|
KKR Real Estate Finance Trust Inc.
(KREF) |
KKR REFT Holdings L.P.
(Other) |
750000 (S) $20.07 |
2021-05-27 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President & CEO) |
675 (B) $2.71 |
2021-05-27 |
|
Atlantic Avenue Acquisition Corp
(ASAQ) |
GLAZER CAPITAL, LLC
(10% owner) |
12500 (S) $10.00 |
2021-05-27 |
|
Oaktree Specialty Lending Corp
(OCSL) |
TANNENBAUM LEONARD M
(10% owner) |
281287 (S) $6.73 |
2021-05-27 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
520700 (S) $0.60 |
2021-05-26 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
121000 (S) $14.35 |
2021-05-26 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.68 |
2021-05-26 |
|
89bio, Inc.
(ETNB) |
RA CAPITAL MANAGEMENT, L.P.
(10% owner) |
207417 (B) $18.52 |
2021-05-26 |
|
California Resources Corp
(CRC) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
298772 (S) $29.59 |
2021-05-26 |
|
PLBY Group, Inc.
(PLBY) |
Fortress Investment Group LLC
(Other) |
343284 (S) $45.02 |
2021-05-26 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
MILLER DAVID N
(Director) |
592 (B) $21.05 |
2021-05-26 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
MS Credit Partners Holdings Inc.
(10% owner) |
473786 (B) $21.05 |
2021-05-26 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
Metz Adam S
(Director) |
2369 (B) $21.05 |
2021-05-26 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
Binstock Joan
(Director) |
4279 (B) $21.05 |
2021-05-26 |
|
PennyMac Financial Services, Inc.
(PFSI) |
MFN Partners, LP
(Director) |
12842 (B) $61.49 |
2021-05-26 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
FRANK BRUCE D
(Director) |
118 (B) $21.05 |
2021-05-26 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
Levin Jeffrey
(CEO and President) |
2369 (B) $21.05 |
2021-05-26 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
Shannon Kevin
(Director) |
5827 (B) $21.05 |
2021-05-26 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
Rathi Venugopal
(Chief Finanacial Officer) |
236 (B) $21.05 |
2021-05-26 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.71 |
2021-05-25 |
|
Cricut, Inc.
(CRCT) |
Abdiel Capital Management, LLC
(10% owner) |
230000 (B) $30.63 |
2021-05-25 |
|
BlackRock Capital Allocation Trust
(BCAT) |
Rieder Richard M
(Portfolio Manager) |
19363 (B) $20.47 |
2021-05-25 |
|
Neuberger Berman Next Generation Connectivity Fund Inc.
(NBXG) |
Cosgrove Michael J.
(Other) |
1000 (B) $20.00 |
2021-05-25 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
7000 (B) $15.62 |
2021-05-25 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
7000 (B) $15.62 |
2021-05-25 |
|
Jounce Therapeutics, Inc.
(JNCE) |
Third Rock Ventures II, L.P.
(10% owner) |
552520 (S) $8.00 |
2021-05-25 |
|
Revolution Medicines, Inc.
(RVMD) |
Third Rock Ventures II, L.P.
(10% owner) |
1366204 (S) $30.73 |
2021-05-25 |
|
Clough Global Dividend & Income Fund
(GLV) |
Versaci Vincent W
(Trustee) |
150 (B) $11.22 |
2021-05-25 |
|
Clough Global Opportunities Fund
(GLO) |
Versaci Vincent W
(Trustee) |
150 (B) $12.15 |
2021-05-25 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
1100 (B) $8.83 |
2021-05-24 |
|
PennyMac Financial Services, Inc.
(PFSI) |
MFN Partners, LP
(Director) |
187870 (B) $62.18 |
2021-05-24 |
|
PhenixFIN Corp
(PFX) |
Hirtler-Garvey Karin
(Other) |
700 (B) $40.14 |
2021-05-24 |
|
PhenixFIN Corp
(PFX) |
ROBINSON LOWELL W
(Other) |
75 (B) $40.35 |
2021-05-24 |
|
RENN Fund, Inc.
(RCG) |
Williams Alun
(Treasurer) |
100 (B) $2.71 |
2021-05-24 |
|
Nautilus Biotechnology, Inc.
(NAUT) |
PERCEPTIVE ADVISORS LLC
(Former Director) |
8421176 (B) $6.68 |
2021-05-24 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,540.00 |
2021-05-21 |
|
MainStay MacKay DefinedTerm Municipal Opportunities Fund
(MMD) |
Hung Yie-Hsin
(Director) |
400 (B) $22.39 |
2021-05-21 |
|
Clough Global Equity Fund
(GLQ) |
Hearle Michael Jason
(Person affiliated with Inv Adv) |
200 (B) $15.39 |
2021-05-21 |
|
Clough Global Opportunities Fund
(GLO) |
Hearle Michael Jason
(Person affiliated with Inv Adv) |
300 (B) $12.78 |
2021-05-21 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.73 |
2021-05-21 |
|
Relative Value Fund
(VFLEX) |
Sternberg David A
(CEO OF ADVISER) |
492 (B) $26.74 |
2021-05-21 |
|
Rain Therapeutics Inc.
(RAIN) |
BVF PARTNERS L P/IL
(See Remarks) |
123347 (B) $15.92 |
2021-05-21 |
|
Purple Innovation, Inc.
(PRPL) |
Coliseum Capital Management, LLC
(10% owner) |
7308792 (S) $30.00 |
2021-05-21 |
|
Rosecliff Acquisition Corp I
(RCLFU) |
GLAZER CAPITAL, LLC
(10% owner) |
1125 (S) $9.89 |
2021-05-21 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
6677 (B) $15.54 |
2021-05-21 |
|
Quest Resource Holding Corp
(QRHC) |
WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
(10% owner) |
110030 (B) $4.47 |
2021-05-21 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
140000 (S) $14.37 |
2021-05-20 |
|
Cricut, Inc.
(CRCT) |
Abdiel Capital Management, LLC
(10% owner) |
253674 (B) $27.99 |
2021-05-20 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
740997 (S) $0.60 |
2021-05-20 |
|
Calamos Long/Short Equity & Dynamic Income Trust
(CPZ) |
CALAMOS JOHN P SR
(President and Chairman) |
40486 (B) $20.71 |
2021-05-20 |
|
TEMPLETON GLOBAL INCOME FUND
(GIM) |
Saba Capital Management, L.P.
(10% owner) |
50000 (B) $5.54 |
2021-05-20 |
|
Clough Global Dividend & Income Fund
(GLV) |
Clough Capital Partners, L.P.
(Investment Adviser of Fund) |
10000 (B) $12.02 |
2021-05-19 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,514.71 |
2021-05-19 |
|
Esperion Therapeutics, Inc.
(ESPR) |
BIOTECH TARGET N V
(10% owner) |
200000 (B) $20.37 |
2021-05-19 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
10000 (B) $15.45 |
2021-05-19 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
10000 (B) $15.45 |
2021-05-19 |
|
Squarespace, Inc.
(SQSP) |
Index Ventures Growth I (Jersey) L.P.
(10% owner) |
194606 (S) $48.00 |
2021-05-19 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
140840 (S) $14.25 |
2021-05-18 |
|
Rain Therapeutics Inc.
(RAIN) |
BVF PARTNERS L P/IL
(See Remarks) |
208465 (B) $16.27 |
2021-05-18 |
|
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
36000 (S) $5.78 |
2021-05-18 |
|
PennyMac Financial Services, Inc.
(PFSI) |
MFN Partners, LP
(Director) |
120960 (B) $60.84 |
2021-05-18 |
|
Oxford Square Capital Corp.
(OXSQ) |
NOVAK STEVEN P
(Director) |
10000 (B) $4.88 |
2021-05-18 |
|
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
1476 (S) $23.56 |
2021-05-18 |
|
Macquarie Global Infrastructure Total Return Fund Inc.
(MGU) |
Frishberg Brad
(Portfolio Manager) |
3083 (S) $23.55 |
2021-05-17 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
10000 (B) $15.31 |
2021-05-17 |
|
PhenixFIN Corp
(PFX) |
ROBINSON LOWELL W
(Other) |
75 (B) $38.01 |
2021-05-17 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
1041400 (S) $0.66 |
2021-05-17 |
|
CREDIT SUISSE ASSET MANAGEMENT INCOME FUND INC
(CIK) |
Flannery Thomas J.
(Chief Investment Officer) |
83532 (S) $3.52 |
2021-05-17 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,688.17 |
2021-05-14 |
|
Marquee Raine Acquisition Corp.
(MRAC) |
Weiss Asset Management LP
(10% owner) |
150000 (S) $9.86 |
2021-05-14 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
86000 (S) $14.18 |
2021-05-14 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President & CEO) |
675 (B) $2.66 |
2021-05-14 |
|
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
2200 (S) $23.12 |
2021-05-14 |
|
Syneos Health, Inc.
(SYNH) |
THOMAS H. LEE ADVISORS, LLC
(Other) |
379878 (S) $81.04 |
2021-05-14 |
|
RiverNorth Flexible Municipal Income Fund II, Inc.
(RFMZ) |
HUTCHENS JOHN WAYNE
(Director) |
2400 (B) $20.21 |
2021-05-14 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,657.24 |
2021-05-13 |
|
KKR Real Estate Finance Trust Inc.
(KREF) |
KKR REFT Holdings L.P.
(Other) |
5000000 (S) $20.07 |
2021-05-13 |
|
Owl Rock Capital Corp III
(N/A) |
Kirshenbaum Alan
(COO) |
367880 (B) $14.74 |
2021-05-13 |
|
Owl Rock Capital Corp III
(N/A) |
Ostrover Douglas I
(Director) |
367880 (B) $14.74 |
2021-05-13 |
|
Owl Rock Capital Corp III
(N/A) |
Packer Craig
(CEO and President) |
367880 (B) $14.74 |
2021-05-13 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
426 (B) $8.27 |
2021-05-13 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.60 |
2021-05-13 |
|
Harpoon Therapeutics, Inc.
(HARP) |
GADICKE ANSBERT
(10% owner) |
16421 (S) $20.06 |
2021-05-13 |
|
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
31230 (S) $5.87 |
2021-05-13 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
11902 (B) $15.08 |
2021-05-13 |
|
Ingersoll Rand Inc.
(IR) |
KKR Group Partnership L.P.
(Other) |
15000000 (S) $24.29 |
2021-05-13 |
|
Ingersoll Rand Inc.
(IR) |
KKR Renaissance Aggregator L.P.
(Other) |
15000000 (S) $24.29 |
2021-05-13 |
|
Rain Therapeutics Inc.
(RAIN) |
BVF PARTNERS L P/IL
(See Remarks) |
58000 (B) $14.26 |
2021-05-13 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
2421 (B) $8.33 |
2021-05-12 |
|
TCG BDC, INC.
(CGBD) |
Jenkins Mark David
(Director) |
11500 (B) $13.12 |
2021-05-12 |
|
MainStay MacKay DefinedTerm Municipal Opportunities Fund
(MMD) |
PHLEGAR JEFFREY S
(CEO of Subadvisor) |
2500 (S) $22.87 |
2021-05-12 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.59 |
2021-05-12 |
|
PennyMac Financial Services, Inc.
(PFSI) |
MFN Partners, LP
(Director) |
369324 (B) $57.95 |
2021-05-12 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
30616 (B) $5.32 |
2021-05-12 |
|
PROSPECT CAPITAL CORP
(PSEC) |
Stark Eugene S
(Director) |
2000 (B) $7.78 |
2021-05-12 |
|
Bain Capital Specialty Finance, Inc.
(BCSF) |
Richer Clare Stack
(Director) |
1563 (B) $15.90 |
2021-05-11 |
|
Barings BDC, Inc.
(BBDC) |
McDonnell Thomas
(Vice President) |
2000 (B) $10.39 |
2021-05-11 |
|
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
24000 (S) $6.17 |
2021-05-11 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,727.98 |
2021-05-11 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.57 |
2021-05-11 |