|
ADAMS NATURAL RESOURCES FUND, INC.
(PEO) |
Kloppenburg Lauriann C
(Director) |
4500 (B) $14.78 |
2021-04-26 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
112 (B) $7.57 |
2021-04-26 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,576.02 |
2021-04-26 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
369951 (S) $14.46 |
2021-04-26 |
|
ABERDEEN EMERGING MARKETS EQUITY INCOME FUND, INC.
(AEF) |
Porter Rahn K
(Director) |
5793 (B) $8.64 |
2021-04-26 |
|
BANCROFT FUND LTD
(BCV) |
GABELLI MARIO J
(Control Person of Adviser) |
1300 (S) $31.35 |
2021-04-26 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
520700 (S) $0.62 |
2021-04-26 |
|
HYCROFT MINING HOLDING CORP
(HYMC) |
HIGHBRIDGE CAPITAL MANAGEMENT LLC
(10% owner) |
30233 (S) $4.04 |
2021-04-26 |
|
Performant Financial Corp
(PFMT) |
PCP MANAGERS GP, LLC
(10% owner) |
1139824 (S) $3.40 |
2021-04-26 |
|
Rain Therapeutics Inc.
(RAIN) |
Davis Aaron I.
(10% owner) |
1175000 (B) $16.28 |
2021-04-23 |
|
DoubleVerify Holdings, Inc.
(DV) |
Providence VII U.S. Holdings L.P.
(10% owner) |
5992869 (S) $0.00 |
2021-04-23 |
|
Morphic Holding, Inc.
(MORF) |
Omega Fund V, L.P.
(Director) |
13818 (S) $56.33 |
2021-04-23 |
|
NUVEEN FLOATING RATE INCOME FUND
(JFR) |
Saba Capital Management, L.P.
(10% owner) |
102446 (S) $9.57 |
2021-04-23 |
|
Nuveen Short Duration Credit Opportunities Fund
(JSD) |
Saba Capital Management, L.P.
(10% owner) |
7057 (S) $14.18 |
2021-04-23 |
|
Voya PRIME RATE TRUST
(PPR) |
Saba Capital Management, L.P.
(10% owner) |
100000 (S) $4.59 |
2021-04-23 |
|
EQUUS TOTAL RETURN, INC.
(EQS) |
Atkinson Fraser
(Director) |
24202 (B) $1.89 |
2021-04-23 |
|
Rain Therapeutics Inc.
(RAIN) |
BVF PARTNERS L P/IL
(See Remarks) |
1133309 (B) $15.94 |
2021-04-23 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,467.00 |
2021-04-22 |
|
Stone Harbor Emerging Markets Income Fund
(EDF) |
MCLENDON HEATH B
(Trustee) |
135 (B) $8.45 |
2021-04-22 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
353729 (S) $14.30 |
2021-04-22 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.59 |
2021-04-22 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
1677 (B) $7.50 |
2021-04-21 |
|
Harpoon Therapeutics, Inc.
(HARP) |
GADICKE ANSBERT
(10% owner) |
8972 (S) $19.21 |
2021-04-21 |
|
Amplitude Healthcare Acquisition Corp
(AMHC) |
GLAZER CAPITAL, LLC
(10% owner) |
152883 (S) $9.92 |
2021-04-21 |
|
Thryv Holdings, Inc.
(THRY) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
13000 (S) $26.07 |
2021-04-21 |
|
HOOKIPA Pharma Inc.
(HOOK) |
SOFINNOVA CAPITAL VI FCPR
(10% owner) |
328620 (S) $11.60 |
2021-04-21 |
|
NUVEEN FLOATING RATE INCOME FUND
(JFR) |
Saba Capital Management, L.P.
(10% owner) |
25075 (S) $9.59 |
2021-04-21 |
|
Nuveen Floating Rate Income Opportunity Fund
(JRO) |
Saba Capital Management, L.P.
(10% owner) |
78765 (S) $9.44 |
2021-04-21 |
|
Nuveen Short Duration Credit Opportunities Fund
(JSD) |
Saba Capital Management, L.P.
(10% owner) |
19837 (S) $14.18 |
2021-04-21 |
|
Voya PRIME RATE TRUST
(PPR) |
Saba Capital Management, L.P.
(10% owner) |
128542 (S) $4.61 |
2021-04-21 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
1416 (B) $7.47 |
2021-04-20 |
|
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
24000 (S) $7.12 |
2021-04-20 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,467.66 |
2021-04-20 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.55 |
2021-04-20 |
|
GreenVision Acquisition Corp.
(GRNV) |
GLAZER CAPITAL, LLC
(10% owner) |
457390 (S) $10.16 |
2021-04-20 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
717 (B) $7.51 |
2021-04-19 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.60 |
2021-04-19 |
|
ABERDEEN EMERGING MARKETS EQUITY INCOME FUND, INC.
(AEF) |
Maher Bill
(Director) |
7000 (S) $8.59 |
2021-04-19 |
|
Amplitude Healthcare Acquisition Corp
(AMHC) |
GLAZER CAPITAL, LLC
(10% owner) |
2060 (S) $9.97 |
2021-04-19 |
|
Morphic Holding, Inc.
(MORF) |
Omega Fund V, L.P.
(Director) |
17874 (S) $54.64 |
2021-04-19 |
|
Nuveen Short Duration Credit Opportunities Fund
(JSD) |
Saba Capital Management, L.P.
(10% owner) |
21533 (S) $14.21 |
2021-04-19 |
|
RiverNorth Managed Duration Municipal Income Fund, Inc.
(RMM) |
O'Neill Stephen Andrew
(Portfolio Manager) |
5199 (S) $19.29 |
2021-04-19 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
310800 (S) $14.28 |
2021-04-19 |
|
DAXOR CORP
(DXR) |
Feldschuh Michael Richard
(CEO & President) |
4200 (B) $10.33 |
2021-04-16 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
421000 (S) $0.62 |
2021-04-16 |
|
Bally's Corp
(BALY) |
Standard General L.P.
(10% owner) |
909090 (S) $55.00 |
2021-04-16 |
|
Harpoon Therapeutics, Inc.
(HARP) |
GADICKE ANSBERT
(10% owner) |
38152 (S) $19.59 |
2021-04-16 |
|
Thryv Holdings, Inc.
(THRY) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
15000 (S) $25.63 |
2021-04-16 |
|
Goal Acquisitions Corp.
(PUCKU) |
GLAZER CAPITAL, LLC
(10% owner) |
20000 (S) $10.30 |
2021-04-16 |
|
Rosecliff Acquisition Corp I
(RCLFU) |
GLAZER CAPITAL, LLC
(10% owner) |
577 (S) $10.00 |
2021-04-16 |
|
NUVEEN FLOATING RATE INCOME FUND
(JFR) |
Saba Capital Management, L.P.
(10% owner) |
50834 (S) $9.63 |
2021-04-16 |
|
Voya PRIME RATE TRUST
(PPR) |
Saba Capital Management, L.P.
(10% owner) |
467673 (S) $4.62 |
2021-04-16 |
|
Harpoon Therapeutics, Inc.
(HARP) |
MPM BioVentures 2014, L.P.
(Former 10% Owner) |
4666 (S) $20.16 |
2021-04-15 |
|
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Booth Richard Whitaker
(See Explanation of Responses) |
17 (B) $10.00 |
2021-04-15 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
29 (B) $1,574.18 |
2021-04-15 |
|
John Hancock GA Mortgage Trust
(N/A) |
Manulife (International) Ltd
(10% owner) |
753798 (B) $20.92 |
2021-04-15 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
CSS LLC/IL
(10% owner) |
737 (B) $7.52 |
2021-04-15 |
|
John Hancock GA Mortgage Trust
(N/A) |
Manufacturers Life Insurance Co (Bermuda Branch)
(10% owner) |
261239 (B) $20.92 |
2021-04-15 |
|
John Hancock GA Mortgage Trust
(N/A) |
Manufacturers Life Reinsurance Ltd
(10% owner) |
1126382 (B) $20.92 |
2021-04-15 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President & CEO) |
675 (B) $2.55 |
2021-04-15 |
|
Stonemor Inc.
(STON) |
Axelrod Andrew
(10% owner) |
5522732 (B) $2.20 |
2021-04-14 |
|
Barings Capital Investment Corp
(N/A) |
Alberta Investment Management Corp
(10% owner) |
512301 (B) $21.99 |
2021-04-14 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
37 (B) $1,613.00 |
2021-04-14 |
|
GRAN TIERRA ENERGY INC.
(GTE) |
GMT CAPITAL CORP
(10% owner) |
720700 (S) $0.68 |
2021-04-14 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
204 (B) $6.74 |
2021-04-14 |
|
NUVEEN FLOATING RATE INCOME FUND
(JFR) |
Saba Capital Management, L.P.
(10% owner) |
87152 (S) $9.64 |
2021-04-14 |
|
Nuveen Floating Rate Income Opportunity Fund
(JRO) |
Saba Capital Management, L.P.
(10% owner) |
29273 (S) $9.52 |
2021-04-14 |
|
Nuveen Short Duration Credit Opportunities Fund
(JSD) |
Saba Capital Management, L.P.
(10% owner) |
9945 (S) $14.23 |
2021-04-14 |
|
Oaktree Specialty Lending Corp
(OCSL) |
TANNENBAUM LEONARD M
(10% owner) |
174800 (S) $6.61 |
2021-04-14 |
|
Voya PRIME RATE TRUST
(PPR) |
Saba Capital Management, L.P.
(10% owner) |
252997 (S) $4.64 |
2021-04-14 |
|
Hayward Holdings, Inc.
(HAYW) |
CCMP Capital, LP
(10% owner) |
1120044 (S) $16.07 |
2021-04-13 |
|
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Booth Richard Whitaker
(See Explanation of Responses) |
8 (B) $10.00 |
2021-04-13 |
|
Spark Networks SE
(LOV) |
Canaan VIII LP
(10% owner) |
20000 (S) $7.07 |
2021-04-13 |
|
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Hall Bjorn
(See Explanation of Responses) |
15 (B) $10.00 |
2021-04-13 |
|
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Jenkins Brandon T.
(See Explanation of Responses) |
1 (B) $10.00 |
2021-04-13 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
37 (B) $1,540.64 |
2021-04-13 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
68478 (S) $14.15 |
2021-04-13 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.57 |
2021-04-13 |
|
BLACKROCK MUNIENHANCED FUND, INC.
(MEN) |
Perlowski John
(See Remarks) |
9 (S) $12.03 |
2021-04-13 |
|
BLACKROCK MUNIYIELD NEW JERSEY FUND, INC.
(MYJ) |
Perlowski John
(See Remarks) |
1754 (S) $14.99 |
2021-04-13 |
|
NantHealth, Inc.
(NH) |
SOON-SHIONG PATRICK
(Chief Executive Officer) |
1689189 (B) $2.96 |
2021-04-13 |
|
GMS Inc.
(GMS) |
Coliseum Capital Management, LLC
(10% owner) |
121210 (B) $43.45 |
2021-04-13 |
|
Epsilon Energy Ltd.
(EPSN) |
Solas Capital Management, LLC
(10% owner) |
8694 (S) $3.60 |
2021-04-13 |
|
Harpoon Therapeutics, Inc.
(HARP) |
GADICKE ANSBERT
(10% owner) |
38556 (S) $20.16 |
2021-04-13 |
|
Galileo Acquisition Corp.
(GLEO) |
GLAZER CAPITAL, LLC
(10% owner) |
244 (S) $10.05 |
2021-04-13 |
|
Rosecliff Acquisition Corp I
(RCLFU) |
GLAZER CAPITAL, LLC
(10% owner) |
40365 (S) $9.99 |
2021-04-13 |
|
Goal Acquisitions Corp.
(PUCKU) |
GLAZER CAPITAL, LLC
(10% owner) |
128211 (S) $10.30 |
2021-04-13 |
|
Morphic Holding, Inc.
(MORF) |
Omega Fund V, L.P.
(Director) |
20936 (S) $57.49 |
2021-04-13 |
|
Outset Medical, Inc.
(OM) |
Warburg Pincus X, L.P.
(Other) |
3890723 (S) $50.83 |
2021-04-13 |
|
BLACKROCK MUNIYIELD INVESTMENT FUND
(MYF) |
TD SECURITIES (USA) LLC
(Other) |
594 (S) $100,000.00 |
2021-04-13 |
|
RIVERNORTH OPPORTUNITIES FUND, INC.
(RIV) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Subadviser) |
5000 (S) $17.47 |
2021-04-13 |
|
TCW STRATEGIC INCOME FUND INC
(TSI) |
Landmann Laird
(Portfolio Manager) |
3343 (B) $5.65 |
2021-04-12 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
37 (B) $1,598.38 |
2021-04-12 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.59 |
2021-04-12 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
Binstock Joan
(Director) |
1069 (B) $20.65 |
2021-04-12 |
|
Virgin Galactic Holdings, Inc
(SPCE) |
Virgin Investments Ltd
(10% owner) |
5584000 (S) $27.44 |
2021-04-12 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
FRANK BRUCE D
(Director) |
178 (B) $20.65 |
2021-04-12 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
Levin Jeffrey
(CEO and President) |
3563 (B) $20.65 |
2021-04-12 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
MILLER DAVID N
(Director) |
890 (B) $20.65 |
2021-04-12 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
MS Credit Partners Holdings Inc.
(10% owner) |
712564 (B) $20.65 |
2021-04-12 |