|
FIGS, Inc.
(FIGS) |
VIKING GLOBAL INVESTORS LP
(10% owner) |
200000 (S) $46.10 |
2021-09-02 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
18 (S) $1,359.74 |
2021-09-02 |
|
RENN Fund, Inc.
(RCG) |
STAHL MURRAY
(President and CEO) |
675 (B) $2.46 |
2021-09-02 |
|
AB Private Credit Investors Corp
(N/A) |
Sebastian Terry
(Director) |
|
2021-09-01 |
|
AB Private Credit Investors Corp
(N/A) |
Jordan John G.
(Director) |
|
2021-09-01 |
|
Cricut, Inc.
(CRCT) |
Abdiel Capital Management, LLC
(10% owner) |
90635 (B) $29.87 |
2021-09-01 |
|
Regional Management Corp.
(RM) |
BASSWOOD CAPITAL MANAGEMENT, L.L.C.
(Director-by-Deputization) |
5519 (S) $58.65 |
2021-09-01 |
|
RAPT Therapeutics, Inc.
(RAPT) |
COLUMN GROUP II, LP
(10% owner) |
68850 (S) $35.30 |
2021-09-01 |
|
E2open Parent Holdings, Inc.
(ETWO) |
Neuberger Berman Group LLC
(See remarks.) |
2452831 (B) $10.60 |
2021-09-01 |
|
FS KKR Capital Corp
(FSK) |
Hopkins Jerel A
(Director) |
840 (B) $23.15 |
2021-09-01 |
|
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Advisor) |
4123 (S) $24.03 |
2021-09-01 |
|
Nuveen Intermediate Duration Municipal Term Fund
(NID) |
ZIMMERMAN GIFFORD R
(CCO and Vice President) |
1500 (S) $14.92 |
2021-08-18 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
22 (B) $1,369.50 |
2021-08-18 |
|
PIMCO Energy & Tactical Credit Opportunities Fund
(NRGX) |
STRACKE THIBAULT CHRISTIAN
(SEE REMARKS) |
10000 (B) $11.58 |
2021-08-18 |
|
Cohen & Steers Tax-Advantaged Preferred Securities & Income Fund
(PTA) |
Zaharis-Nikas Elaine
(Vice President) |
4000 (B) $25.54 |
2021-08-17 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
6102 (B) $7.20 |
2021-08-17 |
|
Repare Therapeutics Inc.
(RPTX) |
ORBIMED ADVISORS LLC
(Director) |
20328 (S) $34.05 |
2021-08-17 |
|
Regional Management Corp.
(RM) |
BASSWOOD CAPITAL MANAGEMENT, L.L.C.
(Director-by-Deputization) |
6645 (S) $56.58 |
2021-08-17 |
|
FS KKR Capital Corp
(FSK) |
Ford Brian R.
(Director) |
1731 (B) $22.72 |
2021-08-12 |
|
TORTOISE PIPELINE & ENERGY FUND, INC.
(TTP) |
BIRZER H KEVIN
(Director) |
100 (B) $23.29 |
2021-08-12 |
|
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
2200 (S) $24.49 |
2021-08-11 |
|
FS KKR Capital Corp
(FSK) |
IMASOGIE OSAGIE O
(Director) |
39825 (B) $22.74 |
2021-08-11 |
|
ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND
(AFB) |
TURNER MARSHALL C
(Director) |
2000 (B) $14.98 |
2021-08-10 |
|
SpringWorks Therapeutics, Inc.
(SWTX) |
Bain Capital Life Sciences Investors, LLC
(10% owner) |
1000000 (S) $70.25 |
2021-08-10 |
|
Virgin Galactic Holdings, Inc
(SPCE) |
Virgin Investments Ltd
(10% owner) |
10473766 (S) $26.88 |
2021-08-10 |
|
Biglari Holdings Inc.
(BH) |
BIGLARI, SARDAR
(Chairman and CEO) |
14555 (B) $678.69 |
2021-08-10 |
|
Goldman Sachs Private Middle Market Credit II LLC
(N/A) |
Walter Jordan
(See Remarks) |
41 (B) $96.44 |
2021-08-06 |
|
Goldman Sachs Private Middle Market Credit II LLC
(N/A) |
Mastropaolo Michael
(See Remarks) |
29 (B) $96.44 |
2021-08-06 |
|
California Resources Corp
(CRC) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
168939 (S) $30.21 |
2021-08-06 |
|
Goldman Sachs Private Middle Market Credit II LLC
(N/A) |
Yoder, Jon
(Chief Operating Officer) |
41 (B) $96.44 |
2021-08-06 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
4306 (B) $6.42 |
2021-08-02 |
|
BlackRock Innovation & Growth Trust
(BIGZ) |
Ruvinsky Philip Henry
(Portfolio Manager) |
100 (B) $19.19 |
2021-08-02 |
|
Relative Value Fund
(VFLAX) |
Vivaldi Holdings LLC
(100% OWNER OF ADVISER) |
36 (B) $27.29 |
2021-08-02 |
|
BiomX Inc.
(PHGE) |
OrbiMed Israel BioFund GP Limited Partnership
(10% owner) |
500000 (B) $0.00 |
2021-07-28 |
|
Morgan Stanley Direct Lending Fund
(N/A) |
Metz Adam S
(Director) |
3826 (B) $20.93 |
2021-07-16 |
|
Performant Financial Corp
(PFMT) |
PCP MANAGERS GP, LLC
(10% owner) |
76881 (S) $4.74 |
2021-07-16 |
|
Cricut, Inc.
(CRCT) |
Abdiel Capital Management, LLC
(10% owner) |
123291 (B) $33.48 |
2021-07-15 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
5762 (B) $5.96 |
2021-07-15 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
27 (B) $1,615.84 |
2021-07-01 |
|
Larimar Therapeutics, Inc.
(LRMR) |
Flynn James E
(* Director by Deputization) |
685710 (B) $8.75 |
2021-06-30 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(Possible Member of 10% Group) |
8130 (B) $6.08 |
2021-06-30 |
|
Clough Global Dividend & Income Fund
(GLV) |
McNally Kevin Joseph
(Trustee) |
3000 (S) $11.12 |
2021-06-30 |
|
TEMPLETON GLOBAL INCOME FUND
(GIM) |
Saba Capital Management, L.P.
(10% owner) |
586946 (B) $5.62 |
2021-06-29 |
|
Oxford Lane Capital Corp.
(OXLC) |
Eagle Point Credit Management LLC
(10% owner) |
14321 (S) $25.03 |
2021-06-29 |
|
Fintech Acquisition Corp V
(FTCV) |
Luxor Capital Group, LP
(Other) |
809039 (B) $12.18 |
2021-06-29 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
27 (B) $1,552.94 |
2021-06-28 |
|
Owl Rock Technology Finance Corp.
(N/A) |
DAlelio Edward H
(Director) |
4356 (B) $16.62 |
2021-06-25 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
28 (B) $1,576.09 |
2021-06-25 |
|
LifeStance Health Group, Inc.
(LFST) |
TPG Group Holdings (SBS) Advisors, Inc.
(10% owner) |
4371905 (S) $17.01 |
2021-06-25 |
|
California Resources Corp
(CRC) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
1193081 (S) $33.38 |
2021-06-25 |
|
Fintech Acquisition Corp V
(FTCV) |
Luxor Capital Group, LP
(Other) |
107139 (B) $12.13 |
2021-06-25 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
10000 (B) $15.59 |
2021-06-25 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
10000 (B) $15.59 |
2021-06-25 |
|
LifeStance Health Group, Inc.
(LFST) |
Silversmith Partners I GP, LLC
(Member of 10% Group) |
487391 (S) $17.01 |
2021-06-25 |
|
LifeStance Health Group, Inc.
(LFST) |
SUMMIT PARTNERS L P
(Manager of GP of 10% owner) |
1140704 (S) $17.01 |
2021-06-25 |
|
LifeStance Health Group, Inc.
(LFST) |
Summit Partners Growth Equity Fund IX-A, L.P.
(10% owner) |
1140704 (S) $17.01 |
2021-06-25 |
|
Performant Financial Corp
(PFMT) |
PCP MANAGERS GP, LLC
(10% owner) |
44098 (S) $3.74 |
2021-06-25 |
|
Fintech Acquisition Corp V
(FTCV) |
Luxor Capital Group, LP
(Other) |
123945 (B) $12.26 |
2021-06-24 |
|
ADAMS DIVERSIFIED EQUITY FUND, INC.
(ADX) |
Escherich Frederic A
(Director) |
20013 (S) $19.62 |
2021-06-24 |
|
GMS Inc.
(GMS) |
Coliseum Capital Management, LLC
(10% owner) |
293740 (B) $46.77 |
2021-06-24 |
|
Oxford Lane Capital Corp.
(OXLC) |
Eagle Point Credit Management LLC
(10% owner) |
112598 (S) $25.07 |
2021-06-24 |
|
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
RIVERNORTH CAPITAL MANAGEMENT, LLC
(Adviser) |
1201 (S) $23.73 |
2021-06-24 |
|
Nuveen Mortgage & Income Fund/MA/
(JLS) |
Parekh Aashh
(Portfolio Manager) |
360 (B) $20.85 |
2021-06-23 |
|
Capitala Finance Corp.
(CPTA) |
Carroll Larry W.
(Director) |
2000 (B) $24.80 |
2021-06-23 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
28 (B) $1,607.88 |
2021-06-23 |
|
TEMPLETON GLOBAL INCOME FUND
(GIM) |
Saba Capital Management, L.P.
(10% owner) |
14649 (B) $5.55 |
2021-06-23 |
|
California Resources Corp
(CRC) |
ARES MANAGEMENT LLC
(10% owner) |
203867 (S) $32.06 |
2021-06-23 |
|
Cricut, Inc.
(CRCT) |
Abdiel Capital Management, LLC
(10% owner) |
894793 (B) $33.47 |
2021-06-23 |
|
California Resources Corp
(CRC) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
229471 (S) $32.92 |
2021-06-23 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub David
(Chief Executive Officer) |
10000 (B) $15.60 |
2021-06-23 |
|
Tarsus Pharmaceuticals, Inc.
(TARS) |
Vivo Capital IX, LLC
(10% owner) |
55684 (S) $29.77 |
2021-06-23 |
|
RiverNorth Flexible Municipal Income Fund, Inc.
(RFM) |
DIMELLA ROBERT A
(Portfolio Manager) |
3855 (S) $23.94 |
2021-06-22 |
|
RiverNorth Opportunistic Municipal Income Fund, Inc.
(RMI) |
DIMELLA ROBERT A
(Portfolio Manager) |
7651 (S) $23.25 |
2021-06-22 |
|
NexPoint Strategic Opportunities Fund
(NHF) |
DONDERO JAMES D
(See Remarks) |
6593 (B) $14.28 |
2021-06-22 |
|
Miller/Howard High Income Equity Fund
(HIE) |
Saba Capital Management, L.P.
(10% owner) |
9047 (B) $10.32 |
2021-06-22 |
|
California Resources Corp
(CRC) |
ARES MANAGEMENT LLC
(10% owner) |
180000 (S) $33.07 |
2021-06-21 |
|
California Resources Corp
(CRC) |
GOLDENTREE ASSET MANAGEMENT LP
(10% owner) |
405283 (S) $32.98 |
2021-06-21 |
|
Goldman Sachs Private Middle Market Credit II LLC
(N/A) |
Walter Jordan
(See Remarks) |
38 (B) $96.74 |
2021-06-21 |
|
Goldman Sachs Private Middle Market Credit II LLC
(N/A) |
Yu, David
(See Remarks) |
31 (B) $96.74 |
2021-06-21 |
|
Goldman Sachs Private Middle Market Credit II LLC
(N/A) |
Mastropaolo Michael
(See Remarks) |
27 (B) $96.74 |
2021-06-21 |
|
Performant Financial Corp
(PFMT) |
PCP MANAGERS GP, LLC
(10% owner) |
141099 (S) $3.30 |
2021-06-21 |
|
Tarsus Pharmaceuticals, Inc.
(TARS) |
Vivo Capital IX, LLC
(10% owner) |
201620 (S) $29.10 |
2021-06-21 |
|
Thrivent Church Loan & Income Fund
(XCLIX) |
Fragodt Brian D
(Director) |
280 (B) $10.68 |
2021-06-21 |
|
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
(DSE) |
Grumhaus David D Jr.
(Portfolio Manager) |
1710 (S) $9.37 |
2021-06-18 |
|
Nuveen AMT-Free Quality Municipal Income Fund
(NEA) |
ZIMMERMAN GIFFORD R
(CCO and Vice President) |
2056 (S) $15.54 |
2021-06-18 |
|
Ping Identity Holding Corp.
(PING) |
VEP Group, LLC
(10% owner) |
6000000 (S) $23.75 |
2021-06-17 |
|
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Staloch Alison
(See Explanation of Responses) |
2644 (B) $10.59 |
2021-06-17 |
|
NexPoint Strategic Opportunities Fund
(NHF) |
DONDERO JAMES D
(See Remarks) |
37635 (B) $14.26 |
2021-06-17 |
|
TCG BDC II, Inc.
(N/A) |
Fresno County Employees' Retirement Association
(10% owner) |
296763 (B) $0.00 |
2021-06-17 |
|
GOLUB CAPITAL BDC, Inc.
(GBDC) |
Golub Lawrence E
(Chairman) |
10000 (B) $15.46 |
2021-06-17 |
|
Texas Pacific Land Corp
(TPL) |
STAHL MURRAY
(Director) |
58 (B) $1,513.39 |
2021-06-17 |
|
TCG BDC II, Inc.
(N/A) |
Jenkins Mark David
(Director) |
396 (B) $0.00 |
2021-06-17 |
|
CBRE CLARION GLOBAL REAL ESTATE INCOME FUND
(IGR) |
Stam Heidi
(Director) |
2794 (B) $8.95 |
2021-06-16 |
|
Capitala Finance Corp.
(CPTA) |
Carroll Larry W.
(Director) |
3400 (B) $25.87 |
2021-06-16 |
|
Owl Rock Capital Corp
(ORCC) |
REGENTS OF THE UNIVERSITY OF CALIFORNIA
(Other) |
124437 (S) $14.91 |
2021-06-16 |
|
FS Credit Income Fund
(FCRIX) |
Forman Michael C.
(Chief Executive Officer) |
731529 (S) $13.67 |
2021-06-16 |
|
California Resources Corp
(CRC) |
ARES MANAGEMENT LLC
(10% owner) |
325000 (S) $32.06 |
2021-06-16 |
|
FS Credit Income Fund
(FCRIX) |
Adelman David J.
(10% owner) |
731529 (S) $13.67 |
2021-06-16 |
|
Lovesac Co
(LOVE) |
Satori Capital, LLC
(Affiliate of reporting person) |
7335 (S) $81.95 |
2021-06-16 |
|
Fundrise Real Estate Interval Fund, LLC
(N/A) |
Booth Richard Whitaker
(See Explanation of Responses) |
14 (B) $10.59 |
2021-06-15 |