OCSI - Oaktree Strategic Income Corp - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	14	77	0	1	1	2	3	-2	1
P	%wins				77	75	64	62	63	40	63

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
12/4/20 12:51	12/1/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S	-3	7.80	0	0	0	6,262	D
12/1/20 17:01	11/30/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S	-92	7.79	0	-12	0	6,262	M
12/1/20 13:00	11/25/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-96	7.77	0	-12	0	6,572	D
9/10/20 06:02	9/8/20	OCSI	Fund	CEF	Closed-End Funds	Gero Deborah Ann	CA	D		P	16	6.60	0	3	16	19	D
6/15/20 06:05	6/11/20	OCSI	Fund	CEF	Closed-End Funds	Gero Deborah Ann	CA	D		P	13	6.39	0	2	14	16	D
6/11/20 06:03	6/9/20	OCSI	Fund	CEF	Closed-End Funds	Gero Deborah Ann	CA	D		P	13	6.58	0	2	17	14	D
5/28/20 06:04	5/27/20	OCSI	Fund	CEF	Closed-End Funds	Panossian Armen	CA	O	CEO	P	24	5.97	0	4	67	10	D
5/7/20 16:05	2/27/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S	-11	8.44	0	-1	0	6,585	I
3/16/20 06:03	3/12/20	OCSI	Fund	CEF	Closed-End Funds	Jacobson Craig A	CA	D		P	100	6.97	0	14	35	55	D
3/16/20 06:03	3/13/20	OCSI	Fund	CEF	Closed-End Funds	Gero Deborah Ann	CA	D		P	7	7.10	0	1	9	12	D
3/11/20 06:10	3/10/20	OCSI	Fund	CEF	Closed-End Funds	Ruben Richard	CA	D		P	77	7.68	0	10	33	41	D
3/11/20 06:07	3/9/20	OCSI	Fund	CEF	Closed-End Funds	Carlisle Melvin	CA	O	CFO,Trea	P	12	7.92	0	2	14	13	D
3/11/20 06:06	3/10/20	OCSI	Fund	CEF	Closed-End Funds	Pendo Mathew	CA	O	P,COO	P	30	7.61	0	4	30	17	D
2/27/20 06:02	2/25/20	OCSI	Fund	CEF	Closed-End Funds	Carlisle Melvin	CA	O	CFO,Trea	P	41	8.28	0	5	83	11	D
2/25/20 16:00	2/21/20	OCSI	Fund	CEF	Closed-End Funds	Gero Deborah Ann	CA	D		P	17	8.33	0	2	22	11	D
2/24/20 16:00	2/20/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-117	8.36	0	-14	0	6,586	I
2/20/20 16:00	2/18/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-112	8.40	0	-13	0	6,600	I
2/18/20 08:55	2/13/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-121	8.37	0	-14	0	6,613	I
2/13/20 16:00	2/11/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-164	8.37	0	-20	0	6,628	I
2/11/20 16:00	2/7/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-145	8.36	0	-17	0	6,647	I
2/7/20 16:00	2/5/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-59	8.36	0	-7	0	6,665	I
1/27/20 16:00	1/23/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S	-5	8.35	0	-1	0	6,672	I
1/23/20 16:00	1/21/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-84	8.35	0	-10	0	6,673	I
1/21/20 16:00	1/16/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-35	8.36	0	-4	0	6,683	I
1/16/20 16:00	1/14/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-17	8.35	0	-2	0	6,687	I
1/14/20 16:00	1/10/20	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-52	8.35	0	-6	0	6,689	I
12/19/19 17:00	12/17/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-4,177	8.26	0	-506	-7	6,695	I
12/16/19 16:06	12/12/19	OCSI	Fund	CEF	Closed-End Funds	Gero Deborah Ann	CA	D		P	17	8.28	0	2	29	9	D
12/13/19 16:00	12/11/19	OCSI	Fund	CEF	Closed-End Funds	Pendo Mathew	CA	O	P,COO	P	30	8.35	0	4	37	13	D
12/13/19 16:00	12/11/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-94	8.35	0	-11	0	7,200	I
12/10/19 16:00	12/6/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-117	8.35	0	-14	0	7,212	I
12/9/19 17:35	12/5/19	OCSI	Fund	CEF	Closed-End Funds	Panossian Armen	CA	O	CEO	P	50	8.25	0	6	New	6	D
12/6/19 16:00	12/4/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S	-14	8.25	0	-2	0	7,226	I
11/29/19 16:00	11/26/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S	0	8.25	0	0	0	7,227	I
11/26/19 16:01	11/22/19	OCSI	Fund	CEF	Closed-End Funds	Gero Deborah Ann	CA	D		P	25	8.23	0	3	75	7	D
11/25/19 17:41	11/22/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-9	8.25	0	-1	0	7,227	I
10/2/19 16:28	9/27/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-175	8.26	0	-21	0	7,228	I
9/27/19 15:55	9/25/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-35	8.25	0	-4	0	7,250	I
6/7/19 16:31	6/6/19	OCSI	Fund	CEF	Closed-End Funds	Gero Deborah Ann	CA	D		P	17	8.54	0	2	100	4	D
5/23/19 19:08	5/23/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S	-1,972	8.50	0	-232	-3	7,254	I
5/23/19 16:09	5/21/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-19	8.50	0	-2	0	7,486	I
5/20/19 18:03	5/17/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-109	8.51	0	-13	0	7,488	I
5/16/19 16:00	5/14/19	OCSI	Fund	CEF	Closed-End Funds	Gero Deborah Ann	CA	D		P	17	8.48	0	2	New	2	D
5/13/19 16:08	5/9/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-92	8.52	0	-11	0	7,501	I
5/9/19 09:10	5/7/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S	-3	8.62	0	0	0	7,512	I
5/7/19 07:52	5/3/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-51	8.64	0	-6	0	7,512	I
5/3/19 16:46	5/1/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-157	8.63	0	-18	0	7,518	I
5/1/19 08:53	4/29/19	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-28	8.64	0	-3	0	7,536	I
4/24/19 16:39	8/2/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	FL	T		S.m	-365	8.69	0	-42	-1	7,822	M
2/12/19 17:48	2/11/19	OCSI	Fund	CEF	Closed-End Funds	Jacobson Craig A	CA	D		P	101	8.55	0	12	41	41	D
1/16/19 17:54	12/14/18	OCSI	Fund	CEF	Closed-End Funds	Carlisle Melvin	CA	O	CFO	P	24	8.16	0	3	100	6	D
12/14/18 19:45	12/14/18	OCSI	Fund	CEF	Closed-End Funds	Cohen Richard W.	CA	D		P	84	8.17	0	10	23	56	D
12/4/18 16:56	11/30/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-61	8.52	0	-7	0	7,548	I
10/11/18 14:28	10/9/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S	-39	8.62	0	-5	0	7,556	I
10/9/18 18:13	10/5/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S	-135	8.62	0	-16	0	7,560	I
10/5/18 12:29	10/3/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-130	8.63	0	-15	0	7,576	I
10/3/18 18:15	10/1/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-96	8.63	0	-11	0	7,591	I
10/1/18 18:41	9/27/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-71	8.64	0	-8	0	7,602	I
9/27/18 18:07	9/25/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-88	8.64	0	-10	0	7,610	I
9/25/18 08:42	9/21/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-131	8.65	0	-15	0	7,621	I
9/21/18 17:17	9/19/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-155	8.63	0	-18	0	7,636	I
9/18/18 20:35	9/14/18	OCSI	Fund	CEF	Closed-End Funds	Ruben Richard	CA	D		P	23	8.50	0	3	10	31	D
9/17/18 18:52	9/13/18	OCSI	Fund	CEF	Closed-End Funds	Pendo Mathew	CA	O	COO	P	9	8.46	0	1	13	10	D
9/17/18 18:49	9/13/18	OCSI	Fund	CEF	Closed-End Funds	Cohen Richard W.	CA	D		P.m	32	8.46	0	4	9	45	D
9/13/18 08:31	9/11/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-26	8.62	0	-3	0	7,654	I
9/11/18 17:46	9/7/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S	-39	8.62	0	-4	0	7,657	I
9/10/18 20:44	9/6/18	OCSI	Fund	CEF	Closed-End Funds	Cohen Richard W.	CA	D		P	43	8.61	0	5	14	42	D
9/7/18 17:33	9/5/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-99	8.62	0	-11	0	7,661	I
9/5/18 20:00	8/31/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-255	8.66	0	-30	0	7,673	I
8/31/18 16:06	8/29/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-135	8.68	0	-16	0	7,702	I
8/29/18 16:22	8/27/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-256	8.69	0	-30	0	7,718	I
8/29/18 14:33	8/27/18	OCSI	Fund	CEF	Closed-End Funds	Carlisle Melvin	CA	O	CFO	P.m	26	8.70	0	3	New	3	D
8/27/18 16:51	8/23/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-126	8.73	0	-14	0	7,747	I
8/23/18 18:43	8/21/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-245	8.79	0	-28	0	7,761	I
8/21/18 21:22	8/17/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-99	8.75	0	-11	0	7,789	I
8/17/18 17:06	8/15/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-182	8.75	0	-21	0	7,801	I
8/14/18 18:47	8/10/18	OCSI	Fund	CEF	Closed-End Funds	Cohen Richard W.	CA	D		P.m	9	8.73	0	1	3	37	D
8/14/18 18:47	8/10/18	OCSI	Fund	CEF	Closed-End Funds	Jacobson Craig A	CA	D		P	100	8.68	0	12	66	29	D
8/14/18 18:40	8/10/18	OCSI	Fund	CEF	Closed-End Funds	Zimmerman Bruce	CA	D		P	11	8.61	0	1	9	15	D
8/2/18 16:38	7/31/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-44	8.50	0	-5	0	7,864	I
7/24/18 17:10	7/20/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S	-43	8.52	0	-5	0	7,869	I
7/20/18 16:14	7/18/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-82	8.54	0	-10	0	7,874	I
7/9/18 18:58	7/6/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S	-16	8.50	0	-2	0	7,883	I
6/29/18 17:54	6/29/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S	-18	8.50	0	-2	0	7,885	I
5/24/18 21:41	5/23/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-38	8.50	0	-4	0	7,887	I
5/21/18 16:26	5/17/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S	-12	8.50	0	-1	0	7,892	I
5/17/18 16:00	5/15/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-39	8.50	0	-5	0	7,893	I
5/15/18 16:13	5/11/18	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-11	8.50	0	-1	0	7,898	I
3/12/18 06:05	3/8/18	OCSI	Financ	InvAdv	Investment Advice	Oaktree Capital Management LP	CA	T		P	213	7.92	0	27	7	392	I
3/8/18 06:05	3/6/18	OCSI	Financ	InvAdv	Investment Advice	Oaktree Capital Management LP	CA	T		P.m	1,262	7.75	0	163	81	365	I
3/2/18 17:54	2/28/18	OCSI	Fund	CEF	Closed-End Funds	Pendo Mathew	CA	O	COO	P	20	7.83	0	3	43	9	D
3/2/18 17:47	2/28/18	OCSI	Fund	CEF	Closed-End Funds	Ruben Richard	CA	D		P	39	7.86	0	5	22	28	D
2/28/18 06:15	2/26/18	OCSI	Financ	InvAdv	Investment Advice	Oaktree Capital Management LP	CA	T		P.m	388	7.80	0	50	33	202	I
2/26/18 06:06	2/22/18	OCSI	Financ	InvAdv	Investment Advice	Oaktree Capital Management LP	CA	T		P.m	366	7.72	0	47	45	152	I
2/22/18 06:05	2/20/18	OCSI	Financ	InvAdv	Investment Advice	Oaktree Capital Management LP	CA	T		P.m	366	7.73	0	47	82	105	I
2/15/18 14:30	2/13/18	OCSI	Fund	CEF	Closed-End Funds	Zimmerman Bruce	CA	D		P	62	7.80	0	8	133	14	D
2/15/18 14:24	2/13/18	OCSI	Fund	CEF	Closed-End Funds	Gamsin Marc	CA	D		P	116	7.74	0	15	New	15	D
2/15/18 14:20	2/13/18	OCSI	Fund	CEF	Closed-End Funds	Cohen Richard W.	CA	D		P.m	20	7.67	0	3	8	36	D
12/19/17 17:38	12/15/17	OCSI	Fund	CEF	Closed-End Funds	Lee Edgar	CA	O	See Rema	P	51	8.58	0	6	New	6	D
12/19/17 17:31	12/15/17	OCSI	Fund	CEF	Closed-End Funds	Frank John	CA	D		P	102	8.61	0	12	New	12	D
12/19/17 17:26	12/15/17	OCSI	Fund	CEF	Closed-End Funds	Pendo Mathew	CA	O	COO	P	51	8.56	0	6	New	6	D
12/15/17 21:38	12/13/17	OCSI	Financ	InvAdv	Investment Advice	Oaktree Capital Management LP	CA	T		P.m	494	8.57	0	58	New	58	I
12/15/17 21:38	12/14/17	OCSI	Fund	CEF	Closed-End Funds	Zimmerman Bruce	CA	D		P	51	8.47	0	6	New	6	D
12/15/17 21:33	12/13/17	OCSI	Fund	CEF	Closed-End Funds	Jacobson Craig A	CA	D		P	151	8.58	0	18	New	18	D
12/15/17 21:29	12/13/17	OCSI	Fund	CEF	Closed-End Funds	Ruben Richard	CA	D		P.m	125	8.55	0	15	175	23	D
12/7/17 16:33	12/5/17	OCSI	Fund	CEF	Closed-End Funds	Cohen Richard W.	CA	D		P.m	167	8.32	0	20	154	33	D
12/7/17 16:31	12/5/17	OCSI	Fund	CEF	Closed-End Funds	Ruben Richard	CA	D		P.m	70	8.40	0	8	New	8	D
11/2/17 16:13	10/31/17	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S	-41	9.00	0	-5	0	7,899	M
10/24/17 17:47	10/20/17	OCSI	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		S.m	-205	9.01	0	-23	0	7,904	M
10/3/17 09:18	9/29/17	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	DO	CEO	S	-66	8.80	0	-7	-7	94	D
3/13/17 17:21	3/9/17	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P.m	44	8.77	3	5	5	102	D	3	25	6	3	-12	-2	-1	0	-1	-1	-11
3/6/17 17:07	3/3/17	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P	9	8.96	4	1	1	97	D	4	31	7	1	-3	2	-2	3	0	0	-1
3/6/17 17:03	3/2/17	FSFR	Fund	CEF	Closed-End Funds	Castro-Blanco James	CT	D		P	4	8.87	4	1	31	2	D	4	31	7	1	-3	2	-2	3	0	0	-1
2/16/17 17:51	2/15/17	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P.m	309	9.04	5	34	0	7,927	I	6	40	14	3	0	-9	-10	2	0	1	-2
2/13/17 17:39	2/10/17	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P	89	8.88	4	10	12	94	D	4	48	12	4	3	-5	-11	-12	2	3	2	-11
2/13/17 17:35	2/13/17	FSFR	Fund	CEF	Closed-End Funds	Dutkiewicz Richard P	CT	D		P	9	8.68	4	1	25	5	D	4	48	12	4	3	-5	-11	-12	2	3	2	-11
2/13/17 17:29	2/10/17	FSFR	Fund	CEF	Closed-End Funds	Cohen Richard W.	CT	D		P	18	8.86	4	2	18	13	D	4	48	12	4	3	-5	-11	-12	2	3	2	-11
12/27/16 17:11	12/22/16	FSFR	Fund	CEF	Closed-End Funds	Cohen Richard W.	CT	D		P.m	18	8.77	2	2	22	11	D	5	14	21	5	-2	-1	-3	-1	0	3	17	1
12/8/16 15:55	9/30/16	FSFR	Financ	InvAdv	Investment Advice	Tannenbaum Leonard M	CT	T		P.a	17,484	9.00	2	1,943	33	7,776	M	5	20	16	3	6	-2	-6	-2	-1	3	4	3
10/4/16 17:00	9/30/16	FSFR	Financ	InvAdv	Investment Advice	Tannenbaum Leonard M	CT	T		P	17,484	9.00	1	1,943	33	7,787	M	-7	11	17	11	3	2	1	2	1	3	-2	6	4
9/14/16 16:11	9/13/16	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P	7,377	8.52	2	866	17	5,845	I	-11	8	18	10	4	0	-3	-2	0	1	4	7	13
9/7/16 20:45	9/2/16	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P.m	990	8.91	2	111	2	4,979	I	-8	12	24	13	6	6	2	-1	-1	-3	-1	3	5
9/6/16 20:16	9/1/16	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P	2,228	8.91	2	250	5	4,868	I	-8	11	23	13	6	6	3	-1	0	-2	-2	4	5
9/2/16 15:38	8/31/16	FSFR	Fund	CEF	Closed-End Funds	Cohen Richard W.	CT	D		P	18	8.81	2	2	29	9	D	-9	12	20	14	6	5	2	0	0	-2	-1	3	5
8/26/16 21:40	8/24/16	FSFR	Fund	CEF	Closed-End Funds	Cohen Richard W.	CT	D		P	17	8.65	2	2	40	7	D	-12	12	24	14	7	4	4	2	1	1	-1	8	9
8/24/16 16:58	8/22/16	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P.m	3,567	8.67	1	412	10	4,618	D	-12	13	26	16	7	4	3	2	1	3	1	10	12
8/24/16 16:48	8/22/16	FSFR	Fund	CEF	Closed-End Funds	Cohen Richard W.	CT	D		P.m	43	8.57	1	5	New	5	D	-12	13	26	16	7	4	3	2	1	3	1	10	12
8/19/16 17:09	8/18/16	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P.m	610	8.50	1	72	2	4,206	D	-14	4	23	17	5	1	-2	1	0	2	1	8	12
8/16/16 17:27	8/12/16	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P	8,469	8.47	1	1,000	32	4,134	D	-13	2	27	15	6	0	-1	0	1	2	2	11	13
3/3/16 10:17	3/2/16	FSFR	Fund	CEF	Closed-End Funds	Ray Douglas F	CT	D		P	39	7.74	1	5	New	5	D	-33	-21	-8	-11	14	10	6	3	0	0	2	6	23	28
2/26/16 17:15	2/24/16	FSFR	Fund	CEF	Closed-End Funds	Owens Todd	CT	O	P	P.m	146	7.30	1	20	133	35	D	-35	-25	-11	-14	0	-4	6	1	3	3	3	10	23	36
2/26/16 17:14	2/24/16	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P.m	194	7.33	1	27	46	84	D	-35	-25	-11	-14	0	-4	6	1	3	3	3	10	23	36
2/10/16 18:13	2/8/16	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P.m	148	7.42	1	20	54	57	D	-34	-25	-18	-16	-13	7	-3	-6	-4	3	13	12	29	59
2/9/16 17:09	2/5/16	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P.m	757	7.50	1	101	3	3,134	D	-32	-23	-13	-11	-11	9	2	-1	-3	-3	7	9	24	54
2/5/16 17:10	2/4/16	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P.m	154	7.68	1	20	118	37	D	-31	-17	-11	-8	-4	5	8	3	0	-10	1	6	18	47
2/4/16 19:39	2/2/16	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P.m	669	7.58	1	88	3	3,033	D	-32	-19	-13	-8	-2	3	8	1	-2	-9	2	4	15	45
2/1/16 18:15	1/28/16	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	T		P.m	713	7.60	1	94	3	2,945	D	-32	-19	-14	-11	-3	-10	11	5	0	1	4	8	18	50
12/17/15 19:08	12/16/15	FSFR	Fund	CEF	Closed-End Funds	Dunn Brian S	CT	D		P	43	7.84	1	6	275	8	D	-29	-11	-18	-10	-9	-9	-4	1	-1	9	-11	-1	9	25
12/17/15 18:58	12/16/15	FSFR	Fund	CEF	Closed-End Funds	Dutkiewicz Richard P	CT	D		P	8	7.90	1	1	33	4	D	-29	-11	-18	-10	-9	-9	-4	1	-1	9	-11	-1	9	25
9/18/15 12:20	9/18/15	FSFR	Fund	CEF	Closed-End Funds	Dutkiewicz Richard P	CT	D		P	9	8.89	1	1	50	3	D	-23	-17	-11	-10	-2	1	1	1	0	1	2	-10	-10	7
8/14/15 15:12	8/12/15	FSFR	Fund	CEF	Closed-End Funds	Dimitrov Ivelin M.	CT	DO	CEO	P.m	45	9.03	2	5	39	18	D	-21	-23	-11	-7	0	0	-1	-2	1	0	-1	-2	-18	4
8/12/15 15:17	8/12/15	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P	18	9.01	2	2	13	17	D	-24	-25	-13	-9	-3	0	-3	-3	2	2	0	0	-17	6
5/20/15 16:37	5/20/15	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P	20	10.00	2	2	15	15	D		-22	-2	-4	-4	-6	-4	0	0	1	2	-7	-8	-16
2/11/15 17:46	2/10/15	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P	11	10.75	2	1	8	13	D		-13	-14	4	7	4	6	0	1	1	1	-3	-12	-26
12/16/14 13:37	12/16/14	FSFR	Fund	CEF	Closed-End Funds	Owens Todd	CT	O	P	P	147	9.79	3	15	New	15	D		-19	-26	-12	-6	-7	-6	-1	-2	2	4	9	6	-15
12/15/14 18:32	12/11/14	FSFR	Fund	CEF	Closed-End Funds	Frank Alexander C	CT	D		P	20	10.04	3	2	200	3	D		-19	-26	-12	-7	-7	-6	-3	-2	3	4	9	5	-17
12/15/14 16:58	12/11/14	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P.m	70	9.97	3	7	140	12	D		-19	-26	-12	-7	-7	-6	-3	-2	3	4	9	5	-17
12/15/14 16:55	12/11/14	FSFR	Fund	CEF	Closed-End Funds	Dimitrov Ivelin M.	CT	DO	CEO,CIO	P.m	58	10.14	3	6	82	13	D		-19	-26	-12	-7	-7	-6	-3	-2	3	4	9	5	-17
12/15/14 16:54	12/11/14	FSFR	Fund	CEF	Closed-End Funds	Harrison David H.	CT	O	CCO,Secr	P	10	10.04	3	1	100	2	D		-19	-26	-12	-7	-7	-6	-3	-2	3	4	9	5	-17
12/15/14 16:51	12/11/14	FSFR	Fund	CEF	Closed-End Funds	Petrocelli Richard A	CT	O	CFO	P	20	10.04	3	2	100	4	D		-19	-26	-12	-7	-7	-6	-3	-2	3	4	9	5	-17
9/26/14 16:58	9/25/14	FSFR	Fund	CEF	Closed-End Funds	Dutkiewicz Richard P	CT	D		P	12	11.50	7	1	100	2	D		-9	-17	-17	-2	-3	-1	-3	0	-1	-6	-10	-4	-15
9/18/14 18:46	9/16/14	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	CT	D		P	23	11.61	7	2	40	7	I		-7	-11	-13	-8	-2	0	0	1	-1	-6	-16	-6	-17
9/9/14 18:33	9/9/14	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	DO	CEO	P	389	12.14	16	32	5	635	D		-7	-11	-15	-13	-1	-1	0	0	-3	-4	-8	-7	-18
8/25/14 15:46	8/25/14	FSFR	Fund	CEF	Closed-End Funds	Petrocelli Richard A	CT	O	CFO	P	12	12.44	13	1	100	2	D		-7	-9	-14	-12	-6	-7	0	1	0	-4	-10	-6	-22
8/22/14 13:09	8/15/14	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	DO	CEO	P.am	2,877	12.76	13	225	60	603	D		-6	-9	-13	-12	-9	-8	0	0	0	-2	-9	-8	-19
8/20/14 15:47	8/20/14	FSFR	Fund	CEF	Closed-End Funds	Dimitrov Ivelin M.	CT	O	P,CIO	P	12	12.33	12	1	17	7	D		-5	-9	-12	-13	-13	-10	2	1	1	-1	-7	-6	-17
8/19/14 18:00	8/14/14	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	CT	DO	CEO	P.m	2,877	12.76	12	225	60	603	D		-4	-9	-13	-12	-12	-8	-7	1	1	-1	-9	-7	-16
3/20/14 19:14	3/20/14	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P	1,231	14.33	1	86	29	377	D			4	6	4	0	0	0	0	2	1	1	-13	-18
3/3/14 16:54	2/27/14	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P.m	1,048	14.15	1	74	28	340	M			4	8	6	5	1	1	0	1	3	6	-9	-15
2/27/14 09:29	2/26/14	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	NY	D		P	28	13.97	0	2	67	5	D			2	6	5	3	-2	0	1	1	6	6	-8	-14
2/26/14 18:02	2/24/14	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P.m	198	14.00	0	14	6	256	D			1	5	4	2	0	-1	1	1	5	6	-8	-14
2/24/14 14:54	2/20/14	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P.m	234	14.11	0	17	7	242	D			3	6	4	2	1	0	0	1	3	5	-9	-16
2/21/14 16:39	2/20/14	FSFR	Fund	CEF	Closed-End Funds	Dimitrov Ivelin M.	NY	O	P,CIO	P.m	14	14.13	0	1	20	6	D			4	7	6	4	4	0	0	0	3	4	-9	-15
2/21/14 10:14	2/20/14	FSFR	Fund	CEF	Closed-End Funds	Dunn Brian S	NY	D		P	14	14.17	0	1	100	2	D			4	7	6	4	4	0	-1	-1	2	3	-10	-16
2/20/14 12:13	2/18/14	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P.m	423	14.11	0	30	15	226	D			4	5	5	4	4	1	1	-1	3	3	-9	-15
1/2/14 09:37	12/31/13	FSFR	Fund	CEF	Closed-End Funds	Noreika Steven M.	NY	O	CFO	P	7	13.40	1	1	New	1	D				0	0	0	1	-2	0	1	4	12	11	-16
12/23/13 15:52	12/23/13	FSFR	Fund	CEF	Closed-End Funds	Dunn Brian S	NY	D		P	7	13.17	1	1	100	1	D				-3	-2	-1	-2	-2	0	1	3	13	12	-16
12/11/13 17:46	12/10/13	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P	185	13.47	1	14	8	196	D				-3	-2	0	1	0	1	1	2	7	10	-18
12/5/13 16:52	12/4/13	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P	204	13.59	0	15	9	182	D				-1	-1	0	1	2	0	0	0	7	11	-13
12/5/13 12:06	12/3/13	FSFR	Fund	CEF	Closed-End Funds	Dimitrov Ivelin M.	NY	O	Chief In	P	13	13.45	0	1	24	5	D				-1	-1	0	1	2	0	0	-1	7	11	-14
12/5/13 10:41	12/3/13	FSFR	Fund	CEF	Closed-End Funds	Harrison David H.	NY	O	CCO,Secr	P	7	13.55	0	1	100	1	D				-1	-1	0	1	2	0	0	-1	7	11	-14
12/5/13 10:37	12/3/13	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	NY	DO	P	P	14	13.55	0	1	50	3	D				-1	-1	0	1	2	0	0	-1	7	11	-14
12/3/13 18:34	11/29/13	FSFR	Fund	CEF	Closed-End Funds	Kay Jeffrey R.	NY	D		P	10	13.37	0	1	105	1	D				-3	-2	-1	-1	1	1	1	0	8	14	-13
12/3/13 18:32	11/29/13	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P.m	481	13.53	0	36	27	167	D				-3	-2	-1	-1	1	1	1	0	8	14	-13
9/30/13 16:54	9/26/13	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P.m	488	13.68	1	36	37	131	D					1	-1	-1	1	0	0	1	0	9	-7
9/25/13 15:03	9/24/13	FSFR	Fund	CEF	Closed-End Funds	Dunn Brian S	NY	D		P	7	13.80	1	1	New	1	D					0	-1	-2	-1	-1	-2	0	-3	9	-7
9/4/13 17:09	9/4/13	FSFR	Fund	CEF	Closed-End Funds	Kay Jeffrey R.	NY	D		P	10	13.97	1	1	New	1	D					-4	1	-1	-1	-1	0	-3	-4	4	-7
8/12/13 15:19	8/12/13	FSFR	Fund	CEF	Closed-End Funds	Dimitrov Ivelin M.	NY	O	Chief In	P	12	13.70	2	1	29	4	D						-5	-3	0	1	-1	1	-1	1	2
8/12/13 15:01	8/8/13	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	NY	DO	P	P	14	13.55	2	1	100	2	D						-5	-3	0	1	-1	1	-1	1	2
8/12/13 14:26	8/9/13	FSFR	Fund	CEF	Closed-End Funds	Frank Alexander C	NY	O	CFO	P	14	13.95	2	1	New	1	D						-5	-3	0	1	-1	1	-1	1	2
8/12/13 14:25	8/8/13	FSFR	Fund	CEF	Closed-End Funds	Harrison David H.	NY	O	CCO,Secr	P	7	13.55	2	1	New	1	D						-5	-3	0	1	-1	1	-1	1	2
8/12/13 14:24	8/8/13	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P.m	681	13.78	2	49	107	96	D						-5	-3	0	1	-1	1	-1	1	2
7/19/13 18:22	7/19/13	FSFR	Fund	CEF	Closed-End Funds	Dutkiewicz Richard P	NY	D		P	14	14.29	9	1	New	1	D								-1	1	0	-5	-4	-5	3
7/19/13 17:02	7/17/13	FSFR	Fund	CEF	Closed-End Funds	Dimitrov Ivelin M.	NY	O	Chief In	P.m	44	14.26	9	3	New	3	D								-1	1	0	-5	-4	-5	3
7/18/13 17:58	7/17/13	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P	144	14.35	11	10	28	46	D								2	-1	-1	-4	-5	-6	3
7/16/13 18:18	7/15/13	FSFR	Fund	CEF	Closed-End Funds	Berman Bernard D	NY	DO	P	P	14	14.38	19	1	New	1	D									0	0	-6	-4	-5	2
7/16/13 18:14	7/15/13	FSFR	Fund	CEF	Closed-End Funds	Tannenbaum Leonard M	NY	DO	CEO	P.m	662	14.36	19	46	999%	46	M									0	0	-6	-4	-5	2

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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