NMFC - New Mountain Finance Corp - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	12	94	1	2	2	5	9	15	6
P	%wins				87	89	76	84	90	96	87
S	%ret	1	1	3	-1	0	0	2	12	0	4
S	%wins				100	33	33	0	0		33

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
11/22/24 17:25	11/20/24	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	1,029	11.56	0	89	1	9,525	I
11/20/24 16:49	11/18/24	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	1,161	11.58	0	100	1	9,466	I
11/18/24 16:30	11/14/24	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	1,121	11.55	0	97	1	9,399	I
11/14/24 16:29	11/12/24	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	1,756	11.53	0	152	2	9,295	I
11/12/24 16:05	11/8/24	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	2,165	11.30	0	192	2	9,194	I
11/8/24 16:17	11/6/24	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	2,302	10.94	0	210	2	9,105	I
11/8/24 16:16	11/6/24	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	DO	CEO,P,,D	P	454	10.92	0	42	13	352	D
11/6/24 16:57	11/4/24	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam B.	NY	DO	EVP,CAO,	P	489	10.87	0	45	9	553	D
11/6/24 16:56	11/4/24	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	1,859	10.70	0	174	2	8,965	I
11/6/24 16:55	11/4/24	NMFC	Fund	CEF	Closed-End Funds	Corbett Kris	NY	O	CFO,Trea	P	27	10.85	0	3	38	9	I
8/7/24 16:20	8/5/24	NMFC	Fund	CEF	Closed-End Funds	Corbett Kris	NY	O	CFO,Trea	P	76	11.72	0	7	New	7	I
6/11/24 16:26	6/7/24	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	44	12.62	0	4	2	166	D
4/24/24 17:25	4/22/24	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	DO	CEO,P,,D	S	-16	12.55	0	-1	0	255	D
8/4/23 17:00	7/27/23	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	D		S	0	12.86	0	0	0	561	D
5/15/23 16:08	5/11/23	NMFC	Fund	CEF	Closed-End Funds	Boswerger Laura Holson	NY	O	COO,CFO	P	178	11.89	0	15	44	49	D
3/21/23 14:19	3/17/23	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P	1,174	11.74	0	100	1	9,350	D
3/17/23 14:51	3/15/23	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	2,355	11.77	0	200	2	9,250	D
3/15/23 17:26	3/13/23	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	2,366	11.83	0	200	2	9,050	D
3/15/23 17:25	3/14/23	NMFC	Fund	CEF	Closed-End Funds	Arnold Rome G. III	NY	D		P	120	12.02	0	10	19	62	D
3/15/23 17:24	3/14/23	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	132	11.96	0	11	7	168	D
3/14/23 11:21	3/10/23	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	63	11.65	0	5	4	135	D
3/14/23 11:20	3/10/23	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	DO	CEO,P,,D	P	99	12.05	0	8	4	230	D
12/20/22 20:08	12/16/22	NMFC	Fund	CEF	Closed-End Funds	Arnold Rome G. III	NY	D		P	120	12.05	0	10	24	51	M
9/8/22 16:24	9/6/22	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	257	12.89	0	20	5	396	D
9/7/22 16:35	9/2/22	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	34	12.92	0	3	2	123	D
9/6/22 16:12	9/1/22	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P	0	12.90	0	0	0	8,850	I
6/17/22 16:32	6/15/22	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,Dir	P	233	11.63	0	20	4	527	D
6/14/22 16:00	6/13/22	NMFC	Fund	CEF	Closed-End Funds	Boswerger Laura Holson	NY	O	COO	P	49	12.23	0	4	15	31	D
5/26/22 16:21	5/24/22	NMFC	Fund	CEF	Closed-End Funds	Boswerger Laura Holson	NY	O	COO	P	49	12.31	0	4	17	27	D
5/24/22 16:17	5/23/22	NMFC	Fund	CEF	Closed-End Funds	Boswerger Laura Holson	NY	O	COO	P	50	12.49	0	4	21	23	D
5/23/22 11:18	5/20/22	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	312	12.50	0	25	7	366	D
5/20/22 17:31	5/20/22	NMFC	Fund	CEF	Closed-End Funds	Hartswell Joseph	NY	O	CCO,Corp	P	57	12.65	0	5	80	10	D
5/19/22 16:15	5/17/22	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	1,227	12.96	0	95	1	7,738	M
5/18/22 16:20	5/16/22	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P.m	20	12.87	0	2	1	118	D
5/18/22 16:17	5/16/22	NMFC	Fund	CEF	Closed-End Funds	Kajee Shiraz	NY	O	CFO	P	32	12.78	0	3	33	10	D
5/17/22 19:04	5/13/22	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	832	12.77	0	65	1	7,643	M
5/16/22 16:00	5/12/22	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	310	12.41	0	25	8	341	D
9/20/21 16:39	9/16/21	NMFC	Fund	CEF	Closed-End Funds	Arnold Rome G. III	NY	D		P	197	13.15	0	15	37	55	D
8/23/21 16:10	8/20/21	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	197	13.08	0	15	5	303	D
8/10/21 16:09	8/9/21	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	36	13.47	0	3	3	109	D
3/9/21 12:13	3/8/21	NMFC	Fund	CEF	Closed-End Funds	Handy Alice	NY	D		P	13	12.67	0	1	100	2	D
12/17/20 13:04	12/15/20	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	29	11.48	0	3	3	99	D
9/4/20 15:59	9/2/20	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P.m	467	9.91	0	47	20	287	D
8/24/20 10:25	8/20/20	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO	P	298	9.93	0	30	7	467	D
6/19/20 16:14	6/16/20	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	DO	P,COO	P	144	9.58	0	15	10	170	D
6/1/20 08:07	5/27/20	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P	255	9.38	0	27	0	8,690	I
5/27/20 16:45	5/22/20	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	2,497	9.15	0	273	3	8,663	M
5/18/20 19:14	5/14/20	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P	2,388	7.96	0	300	4	8,390	M
5/13/20 17:53	5/11/20	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	1,216	8.11	0	150	2	8,090	M
5/13/20 12:45	5/11/20	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P.m	269	7.69	0	35	17	239	D
5/13/20 12:15	5/13/20	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	162	8.08	0	20	28	92	D
3/13/20 17:35	3/12/20	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	349	9.96	0	35	21	204	D
3/13/20 12:28	3/12/20	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	3	9.79	0	0	6	6	D
3/11/20 14:02	3/9/20	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	286	11.45	0	25	17	169	D
3/10/20 16:16	3/9/20	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO	P	238	11.89	0	20	5	421	D
3/4/20 18:14	3/2/20	NMFC	Fund	CEF	Closed-End Funds	Arnold Rome G. III	NY	D		P	30	12.91	0	2	13	20	D
3/4/20 14:26	3/2/20	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	42	13.02	0	3	2	134	D
3/4/20 14:24	3/2/20	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	8	12.85	0	1	11	6	D
3/4/20 14:23	3/2/20	NMFC	Fund	CEF	Closed-End Funds	Handy Alice	NY	D		P	13	12.98	0	1	New	1	D
12/5/19 06:11	12/2/19	NMFC	Fund	CEF	Closed-End Funds	Arnold Rome G. III	NY	D		P	81	13.57	0	6	52	18	D
11/18/19 16:06	11/14/19	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	5	13.35	0	0	8	5	D
10/25/19 16:22	10/23/19	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P	4,704	13.25	0	355	5	7,940	D
10/25/19 16:17	10/23/19	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	199	13.25	0	15	12	143	D
10/25/19 13:52	10/23/19	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO	P	265	13.25	0	20	5	396	D
10/25/19 13:41	10/23/19	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P	133	13.25	0	10	8	139	D
9/11/19 18:20	9/9/19	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P	101	13.52	0	8	6	126	D
8/14/19 16:04	8/14/19	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	7	13.30	0	1	12	5	D
8/14/19 15:11	8/13/19	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	25	13.48	0	2	3	66	D
8/13/19 17:53	8/12/19	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	125	13.34	0	9	8	128	D
8/13/19 15:47	8/12/19	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	7	13.25	0	1	13	4	D
8/13/19 10:50	8/12/19	NMFC	Fund	CEF	Closed-End Funds	Kajee Shiraz	NY	O	CFO	P	33	13.38	0	3	50	8	D
3/11/19 15:21	3/8/19	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	21	13.41	0	2	1	125	D
12/19/18 21:06	12/17/18	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P	2,277	12.52	0	182	2	7,483	D
12/19/18 20:26	12/17/18	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P	216	12.69	0	17	18	110	D
12/19/18 20:07	12/17/18	NMFC	Fund	CEF	Closed-End Funds	Wolfgruber Kurt	NY	D		P	25	12.54	0	2	2	110	D
12/14/18 10:23	12/13/18	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO	P	193	12.88	0	15	4	360	D
12/13/18 13:57	12/13/18	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	13	12.90	0	1	39	4	D
12/11/18 11:12	12/10/18	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	221	13.22	0	17	16	118	D
11/14/18 10:30	11/13/18	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	24	13.53	0	2	3	59	D
9/13/18 16:39	9/11/18	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P.m	238	13.77	0	17	23	91	D
9/10/18 11:29	9/6/18	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO	P	206	13.70	0	15	5	341	D
9/7/18 17:39	9/6/18	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	165	13.74	0	12	13	101	D
9/7/18 17:36	9/6/18	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	55	13.73	0	4	3	121	D
3/16/18 16:39	3/15/18	NMFC	Fund	CEF	Closed-End Funds	Hurley Alfred F Jr	NY	D		P.m	65	13.04	0	5	17	35	D
3/16/18 12:07	3/14/18	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,Dir	P	264	13.20	0	20	7	318	D
3/14/18 17:16	3/14/18	NMFC	Fund	CEF	Closed-End Funds	Kajee Shiraz	NY	O	CFO,Trea	P	13	13.18	0	1	25	5	D
3/14/18 13:47	3/12/18	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	3,768	13.40	0	281	4	7,007	D
3/14/18 11:32	3/13/18	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	45	13.53	0	3	3	114	D
3/12/18 14:33	3/8/18	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	2,687	13.36	0	201	3	6,726	D
3/7/18 09:44	3/5/18	NMFC	Fund	CEF	Closed-End Funds	Wolfgruber Kurt	NY	D		P	132	13.19	0	10	12	91	I
3/6/18 17:47	3/5/18	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	214	13.14	0	16	22	89	D
3/5/18 19:56	3/5/18	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P	263	13.14	0	20	39	71	D
12/18/17 17:43	11/14/17	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,Dir	P.am	284	14.20	0	20	7	295	D
12/18/17 17:41	12/12/17	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P.a	106	14.18	0	8	18	50	D
12/18/17 12:45	12/15/17	NMFC	Fund	CEF	Closed-End Funds	Wolfgruber Kurt	NY	D		P	42	13.93	0	3	4	80	M
12/13/17 15:25	12/12/17	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P	13	14.20	0	1	2	50	D
12/8/17 15:42	12/6/17	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P	106	14.15	0	8	21	43	D
12/8/17 10:27	12/7/17	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	170	14.19	0	12	12	110	I
12/4/17 14:26	11/30/17	NMFC	Fund	CEF	Closed-End Funds	Wolfgruber Kurt	NY	D		P	5	14.18	0	0	0	77	I
11/22/17 11:54	11/21/17	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	5	14.20	0	0	18	2	D
11/20/17 09:32	11/17/17	NMFC	Fund	CEF	Closed-End Funds	Kajee Shiraz	NY	O	CFO,Trea	P	28	14.08	0	2	100	4	D
6/14/17 16:33	6/13/17	NMFC	Fund	CEF	Closed-End Funds	Kajee Shiraz	NY	O	CFO,Trea	P	29	14.63	0	2	New	2	D
5/18/17 09:07	5/17/17	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	52	14.37	6	4	8	50	D	20	30	13	1	-2	-2	-2	-1
3/16/17 11:43	3/15/17	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		S	-977	14.72	6	-66	-100	0	D	25	33	14	10	8	2	3	3	-2	-2	-3
3/7/17 16:07	3/4/17	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		S	-170	14.80	6	-12	-15	66	M	24	29	9	7	3	0	0	-1	0	1	2
11/10/16 14:08	11/8/16	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P	164	13.47	8	12	0	6,112	D	12	6	15	-1	-2	-1	2	2	1	2	5	12	13
11/8/16 12:15	11/4/16	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	2,082	13.37	8	156	3	6,100	D	13	6	13	1	-3	-2	1	0	1	2	5	12	15
11/7/16 17:27	11/4/16	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P.m	26	13.35	7	2	2	94	D	10	4	12	-1	-4	-2	-2	-1	1	2	6	12	15
11/7/16 10:25	11/4/16	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	2	13.20	7	0	9	2	D	10	4	12	-1	-4	-2	-2	-1	2	4	8	14	17
11/4/16 16:25	11/3/16	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P.m	72	13.23	7	5	20	32	D	10	4	13	-1	-4	-4	-3	-1	2	3	8	13	16
11/4/16 10:33	11/2/16	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	2,846	13.28	7	214	4	5,944	D	10	4	13	-1	-4	-4	-3	-1	0	3	8	13	16
11/3/16 17:06	11/3/16	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	50	13.23	7	4	6	67	D	11	6	15	2	-2	-3	-3	0	0	2	6	13	18
11/3/16 14:29	11/2/16	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	P,COO	P	55	13.20	7	4	19	27	D	11	6	15	2	-2	-3	-3	0	-2	0	4	11	16
11/2/16 13:01	10/31/16	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,Dir	P	333	13.33	6	25	11	262	D	10	5	12	2	-3	-3	-3	0	1	2	6	10	15
11/2/16 12:54	10/31/16	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	21	13.40	6	2	4	44	D	10	5	12	2	-3	-3	-3	0	1	2	6	10	15
8/17/16 14:07	8/15/16	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		S.m	-1,190	14.00	4	-85	-52	78	D	12	3	22	15	6	4	2	-1	0	1	1	2	12
5/24/16 10:18	5/20/16	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	25	12.35	2	2	2	91	D	6	-10	-7	5	-1	-1	-1	0	0	2	2	17	19
2/22/16 16:10	2/18/16	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	777	12.04	6	65	1	5,486	D	-1	-11	-14	-11	-4	3	5	2	-1	2	7	4	21	36
2/18/16 15:00	2/16/16	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	3,397	11.93	6	285	6	5,421	D	-3	-11	-16	-11	-7	4	3	5	1	0	7	6	22	37
2/16/16 18:27	2/11/16	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	4,065	11.60	6	350	7	5,136	D	-4	-13	-17	-15	-10	1	0	2	2	3	7	8	27	39
2/16/16 18:12	11/12/15	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P.a	23	14.12	6	2	4	39	D	-4	-13	-17	-15	-10	1	0	2	2	3	7	8	27	39
2/10/16 14:52	2/9/16	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	30	11.42	6	3	5	60	D	-5	-14	-19	-17	-10	1	-3	-3	0	5	10	12	26	42
2/9/16 16:04	2/9/16	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	29	11.51	6	3	3	88	D	-4	-14	-18	-16	-10	4	0	-1	0	3	10	11	25	41
12/17/15 18:00	12/15/15	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	2,896	13.03	6	222	5	4,708	D	8	3	-6	-6	-4	-4	-3	1	-2	-2	-15	-1	-1	14
12/15/15 15:44	12/14/15	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P	378	12.61	5	30	23	163	D	2	-6	-13	-14	-11	-12	-11	-10	7	5	-5	4	7	26
12/15/15 11:39	12/14/15	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,P,Di	P	309	12.35	5	25	13	224	D	2	-6	-13	-14	-11	-12	-11	-10	7	5	-5	4	7	26
12/15/15 11:34	12/14/15	NMFC	Fund	CEF	Closed-End Funds	Wolfgruber Kurt	NY	D		P	162	12.36	5	13	24	67	M	2	-6	-13	-14	-11	-12	-11	-10	7	5	-5	4	7	26
12/14/15 16:45	12/14/15	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	25	12.33	4	2	2	85	D	9	1	-6	-8	-4	-4	-5	-4	7	6	-4	3	5	24
12/14/15 16:43	12/14/15	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	2	12.30	4	0	11	2	D	9	1	-6	-8	-4	-4	-5	-4	7	6	-4	3	5	24
11/16/15 10:59	11/12/15	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	23	14.12	3	2	4	40	D	18	2	-3	-5	0	-1	-1	-1	1	0	-4	-11	-6	10
9/30/15 19:04	9/29/15	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	6,810	13.62	8	500	13	4,412	D	14	0	-3	-5	-8	-6	-6	-5	2	2	3	-3	-2	13
9/30/15 18:10	9/30/15	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	104	13.84	8	8	16	56	D	14	0	-3	-5	-8	-6	-6	-5	2	2	3	-3	-2	13
9/30/15 16:43	9/28/15	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	41	13.55	8	3	4	82	D	14	0	-3	-5	-8	-6	-6	-5	2	2	3	-3	-2	13
9/30/15 16:43	9/29/15	NMFC	Fund	CEF	Closed-End Funds	Jerry Karrie J.	NY	O	CCO,Corp	P	14	13.60	8	1	269	1	D	14	0	-3	-5	-8	-6	-6	-5	2	2	3	-3	-2	13
9/30/15 16:42	9/28/15	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P.m	468	13.38	8	35	36	133	D	14	0	-3	-5	-8	-6	-6	-5	2	2	3	-3	-2	13
9/30/15 16:40	9/28/15	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,P,Di	P	271	13.54	8	20	11	197	D	14	0	-3	-5	-8	-6	-6	-5	2	2	3	-3	-2	13
9/28/15 16:53	9/25/15	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P	7,070	14.14	6	500	15	3,912	D	17	6	1	-2	-3	-2	-3	-1	1	2	5	-1	0	14
9/11/15 13:21	9/10/15	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P.m	154	14.69	3	11	28	48	D	20	5	6	2	2	0	-1	0	1	0	-3	-4	-9	6
3/17/15 14:40	3/16/15	NMFC	Fund	CEF	Closed-End Funds	Wolfgruber Kurt	NY	D		P	201	14.38	5	14	37	52	I	18	8	1	4	2	-2	2	0	1	2	3	4	6	-6
3/16/15 09:23	3/13/15	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P	71	14.25	5	5	5	98	D	18	8	0	2	1	-2	1	1	1	3	4	5	6	-4
3/11/15 10:34	3/9/15	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P	72	14.44	5	5	6	93	D	15	8	-1	-1	0	-3	-3	0	2	3	4	6	7	-4
12/18/14 09:55	12/17/14	NMFC	Fund	CEF	Closed-End Funds	Wolfgruber Kurt	NY	D		P	70	14.07	6	5	16	37	D	20	6	4	-1	0	-3	-1	0	5	4	1	5	8	1
12/12/14 17:05	12/10/14	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	19	14.83	5	1	4	33	D	23	7	5	-2	0	-2	-3	-1	0	5	3	4	8	1
12/10/14 13:40	12/8/14	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P	113	14.70	5	8	10	88	D	27	10	9	-1	2	-1	-1	-1	-1	-3	2	0	5	2
11/13/14 12:44	11/11/14	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	1,997	14.82	9	135	4	3,218	D	28	15	12	1	1	4	1	2	1	0	-2	2	5	4
11/12/14 09:02	11/10/14	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	73	14.69	9	5	16	36	D	27	14	11	0	0	-1	0	2	1	2	-1	3	6	5
10/7/14 16:51	8/14/14	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.am	1,791	15.19	5	118	4	3,003	D	25	12	9	4	-1	0	1	0	0	-3	-1	0	3	2
10/7/14 16:51	8/12/14	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.am	3,203	15.10	5	212	8	2,885	D	25	12	9	4	-1	0	1	0	0	-3	-1	0	3	2
9/17/14 14:19	9/16/14	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P	74	14.83	5	5	7	80	D	23	13	7	6	4	-1	-1	-1	0	-1	-3	-1	2	8
8/18/14 12:51	8/14/14	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	1,791	15.19	6	118	4	3,080	D	28	16	6	10	3	3	4	1	1	0	1	2	3	9
8/14/14 11:00	8/12/14	NMFC	Fund	CEF	Closed-End Funds	Klinsky Steven B	NY	D		P.m	3,203	15.10	6	212	8	2,962	D	30	15	7	10	2	3	3	1	0	0	1	0	3	9
8/13/14 13:15	8/12/14	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	150	14.98	5	10	47	31	D	27	13	7	8	1	2	2	1	1	1	3	1	3	9
6/17/14 12:52	6/16/14	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	50	14.35	7	4	14	29	D	31	8	3	-1	3	2	3	2	0	0	3	6	4	12
6/12/14 13:00	6/11/14	NMFC	Fund	CEF	Closed-End Funds	Hurley Alfred F Jr	NY	D		P	101	14.43	7	7	43	23	D	29	5	1	-1	1	2	2	1	2	2	5	9	9	14
6/11/14 16:11	6/11/14	NMFC	Fund	CEF	Closed-End Funds	Bosco Paula	NY	O	Chief Co	P	9	14.34	7	1	5	14	D	29	4	1	-1	1	2	1	1	2	2	5	9	8	14
4/30/14 16:58	4/29/14	NMFC	Fund	CEF	Closed-End Funds	Bosco Paula	NY	O	Chief Co	P	30	14.26	9	2	19	13	D	31	1	3	-3	-3	-2	-1	-2	0	-1	0	6	7	15
4/29/14 12:42	4/28/14	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,P,Di	P	215	14.31	8	15	11	156	D	29	3	3	-2	-4	-1	-1	-2	0	0	-1	7	7	16
4/18/14 16:28	4/16/14	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P	143	14.25	8	10	15	75	D	34	15	5	-2	0	-1	-1	1	1	1	-1	5	6	15
4/16/14 14:55	4/16/14	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	21	14.24	8	2	2	76	D	30	11	4	-2	-1	-2	-2	0	1	3	-1	7	7	16
3/13/14 13:11	3/12/14	NMFC	Fund	CEF	Closed-End Funds	Cordova David M	NY	O	CFO,Trea	P	22	14.81	4	2	95	3	D	39	9	5	2	1	0	-1	1	1	0	-2	-1	9	8
3/10/14 17:14	3/7/14	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,P,Di	P	177	14.75	4	12	9	139	I	38	8	5	3	-1	-2	-2	0	0	2	-1	-1	9	7
3/10/14 17:13	3/7/14	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	COO,EVP	P	8	14.70	4	1	3	17	D	38	8	5	3	-1	-2	-2	0	0	2	-1	-1	9	7
12/19/13 13:58	12/17/13	NMFC	Fund	CEF	Closed-End Funds	Bosco Paula	NY	O	Chief Co	P	0	14.85	5	0	0	11	D	42	13	12	5	6	2	2	2	-1	0	1	2	1	11
12/16/13 11:20	12/13/13	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	51	14.69	5	4	5	73	D	42	14	4	3	6	1	2	0	1	2	3	3	3	8
12/12/13 12:05	12/11/13	NMFC	Fund	CEF	Closed-End Funds	Cordova David M	NY	O	CFO,Trea	P	8	15.00	5	1	48	2	D	44	14	4	4	4	3	1	0	-1	2	1	3	2	7
11/21/13 18:14	11/19/13	NMFC	Fund	CEF	Closed-End Funds	Wolfgruber Kurt	NY	D		P.m	166	14.44	5	12	64	30	M	39	10	2	2	-1	3	2	0	2	2	4	6	3	13
9/13/13 15:46	9/12/13	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	51	14.44	3	4	5	69	D	44	11	2	0	3	1	1	-1	1	1	-1	4	7	14
8/20/13 10:46	8/19/13	NMFC	Fund	CEF	Closed-End Funds	Cordova David M	NY	O	CFO,Trea	P	7	14.50	4	1	98	1	D	46	10	-1	-3	1	-1	0	-1	1	1	3	3	8	15
8/15/13 12:30	8/15/13	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	COO,EVP	P	44	14.58	4	3	23	16	D	57	12	1	-2	2	2	1	0	-1	0	2	1	8	14
8/13/13 16:50	8/13/13	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	EVP,CAO,	P	35	14.65	4	2	11	24	D	67	13	2	-2	3	1	2	2	0	0	2	1	6	14
8/13/13 16:07	8/12/13	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P.m	125	14.59	4	9	15	65	D	67	13	2	-2	3	1	2	2	0	0	2	1	6	14
8/13/13 16:07	8/12/13	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,P,Di	P.m	220	14.65	4	15	14	122	D	67	13	2	-2	3	1	2	2	0	0	2	1	6	14
6/3/13 10:36	5/31/13	NMFC	Fund	CEF	Closed-End Funds	Cordova David M	NY	O	CFO,Trea	P	8	15.25	4	1	New	1	D	43	22	9	2	10	-1	0	-1	1	1	-5	0	4	3
5/24/13 08:33	5/23/13	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	91	15.10	5	6	47	19	D	43	24	8	0	6	-1	-3	-3	1	1	-5	0	2	6
5/22/13 15:56	5/21/13	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P.m	43	15.24	6	3	4	65	D		25	9	2	5	2	-1	-1	0	1	-5	-1	1	3
12/14/12 17:27	12/14/12	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	94	14.49	5	7	13	55	I		24	9	-1	-3	-1	2	0	1	3	2	6	9	13
12/14/12 12:44	12/12/12	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P.m	157	14.24	5	11	21	62	D		24	9	-1	-3	-1	2	0	1	4	4	7	10	14
12/10/12 18:44	12/7/12	NMFC	Fund	CEF	Closed-End Funds	Hurley Alfred F Jr	NY	D		P	102	14.50	5	7	90	15	D		23	11	1	1	-1	-2	1	0	1	5	7	10	14
11/19/12 16:58	11/9/12	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	DO	CEO,P,Di	P	146	14.57	3	10	11	100	D		25	15	3	-1	1	1	4	-1	0	2	7	8	9
11/15/12 12:03	11/14/12	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	DO	CFO,Dir	P	35	13.80	3	3	15	20	D		17	7	-3	-6	-4	-8	-4	5	7	8	15	18	18
11/13/12 17:08	11/13/12	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	Section	P	38	14.23	3	3	27	13	D		23	10	1	-3	-1	-5	-2	-3	5	3	12	15	13
11/13/12 14:15	11/12/12	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	14	14.39	3	1	9	12	D		23	10	1	-3	-1	-5	-2	-1	4	2	10	14	12
11/13/12 06:07	11/9/12	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P.m	106	14.36	3	7	42	25	D		23	10	1	-3	-1	-5	-2	-1	4	2	10	14	12
11/13/12 06:06	11/12/12	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	36	14.29	3	3	5	49	D		23	10	1	-3	-1	-5	-2	-1	4	2	10	14	12
9/7/12 16:30	9/7/12	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	154	14.67	2	11	30	46	D		30	18	10	3	0	-1	-1	1	4	4	1	9	13
9/5/12 16:52	9/5/12	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	60	14.62	2	4	13	35	D		36	20	11	4	2	2	1	1	2	4	2	12	13
8/21/12 17:46	8/20/12	NMFC	Fund	CEF	Closed-End Funds	Malpass David	NY	D		P.m	235	14.44	2	16	305	22	D		34	17	11	-2	2	1	-1	2	3	9	5	12	13
5/23/12 17:56	5/23/12	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	O	CFO	P	17	13.36	1	1	8	16	D		16	10	6	0	2	-1	0	1	2	5	11	16	26
5/22/12 09:49	5/18/12	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	O	CFO	P	1	13.27	1	0	1	15	D		15	10	6	2	2	-1	0	0	3	6	11	15	24
5/18/12 16:55	5/18/12	NMFC	Fund	CEF	Closed-End Funds	Bosco Paula	NY	O	Chief Co	P	40	13.28	1	3	43	10	D			9	6	1	1	1	-1	1	1	6	13	16	27
5/18/12 16:52	5/16/12	NMFC	Fund	CEF	Closed-End Funds	Kline John	NY	O	Section	P	26	13.77	1	2	25	9	D			9	6	1	1	1	-1	1	1	6	13	16	27
5/14/12 16:59	5/14/12	NMFC	Fund	CEF	Closed-End Funds	Bosco Paula	NY	O	Chief Co	P	14	13.79	1	1	17	7	D			12	7	1	2	3	2	0	-2	2	10	11	26
5/14/12 16:58	5/11/12	NMFC	Fund	CEF	Closed-End Funds	Hamwee Robert	NY	O	CEO,P	P	138	13.79	1	10	13	85	D			12	7	1	2	3	2	0	-2	2	10	11	26
5/14/12 16:58	5/11/12	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	O	CFO	P	25	13.88	1	2	14	15	D			12	7	1	2	3	2	0	-2	2	10	11	26
3/14/12 15:57	3/12/12	NMFC	Fund	CEF	Closed-End Funds	Ogens David	NY	D		P	149	13.50	1	11	New	11	D			15	9	6	6	5	5	1	0	0	3	14	25
3/13/12 16:09	3/12/12	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	O	CFO	P	4	13.45	1	0	2	13	D			10	6	2	2	2	1	1	-1	1	3	14	24
3/12/12 16:36	3/12/12	NMFC	Fund	CEF	Closed-End Funds	Stone James	NY	O	Section	P	152	13.51	1	11	59	30	D			12	5	1	-2	1	1	4	3	2	6	16	27
12/15/11 13:26	12/14/11	NMFC	Fund	CEF	Closed-End Funds	Bosco Paula	NY	O	Chief Co	P	22	13.00	0	2	42	6	D			8	6	3	4	2	3	0	0	0	6	11	24
12/12/11 14:20	12/8/11	NMFC	Fund	CEF	Closed-End Funds	Weinstein Adam	NY	O	CFO	P	15	12.95	0	1	11	12	D			3	5	1	0	-1	-1	1	2	4	9	13	25
12/8/11 17:41	12/7/11	NMFC	Fund	CEF	Closed-End Funds	Bosco Paula	NY	O	Chief Co	P	15	13.00	0	1	38	4	D			1	6	3	0	0	-1	0	4	5	5	13	26

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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