|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
15509 (B) $14.95 |
2021-05-11 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
15509 (B) $14.95 |
2021-05-11 |
|
Sixth Street Specialty Lending, Inc.
(TSLX) |
HIGGINBOTHAM RICHARD A
(Director) |
5000 (B) $21.88 |
2021-05-11 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
4156 (B) $8.39 |
2021-05-10 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,750.57 |
2021-05-10 |
|
SURO CAPITAL CORP.
(SSSS) |
Klein Mark D
(CEO and President) |
6738 (B) $14.68 |
2021-05-10 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.69 |
2021-05-10 |
|
Harpoon Therapeutics, Inc.
(HARP) |
GADICKE ANSBERT
(10% owner) |
68262 (S) $21.45 |
2021-05-10 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
55878 (B) $5.33 |
2021-05-10 |
|
PIMCO Energy & Tactical Credit Opportunities Fund
(NRGX) |
STRACKE THIBAULT CHRISTIAN
(SEE REMARKS) |
14050 (B) $11.18 |
2021-05-10 |
|
Ping Identity Holding Corp.
(PING) |
VEP Group, LLC
(10% owner) |
5746985 (S) $23.60 |
2021-05-10 |
|
Nuveen Floating Rate Income Opportunity Fund
(JRO) |
Saba Capital Management, L.P.
(10% owner) |
57228 (S) $9.57 |
2021-05-10 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
43530 (S) $14.10 |
2021-05-10 |
|
Tarsus Pharmaceuticals, Inc.
(TARS) |
RTW INVESTMENTS, LP
(10% owner) |
450000 (S) $29.98 |
2021-05-07 |
|
Atlantic Avenue Acquisition Corp
(ASAQ) |
GLAZER CAPITAL, LLC
(10% owner) |
291 (S) $10.10 |
2021-05-07 |
|
MainStay MacKay DefinedTerm Municipal Opportunities Fund
(MMD) |
DIMELLA ROBERT A
(Portfolio Manager) |
9782 (S) $22.87 |
2021-05-07 |
|
Golub Capital BDC 3, Inc.
(N/A) |
Golub Lawrence E
(Chairman) |
76701 (B) $15.00 |
2021-05-07 |
|
Golub Capital BDC 3, Inc.
(N/A) |
Golub David
(President and CEO) |
76701 (B) $15.00 |
2021-05-07 |
|
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
4400 (S) $23.58 |
2021-05-07 |
|
Horizon Technology Finance Corp
(HRZN) |
Pomeroy Robert D. Jr.
(Chief Executive Officer) |
3100 (B) $16.35 |
2021-05-06 |
|
WELLS FARGO INCOME OPPORTUNITIES FUND
(EAD) |
Lee Christopher M
(Portfolio Manager) |
58 (B) $8.70 |
2021-05-06 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President & CEO) |
675 (B) $2.66 |
2021-05-06 |
|
VYNE Therapeutics Inc.
(VYNE) |
PERCEPTIVE ADVISORS LLC
(10% owner) |
1000000 (S) $3.67 |
2021-05-06 |
|
HYCROFT MINING HOLDING CORP
(HYMC) |
HIGHBRIDGE CAPITAL MANAGEMENT LLC
(10% owner) |
22722 (S) $4.04 |
2021-05-06 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,607.88 |
2021-05-06 |
|
Columbia Seligman Premium Technology Growth Fund, Inc.
(STK) |
Beckman Daniel
(Senior Vice President) |
325 (B) $33.13 |
2021-05-06 |
|
PQ Group Holdings Inc.
(PQG) |
CCMP Capital, LP
(10% owner) |
1224602 (S) $13.44 |
2021-05-05 |
|
PQ Group Holdings Inc.
(PQG) |
CCMP Capital, LP
(10% owner) |
1224602 (S) $13.44 |
2021-05-05 |
|
Harpoon Therapeutics, Inc.
(HARP) |
GADICKE ANSBERT
(10% owner) |
10172 (S) $22.80 |
2021-05-05 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,701.86 |
2021-05-05 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President & CEO) |
675 (B) $2.67 |
2021-05-05 |
|
SWISS HELVETIA FUND, INC.
(SWZ) |
SELL MORITZ A
(Director) |
2000 (S) $9.12 |
2021-05-05 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
578900 (S) $0.71 |
2021-05-05 |
|
Thryv Holdings, Inc.
(THRY) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
7555 (S) $28.39 |
2021-05-05 |
|
Oaktree Specialty Lending Corp
(OCSL) |
TANNENBAUM LEONARD M
(10% owner) |
100000 (S) $6.72 |
2021-05-05 |
|
Hercules Capital, Inc.
(HTGC) |
BADAVAS ROBERT P
(Director) |
20000 (S) $17.50 |
2021-05-04 |
|
DNP SELECT INCOME FUND INC
(DNP) |
Luecke Connie M
(VP & Chief Investment Officer) |
685 (B) $10.19 |
2021-05-04 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,637.95 |
2021-05-04 |
|
Horizon Technology Finance Corp
(HRZN) |
Michaud Gerald A.
(President) |
2500 (B) $16.19 |
2021-05-04 |
|
Rosecliff Acquisition Corp I
(RCLFU) |
GLAZER CAPITAL, LLC
(10% owner) |
75044 (S) $10.00 |
2021-05-04 |
|
Goal Acquisitions Corp.
(PUCKU) |
GLAZER CAPITAL, LLC
(10% owner) |
21900 (S) $10.16 |
2021-05-04 |
|
Slam Corp.
(SLAMU) |
GLAZER CAPITAL, LLC
(10% owner) |
149000 (S) $9.98 |
2021-05-04 |
|
OneMain Holdings, Inc.
(OMF) |
Hicks George G
(See Footnote (1)) |
1901638 (S) $51.76 |
2021-05-04 |
|
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Booth Richard Whitaker
(See Explanation of Responses) |
16 (B) $10.26 |
2021-05-03 |
|
PQ Group Holdings Inc.
(PQG) |
CCMP Capital, LP
(10% owner) |
8164010 (S) $13.44 |
2021-05-03 |
|
Hercules Capital, Inc.
(HTGC) |
CROWELL GAYLE A
(Director) |
377 (B) $17.50 |
2021-05-03 |
|
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Hall Bjorn
(See Explanation of Responses) |
29 (B) $10.26 |
2021-05-03 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
462500 (S) $0.66 |
2021-05-03 |
|
Privia Health Group, Inc.
(PRVA) |
Pamplona Capital Partners III, L.P.
(10% owner) |
16700000 (S) $21.62 |
2021-05-03 |
|
AB Multi-Manager Alternative Fund
(NA) |
McCloskey Michelle
(Director) |
1665 (B) $12.01 |
2021-05-03 |
|
Conversus StepStone Private Markets
(XPMIX) |
Menard Neil David
(Member of the Adviser) |
1229 (B) $33.99 |
2021-05-03 |
|
Forum CRE Income Fund
(N/A) |
Fisk Darren
(Chief Executive Officer) |
3146611 (B) $10.00 |
2021-05-03 |
|
Hamilton Lane Private Assets Fund
(N/A) |
Schardt Andrew
(President/Interested Trustee) |
9633 (B) $10.38 |
2021-05-01 |
|
TORTOISE ENERGY INDEPENDENCE FUND, INC.
(NDP) |
Aristides Capital LLC
(10% owner) |
193741 (S) $18.30 |
2021-04-30 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,540.15 |
2021-04-30 |
|
John Hancock GA Mortgage Trust
(N/A) |
Manufacturers Life Insurance Co (Bermuda Branch)
(10% owner) |
599204 (B) $20.86 |
2021-04-30 |
|
John Hancock GA Mortgage Trust
(N/A) |
Manulife (International) Ltd
(10% owner) |
599204 (B) $20.86 |
2021-04-30 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President & CEO) |
675 (B) $2.72 |
2021-04-30 |
|
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
500 (S) $22.95 |
2021-04-30 |
|
Virtus AllianzGI Convertible & Income Fund II
(NCZ) |
Drummond F Ford
(Director) |
1938 (B) $5.15 |
2021-04-29 |
|
Virtus AllianzGI Convertible & Income 2024 Target Term Fund
(CBH) |
Drummond F Ford
(Director) |
956 (B) $10.50 |
2021-04-29 |
|
Virtus AllianzGI Artificial Intelligence & Technology Opportunities Fund
(AIO) |
Drummond F Ford
(Director) |
360 (B) $27.80 |
2021-04-29 |
|
Virtus AllianzGI Equity & Convertible Income Fund
(NIE) |
Drummond F Ford
(Director) |
340 (B) $29.31 |
2021-04-29 |
|
Virtus AllianzGI Convertible & Income Fund
(NCV) |
Drummond F Ford
(Director) |
1715 (B) $5.81 |
2021-04-29 |
|
NUVEEN SENIOR INCOME FUND
(NSL) |
Caraher Scott C.
(Portfolio Manager) |
12000 (B) $5.57 |
2021-04-29 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,575.01 |
2021-04-29 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.71 |
2021-04-29 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
250000 (S) $0.68 |
2021-04-29 |
|
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
30081 (S) $7.13 |
2021-04-29 |
|
ADAMS DIVERSIFIED EQUITY FUND, INC.
(ADX) |
Kerns Janis F.
(V.P., General Counsel & CCO) |
6856 (B) $19.27 |
2021-04-29 |
|
ADAMS NATURAL RESOURCES FUND, INC.
(PEO) |
Kerns Janis F.
(V.P., General Counsel & CCO) |
1504 (B) $15.38 |
2021-04-29 |
|
Angel Oak Financial Strategies Income Term Trust
(FINS) |
Fierman Michael
(Investment Adviser Principal) |
15000 (S) $18.10 |
2021-04-29 |
|
BlackRock Capital Allocation Trust
(BCAT) |
Koesterich Russell Jared
(Portfolio Manager) |
2000 (B) $21.47 |
2021-04-29 |
|
Copper Property CTL Pass Through Trust
(N/A) |
Silver Point Capital L.P.
(10% owner) |
389393 (B) $18.08 |
2021-04-29 |
|
Rosecliff Acquisition Corp I
(RCLFU) |
GLAZER CAPITAL, LLC
(10% owner) |
1450 (S) $10.00 |
2021-04-29 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
19800 (B) $5.85 |
2021-04-29 |
|
Morphic Holding, Inc.
(MORF) |
Omega Fund V, L.P.
(Director) |
17158 (S) $54.69 |
2021-04-29 |
|
NUVEEN FLOATING RATE INCOME FUND
(JFR) |
Saba Capital Management, L.P.
(10% owner) |
9317 (S) $9.51 |
2021-04-29 |
|
Nuveen Floating Rate Income Opportunity Fund
(JRO) |
Saba Capital Management, L.P.
(10% owner) |
2151 (S) $9.40 |
2021-04-29 |
|
Nuveen Short Duration Credit Opportunities Fund
(JSD) |
Saba Capital Management, L.P.
(10% owner) |
15300 (S) $14.20 |
2021-04-29 |
|
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
3100 (S) $22.80 |
2021-04-29 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
77 (B) $7.65 |
2021-04-28 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,658.29 |
2021-04-28 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President & CEO) |
675 (B) $2.69 |
2021-04-28 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
108000 (S) $0.69 |
2021-04-28 |
|
Galileo Acquisition Corp.
(GLEO) |
GLAZER CAPITAL, LLC
(10% owner) |
322636 (S) $10.03 |
2021-04-28 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
187 (B) $7.60 |
2021-04-27 |
|
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
22460 (S) $7.25 |
2021-04-27 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,604.51 |
2021-04-27 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President & CEO) |
675 (B) $2.62 |
2021-04-27 |
|
Virtus AllianzGI Artificial Intelligence & Technology Opportunities Fund
(AIO) |
Rappaport Alan
(Director) |
1500 (B) $27.76 |
2021-04-27 |
|
Virtus AllianzGI Convertible & Income Fund II
(NCZ) |
Rappaport Alan
(Director) |
1000 (B) $5.15 |
2021-04-27 |
|
Virtus AllianzGI Convertible & Income 2024 Target Term Fund
(CBH) |
Rappaport Alan
(Director) |
1000 (B) $10.37 |
2021-04-27 |
|
Virtus AllianzGI Convertible & Income Fund
(NCV) |
Rappaport Alan
(Director) |
1000 (B) $5.86 |
2021-04-27 |
|
EAGLE CAPITAL GROWTH FUND, INC.
(GRF) |
Allen Jason W.
(Director) |
680 (B) $8.79 |
2021-04-27 |
|
Harpoon Therapeutics, Inc.
(HARP) |
GADICKE ANSBERT
(10% owner) |
130143 (S) $21.74 |
2021-04-27 |
|
Morphic Holding, Inc.
(MORF) |
Omega Fund V, L.P.
(Director) |
10704 (S) $55.56 |
2021-04-27 |
|
NUVEEN FLOATING RATE INCOME FUND
(JFR) |
Saba Capital Management, L.P.
(10% owner) |
201467 (S) $9.56 |
2021-04-27 |
|
Nuveen Short Duration Credit Opportunities Fund
(JSD) |
Saba Capital Management, L.P.
(10% owner) |
18376 (S) $14.16 |
2021-04-27 |
|
ADAMS DIVERSIFIED EQUITY FUND, INC.
(ADX) |
Kloppenburg Lauriann C
(Director) |
3000 (B) $19.16 |
2021-04-26 |