000 (S) $3.40 |
2021-06-14 |
Leslie's, Inc.
(LESL) |
GIC Private Ltd
(10% owner) |
8181031 (S) $26.81 |
2021-06-14 |
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
1000 (B) $5.85 |
2021-06-14 |
Jamf Holding Corp.
(JAMF) |
VEP Group, LLC
(10% owner) |
8140000 (S) $33.00 |
2021-06-14 |
Werewolf Therapeutics, Inc.
(HOWL) |
RA CAPITAL MANAGEMENT, L.P.
(10% owner) |
323298 (B) $13.02 |
2021-06-14 |
LifeStance Health Group, Inc.
(LFST) |
Summit Partners Growth Equity Fund IX-A, L.P.
(10% owner) |
1368844 (S) $17.01 |
2021-06-14 |
LifeStance Health Group, Inc.
(LFST) |
SUMMIT PARTNERS L P
(Manager of GP of 10% owner) |
1368844 (S) $17.01 |
2021-06-14 |
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
189955 (S) $14.79 |
2021-06-11 |
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,530.00 |
2021-06-11 |
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,491.99 |
2021-06-10 |
Biglari Holdings Inc.
(BH) |
BIGLARI, SARDAR
(Chairman and CEO) |
820 (B) $906.74 |
2021-06-10 |
California Resources Corp
(CRC) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
376951 (S) $33.00 |
2021-06-10 |
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
36000 (S) $5.28 |
2021-06-10 |
California Resources Corp
(CRC) |
ARES MANAGEMENT LLC
(10% owner) |
250000 (S) $32.58 |
2021-06-10 |
Spark Networks SE
(LOV) |
Lewis John Hartnett
(10% owner) |
47388 (B) $5.28 |
2021-06-10 |
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
2200 (S) $24.19 |
2021-06-10 |
Barings BDC, Inc.
(BBDC) |
McDonnell Thomas
(Vice President) |
3000 (B) $10.53 |
2021-06-09 |
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,522.00 |
2021-06-09 |
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.60 |
2021-06-09 |
TALOS ENERGY INC.
(TALO) |
Apollo Management Holdings GP, LLC
(10% owner) |
248168 (S) $16.60 |
2021-06-09 |
NexPoint Strategic Opportunities Fund
(NHF) |
DONDERO JAMES D
(See Remarks) |
18150 (B) $13.86 |
2021-06-09 |
Goal Acquisitions Corp.
(PUCKU) |
GLAZER CAPITAL, LLC
(10% owner) |
182520 (S) $10.20 |
2021-06-09 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
10000 (B) $15.72 |
2021-06-09 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
10000 (B) $15.72 |
2021-06-09 |
Copper Property CTL Pass Through Trust
(N/A) |
Silver Point Capital L.P.
(10% owner) |
177460 (B) $18.60 |
2021-06-09 |
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
20939 (S) $5.33 |
2021-06-08 |
TEMPLETON GLOBAL INCOME FUND
(GIM) |
Saba Capital Management, L.P.
(10% owner) |
52628 (B) $5.63 |
2021-06-08 |
California Resources Corp
(CRC) |
ARES MANAGEMENT LLC
(10% owner) |
150000 (S) $32.54 |
2021-06-08 |
C3.ai, Inc.
(AI) |
TPG Group Holdings (SBS) Advisors, Inc.
(Former 10% Owner) |
1628100 (S) $64.60 |
2021-06-08 |
California Resources Corp
(CRC) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
329549 (S) $32.79 |
2021-06-08 |
USQ Core Real Estate Fund
(USQIX) |
Fairchild Gregory B.
(Director) |
397 (B) $25.17 |
2021-06-08 |
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
100 (B) $5.59 |
2021-06-08 |
Muzinich BDC, Inc.
(N/A) |
Youle Jeffrey
(CEO and President) |
10 (B) $1,050.00 |
2021-06-08 |
Muzinich BDC, Inc.
(N/A) |
Muzinich US Private Debt, SCSp
(10% owner) |
7501 (B) $1,050.00 |
2021-06-08 |
C3.ai, Inc.
(AI) |
TPG Group Holdings (SBS) Advisors, Inc.
(10% owner) |
2500000 (S) $62.67 |
2021-06-07 |
Syneos Health, Inc.
(SYNH) |
ADVENT INTERNATIONAL CORP/MA
(Other) |
6307489 (S) $81.20 |
2021-06-07 |
Syneos Health, Inc.
(SYNH) |
ADVENT INTERNATIONAL CORP/MA
(Other) |
6307489 (S) $81.20 |
2021-06-07 |
Syneos Health, Inc.
(SYNH) |
ADVENT INTERNATIONAL CORP/MA
(Other) |
6307489 (S) $81.20 |
2021-06-07 |
WESTERN ASSET HIGH INCOME OPPORTUNITY FUND INC.
(HIO) |
COLMAN CAROL L
(Director) |
6300 (S) $5.23 |
2021-06-07 |
Cambium Networks Corp
(CMBM) |
VECTOR CAPITAL, L.L.C.
(Other) |
2000000 (S) $46.08 |
2021-06-07 |
NexPoint Strategic Opportunities Fund
(NHF) |
DONDERO JAMES D
(See Remarks) |
12177 (B) $13.71 |
2021-06-07 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
4000 (B) $15.99 |
2021-06-07 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
4000 (B) $15.99 |
2021-06-07 |
SpringWorks Therapeutics, Inc.
(SWTX) |
ORBIMED ADVISORS LLC
(10% owner) |
48053 (S) $85.20 |
2021-06-07 |
Syneos Health, Inc.
(SYNH) |
THOMAS H. LEE ADVISORS, LLC
(Other) |
5044187 (S) $81.20 |
2021-06-07 |
California Resources Corp
(CRC) |
ARES MANAGEMENT LLC
(10% owner) |
100000 (S) $32.97 |
2021-06-07 |
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
(GOF) |
Brock-Kyle Angela
(Trustee) |
1000 (B) $21.27 |
2021-06-04 |
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,486.34 |
2021-06-04 |
PIMCO Energy & Tactical Credit Opportunities Fund
(NRGX) |
STRACKE THIBAULT CHRISTIAN
(SEE REMARKS) |
7000 (B) $12.29 |
2021-06-04 |
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.66 |
2021-06-04 |
TALOS ENERGY INC.
(TALO) |
Apollo Management Holdings GP, LLC
(10% owner) |
348078 (S) $16.32 |
2021-06-04 |
SWISS HELVETIA FUND, INC.
(SWZ) |
GOLDSTEIN PHILLIP
(Director) |
1994 (S) $9.68 |
2021-06-03 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
4000 (B) $16.06 |
2021-06-03 |
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
624800 (S) $0.70 |
2021-06-03 |
BlackRock Capital Allocation Trust
(BCAT) |
Koesterich Russell Jared
(Portfolio Manager) |
1500 (B) $21.51 |
2021-06-03 |
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
29950 (S) $5.62 |
2021-06-03 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
4000 (B) $16.06 |
2021-06-03 |
Revolution Medicines, Inc.
(RVMD) |
Third Rock Ventures II, L.P.
(10% owner) |
543113 (S) $30.21 |
2021-06-03 |
Miller/Howard High Income Equity Fund
(HIE) |
Saba Capital Management, L.P.
(10% owner) |
9854 (B) $10.45 |
2021-06-03 |
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
1384 (B) $5.78 |
2021-06-02 |
SOURCE CAPITAL INC /DE/
(SOR) |
LEGGIO RYAN A.
(Vice President - Strategy) |
1000 (B) $45.59 |
2021-06-02 |
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.68 |
2021-06-02 |
89bio, Inc.
(ETNB) |
RA CAPITAL MANAGEMENT, L.P.
(10% owner) |
22138 (B) $18.77 |
2021-06-02 |
AIP Multi-Strategy Fund A
(MSF A) |
Dennis Kathleen A
(Director) |
4 (S) $937.65 |
2021-06-02 |
Regional Management Corp.
(RM) |
BASSWOOD CAPITAL MANAGEMENT, L.L.C.
(Director-by-Deputization) |
167475 (S) $48.45 |
2021-06-02 |
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Hall Bjorn
(See Explanation of Responses) |
29 (B) $10.29 |
2021-06-01 |
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Booth Richard Whitaker
(See Explanation of Responses) |
16 (B) $10.29 |
2021-06-01 |
SOURCE CAPITAL INC /DE/
(SOR) |
Brown Sandra
(Director) |
600 (B) $45.70 |
2021-06-01 |
Trinity Capital Inc.
(TRIN) |
Brown Steve Louis
(Chairman and CEO) |
702 (B) $14.50 |
2021-06-01 |
SOURCE CAPITAL INC /DE/
(SOR) |
LEGGIO RYAN A.
(Vice President - Strategy) |
429 (B) $45.56 |
2021-06-01 |
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
2200 (S) $23.91 |
2021-06-01 |
PLBY Group, Inc.
(PLBY) |
Fortress Investment Group LLC
(See Remarks) |
124809 (S) $43.91 |
2021-06-01 |
PennyMac Financial Services, Inc.
(PFSI) |
MFN Partners, LP
(Director) |
46990 (B) $62.67 |
2021-06-01 |
Goal Acquisitions Corp.
(PUCKU) |
GLAZER CAPITAL, LLC
(10% owner) |
1281 (S) $10.20 |
2021-06-01 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
4000 (B) $16.04 |
2021-06-01 |
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
4000 (B) $16.04 |
2021-06-01 |
Altice USA, Inc.
(ATUS) |
Soroban Opportunities Master Fund LP
(10% owner) |
4000000 (S) $35.22 |
2021-06-01 |
PROGENITY, INC.
(PROG) |
Athyrium Capital Management, LP
(10% owner) |
1268115 (B) $2.86 |
2021-06-01 |
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
520700 (S) $0.68 |
2021-06-01 |
REVIVA PHARMACEUTICALS HOLDINGS, INC.
(RVPH) |
VEDANTA PARTNERS, LLC
(10% owner) |
1330000 (B) $3.75 |
2021-06-01 |
Thrivent Church Loan & Income Fund
(XCLIX) |
Johnson Frederick P
(Portfolio Manager) |
9 (B) $10.68 |
2021-06-01 |
Sprague Resources LP
(SRLP) |
Sprague Resources Holdings LLC
(Director by Deputization) |
16058484 (S) $16.50 |
2021-05-28 |
Harpoon Therapeutics, Inc.
(HARP) |
GADICKE ANSBERT
(10% owner) |
57494 (S) $21.27 |
2021-05-28 |
JOINT Corp
(JYNT) |
Bandera Partners LLC
(See Footnote 1) |
369313 (S) $71.57 |
2021-05-28 |
Neuberger Berman Next Generation Connectivity Fund Inc.
(NBXG) |
MORRISS GEORGE W
(Other) |
5000 (B) $20.00 |
2021-05-27 |
Bluerock Total Income (plus) Real Estate Fund
(TIPWX) |
Emala Jason
(Secretary) |
2415 (B) $31.05 |
2021-05-27 |