12/8/23 16:36 | 12/8/23 | CNRLX | City National Rochdale Select Strategies Fund | | Fund | CEF | Closed-End Funds | Wolford James R. | NY | D | | S | -43 | 13.72 | 0 | -3 | -7 | 39 | I | | | | | | | | | | | | | | |
12/8/23 16:30 | 12/8/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Hoene Mary Joan | ME | D | | P | 8 | 15.14 | 0 | 1 | 8 | 7 | D | | | | | | | | | | | | | | |
12/8/23 16:12 | 12/8/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Merk Alexander | ME | DO | COO | P | 102 | 15.26 | 0 | 7 | 12 | 63 | D | | | | | | | | | | | | | | |
12/8/23 16:01 | 12/6/23 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Eliasek M Grier | NY | DO | COO | P | 57 | 5.67 | 0 | 10 | 1 | 1,616 | D | | | | | | | | | | | | | | |
12/8/23 14:41 | 12/7/23 | GUG | Guggenheim Active Allocation Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | P | 109 | 14.12 | 0 | 8 | 16 | 58 | D | | | | | | | | | | | | | | |
12/8/23 14:40 | 11/22/23 | FPF | First Trust Intermediate Duration Preferred & Income Fund | | Fund | CEF | Closed-End Funds | Weaver Eric David | CT | H | Officer- | P | 23 | 17.58 | 0 | 1 | 66 | 3 | D | | | | | | | | | | | | | | |
12/8/23 14:38 | 11/21/23 | FPF | First Trust Intermediate Duration Preferred & Income Fund | | Fund | CEF | Closed-End Funds | Graci Angelo D | CT | H | Officer- | P | 26 | 17.56 | 0 | 2 | 8 | 21 | D | | | | | | | | | | | | | | |
12/8/23 14:37 | 11/21/23 | FPF | First Trust Intermediate Duration Preferred & Income Fund | | Fund | CEF | Closed-End Funds | Fleming Scott T | CT | H | Officer- | P | 307 | 17.56 | 0 | 18 | 35 | 68 | D | | | | | | | | | | | | | | |
12/8/23 14:35 | 12/7/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -110 | 13.71 | 0 | -8 | -15 | 44 | D | | | | | | | | | | | | | | |
12/8/23 14:13 | 12/7/23 | BCV | Bancroft Fund Ltd | DE | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -15 | 15.15 | 0 | -1 | -1 | 176 | I | | | | | | | | | | | | | | |
12/8/23 11:43 | 12/7/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.74 | 0 | 0 | 0 | 551 | M | | | | | | | | | | | | | | |
12/7/23 17:21 | 12/7/23 | ISD | Pgim High Yield Bond Fund, Inc. | | Fund | CEF | Closed-End Funds | Cignarella Robert | NJ | H | Portfoli | P | 12 | 12.19 | 0 | 1 | 13 | 9 | D | | | | | | | | | | | | | | |
12/7/23 17:05 | 12/7/23 | SDHY | Pgim Short Duration High Yield Opportunities Fund | | Fund | CEF | Closed-End Funds | Cignarella Robert | NJ | H | Portfoli | P | 120 | 15.00 | 0 | 8 | New | 8 | D | | | | | | | | | | | | | | |
12/7/23 17:04 | 12/5/23 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Eliasek M Grier | NY | DO | COO | P | 56 | 5.64 | 0 | 10 | 1 | 1,606 | D | | | | | | | | | | | | | | |
12/7/23 16:57 | 12/7/23 | GHY | Pgim Global High Yield Fund, Inc. | | Fund | CEF | Closed-End Funds | Cignarella Robert | NJ | H | Portfoli | P | 14 | 11.38 | 0 | 1 | 15 | 9 | D | | | | | | | | | | | | | | |
12/7/23 16:50 | 12/7/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Merk Alexander | ME | DO | COO | P | 69 | 15.44 | 0 | 5 | 9 | 56 | D | | | | | | | | | | | | | | |
12/7/23 15:02 | 12/6/23 | NXJ | Nuveen New Jersey Quality Municipal Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 1,226 | 11.59 | 0 | 106 | 2 | 5,368 | I | | | | | | | | | | | | | | |
12/7/23 15:01 | 12/6/23 | GUG | Guggenheim Active Allocation Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | P | 206 | 14.01 | 0 | 15 | 42 | 50 | D | | | | | | | | | | | | | | |
12/7/23 15:00 | 12/6/23 | MHI | Pioneer Municipal High Income Fund, Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 207 | 8.26 | 0 | 25 | 1 | 3,001 | I | | | | | | | | | | | | | | |
12/7/23 14:59 | 12/6/23 | GIM | Templeton Global Income Fund | FL | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -306 | 3.94 | 0 | -78 | -1 | 10,780 | I | | | | | | | | | | | | | | |
12/7/23 14:57 | 12/6/23 | FMN | Federated Hermes Premier Municipal Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 27 | 10.58 | 0 | 3 | 0 | 1,260 | I | | | | | | | | | | | | | | |
12/7/23 14:55 | 12/6/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -219 | 13.66 | 0 | -16 | -24 | 52 | D | | | | | | | | | | | | | | |
12/7/23 14:55 | 12/6/23 | EVM | Eaton Vance California Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 168 | 8.92 | 0 | 19 | 1 | 3,083 | I | | | | | | | | | | | | | | |
12/7/23 14:53 | 12/6/23 | ENX | Eaton Vance New York Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 6 | 9.24 | 0 | 1 | 0 | 3,017 | I | | | | | | | | | | | | | | |
12/7/23 14:52 | 12/6/23 | DMF | Bny Mellon Municipal Income, Inc. | MD | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 5 | 6.38 | 0 | 1 | 0 | 2,127 | I | | | | | | | | | | | | | | |
12/7/23 14:50 | 12/6/23 | BFZ | Blackrock California Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 1,243 | 11.39 | 0 | 109 | 2 | 5,094 | I | | | | | | | | | | | | | | |
12/7/23 14:45 | 12/5/23 | VTN | Invesco Trust For Investment Grade New York Municipals | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 313 | 10.18 | 0 | 31 | 1 | 2,531 | I | | | | | | | | | | | | | | |
12/7/23 14:42 | 12/5/23 | VPV | Invesco Pennsylvania Value Municipal Income Trust | PA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 374 | 9.82 | 0 | 38 | 2 | 2,558 | I | | | | | | | | | | | | | | |
12/7/23 14:40 | 12/5/23 | NQP | Nuveen Pennsylvania Quality Municipal Income Fund | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 936 | 11.21 | 0 | 83 | 2 | 4,417 | I | | | | | | | | | | | | | | |
12/7/23 14:24 | 12/5/23 | EMO | Clearbridge Energy Midstream Opportunity Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,391 | 33.91 | 0 | 41 | 1 | 3,007 | I | | | | | | | | | | | | | | |
12/7/23 14:21 | 12/5/23 | ECAT | Blackrock Esg Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 6,994 | 15.77 | 0 | 443 | 2 | 21,310 | I | | | | | | | | | | | | | | |
12/7/23 14:14 | 12/5/23 | CTR | Clearbridge Mlp & Midstream Total Return Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 1,290 | 34.96 | 0 | 37 | 3 | 1,124 | I | | | | | | | | | | | | | | |
12/7/23 14:12 | 12/5/23 | CEM | Clearbridge Mlp & Midstream Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 899 | 38.63 | 0 | 23 | 1 | 2,190 | I | | | | | | | | | | | | | | |
12/7/23 14:08 | 12/5/23 | BMEZ | Blackrock Health Sciences Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 6,262 | 14.12 | 0 | 443 | 3 | 15,049 | I | | | | | | | | | | | | | | |
12/7/23 11:33 | 12/5/23 | SRV | Nxg Cushing Midstream Energy Fund | | Fund | CEF | Closed-End Funds | Sunderland Todd | TX | H | Portfoli | P | 0 | 0.3700 | 0 | 0 | New | 0 | D | | | | | | | | | | | | | | |
12/7/23 11:33 | 12/5/23 | NXG | Nxg Nextgen Infrastructure Income Fund | | Fund | CEF | Closed-End Funds | Swank Jerry V | TX | H | See Rema | P | 300 | 33.75 | 0 | 9 | 36 | 34 | D | | | | | | | | | | | | | | |
12/7/23 11:07 | 12/6/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.67 | 0 | 0 | 0 | 551 | M | | | | | | | | | | | | | | |
12/7/23 08:43 | 12/4/23 | PNNT | Pennantpark Investment Corp | | Fund | CEF | Closed-End Funds | Briones Jose A | FL | D | | P.m | 20 | 6.40 | 0 | 3 | 1 | 251 | D | | | | | | | | | | | | | | |
12/6/23 17:10 | 12/5/23 | BIGZ | Blackrock Innovation & Growth Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 6,120 | 7.31 | 0 | 837 | 2 | 39,954 | I | | | | | | | | | | | | | | |
12/6/23 17:07 | 12/5/23 | BCAT | Blackrock Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 3,539 | 14.87 | 0 | 238 | 2 | 12,909 | I | | | | | | | | | | | | | | |
12/6/23 17:05 | 12/5/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 313 | 15.32 | 0 | 20 | 1 | 2,897 | I | | | | | | | | | | | | | | |
12/6/23 17:03 | 12/5/23 | XFLT | Xai Octagon Floating Rate & Alternative Income Term Trust | | Fund | CEF | Closed-End Funds | Spence John Yogi | IL | H | Adviser | P | 41 | 6.89 | 0 | 6 | 1 | 568 | I | | | | | | | | | | | | | | |
12/6/23 17:01 | 12/5/23 | XFLT | Xai Octagon Floating Rate & Alternative Income Term Trust | | Fund | CEF | Closed-End Funds | Brombach Theodore J | IL | O | P,CEO | P | 41 | 6.89 | 0 | 6 | 1 | 519 | I | | | | | | | | | | | | | | |
12/6/23 17:00 | 12/6/23 | SSSS | Suro Capital Corp. | | Fund | CEF | Closed-End Funds | Klein Mark D | NY | DO | CB,CEO,P | P | 61 | 4.11 | 0 | 15 | 1 | 1,071 | D | | | | | | | | | | | | | | |
12/6/23 16:53 | 12/6/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Merk Alexander | ME | DO | COO | P | 55 | 15.29 | 0 | 4 | 8 | 51 | D | | | | | | | | | | | | | | |
12/6/23 16:13 | 12/6/23 | CSQ | Calamos Strategic Total Return Fund | | Fund | CEF | Closed-End Funds | Koudounis John S. | IL | O | VP | S | -190 | 14.17 | 0 | -13 | -46 | 16 | I | | | | | | | | | | | | | | |
12/6/23 16:01 | 12/4/23 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Eliasek M Grier | NY | DO | COO | P | 57 | 5.66 | 0 | 10 | 1 | 1,596 | D | | | | | | | | | | | | | | |
12/6/23 15:48 | 12/6/23 | DXR | Daxor Corp | | Fund | CEF | Closed-End Funds | Michel Robert J | TN | O | CFO | P | 1 | 7.75 | 0 | 0 | 1 | 11 | D | | | | | | | | | | | | | | |
12/6/23 12:06 | 12/5/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.75 | 0 | 0 | 0 | 551 | M | | | | | | | | | | | | | | |
12/6/23 09:54 | 12/5/23 | GUG | Guggenheim Active Allocation Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | P | 84 | 13.92 | 0 | 6 | 21 | 35 | D | | | | | | | | | | | | | | |
12/6/23 09:47 | 12/5/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -269 | 13.47 | 0 | -20 | -23 | 68 | D | | | | | | | | | | | | | | |
12/5/23 18:32 | 12/4/23 | SSSS | Suro Capital Corp. | | Fund | CEF | Closed-End Funds | Green Allison | NY | O | See Rema | P | 49 | 4.03 | 0 | 12 | 11 | 122 | D | | | | | | | | | | | | | | |
12/5/23 17:18 | 12/1/23 | SSSS | Suro Capital Corp. | | Fund | CEF | Closed-End Funds | Klein Mark D | NY | DO | CB,CEO,P | P.m | 200 | 4.02 | 0 | 50 | 5 | 1,057 | D | | | | | | | | | | | | | | |
12/5/23 16:12 | 12/5/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Merk Alexander | ME | DO | COO | P | 33 | 15.51 | 0 | 2 | 5 | 48 | D | | | | | | | | | | | | | | |
12/5/23 14:31 | 12/4/23 | VTN | Invesco Trust For Investment Grade New York Municipals | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 210 | 10.10 | 0 | 21 | 1 | 2,500 | I | | | | | | | | | | | | | | |
12/5/23 14:29 | 12/1/23 | VPV | Invesco Pennsylvania Value Municipal Income Trust | PA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 121 | 9.80 | 0 | 12 | 0 | 2,520 | I | | | | | | | | | | | | | | |
12/5/23 14:27 | 12/1/23 | NQP | Nuveen Pennsylvania Quality Municipal Income Fund | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 326 | 11.11 | 0 | 29 | 1 | 4,334 | I | | | | | | | | | | | | | | |
12/5/23 14:21 | 12/1/23 | NMAI | Nuveen Multi-Asset Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 34 | 11.73 | 0 | 3 | 0 | 4,721 | I | | | | | | | | | | | | | | |
12/5/23 14:19 | 12/1/23 | MPA | Blackrock Muniyield Pennsylvania Quality Fund | NJ | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 27 | 11.39 | 0 | 2 | 0 | 1,844 | I | | | | | | | | | | | | | | |
12/5/23 14:16 | 12/1/23 | EVM | Eaton Vance California Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 752 | 8.88 | 0 | 85 | 3 | 3,064 | I | | | | | | | | | | | | | | |
12/5/23 14:14 | 12/1/23 | EMO | Clearbridge Energy Midstream Opportunity Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,121 | 34.82 | 0 | 32 | 1 | 2,966 | I | | | | | | | | | | | | | | |
12/5/23 14:12 | 12/1/23 | ECAT | Blackrock Esg Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 2,768 | 15.75 | 0 | 176 | 1 | 20,866 | I | | | | | | | | | | | | | | |
12/5/23 14:10 | 12/1/23 | DMF | Bny Mellon Municipal Income, Inc. | MD | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 3 | 6.34 | 0 | 0 | 0 | 2,126 | I | | | | | | | | | | | | | | |
12/5/23 13:07 | 12/1/23 | CTR | Clearbridge Mlp & Midstream Total Return Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 403 | 34.86 | 0 | 12 | 1 | 1,087 | I | | | | | | | | | | | | | | |
12/5/23 13:02 | 12/1/23 | CEV | Eaton Vance California Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 456 | 9.99 | 0 | 46 | 5 | 932 | I | | | | | | | | | | | | | | |
12/5/23 13:00 | 12/1/23 | CEM | Clearbridge Mlp & Midstream Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,193 | 38.71 | 0 | 31 | 1 | 2,167 | I | | | | | | | | | | | | | | |
12/5/23 12:58 | 12/1/23 | BMEZ | Blackrock Health Sciences Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 2,484 | 14.11 | 0 | 176 | 1 | 14,606 | I | | | | | | | | | | | | | | |
12/5/23 12:56 | 12/1/23 | BIGZ | Blackrock Innovation & Growth Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 4,368 | 7.37 | 0 | 593 | 2 | 39,117 | I | | | | | | | | | | | | | | |
12/5/23 12:54 | 12/1/23 | BCAT | Blackrock Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 709 | 14.89 | 0 | 48 | 0 | 12,671 | I | | | | | | | | | | | | | | |
12/5/23 12:52 | 12/1/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 638 | 15.55 | 0 | 41 | 1 | 2,876 | I | | | | | | | | | | | | | | |
12/5/23 10:37 | 12/4/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.75 | 0 | 0 | 0 | 551 | M | | | | | | | | | | | | | | |
12/4/23 20:36 | 11/1/23 | ODCEX | Accordant Odce Index Fund | | Fund | CEF | Closed-End Funds | Accordant Investments LLC | AZ | H | Investme | P | 20 | 10.33 | 0 | 2 | New | 2 | D | | | | | | | | | | | | | | |
12/4/23 17:23 | 12/4/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -40 | 13.36 | 0 | -3 | -3 | 88 | D | | | | | | | | | | | | | | |
12/4/23 11:58 | 12/1/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.65 | 0 | 0 | 0 | 551 | M | | | | | | | | | | | | | | |
12/4/23 09:54 | 12/1/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -83 | 13.36 | 0 | -6 | -6 | 91 | D | | | | | | | | | | | | | | |
12/1/23 21:00 | 12/1/23 | DXR | Daxor Corp | | Fund | CEF | Closed-End Funds | Michel Robert J | TN | O | CFO | P | 1 | 7.75 | 0 | 0 | 2 | 10 | D | | | | | | | | | | | | | | |
12/1/23 20:58 | 12/1/23 | DXR | Daxor Corp | | Fund | CEF | Closed-End Funds | Feldschuh Michael Richard | TN | DO | CEO | P | 6 | 7.80 | 0 | 1 | 0 | 162 | D | | | | | | | | | | | | | | |
12/1/23 18:38 | 11/29/23 | VTN | Invesco Trust For Investment Grade New York Municipals | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 838 | 9.98 | 0 | 84 | 4 | 2,480 | I | | | | | | | | | | | | | | |
12/1/23 18:36 | 11/30/23 | VPV | Invesco Pennsylvania Value Municipal Income Trust | PA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 23 | 9.63 | 0 | 2 | 0 | 2,507 | I | | | | | | | | | | | | | | |
12/1/23 18:35 | 11/29/23 | NXJ | Nuveen New Jersey Quality Municipal Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,004 | 11.50 | 0 | 87 | 2 | 5,262 | I | | | | | | | | | | | | | | |
12/1/23 18:33 | 11/29/23 | NQP | Nuveen Pennsylvania Quality Municipal Income Fund | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 312 | 10.98 | 0 | 28 | 1 | 4,305 | I | | | | | | | | | | | | | | |
12/1/23 18:31 | 11/29/23 | NMAI | Nuveen Multi-Asset Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 108 | 11.67 | 0 | 9 | 0 | 4,718 | I | | | | | | | | | | | | | | |
12/1/23 18:30 | 11/30/23 | MPA | Blackrock Muniyield Pennsylvania Quality Fund | NJ | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 3 | 11.24 | 0 | 0 | 0 | 1,842 | I | | | | | | | | | | | | | | |
12/1/23 18:28 | 11/30/23 | MHI | Pioneer Municipal High Income Fund, Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 170 | 8.12 | 0 | 21 | 1 | 2,976 | I | | | | | | | | | | | | | | |
12/1/23 18:27 | 11/30/23 | MAV | Pioneer Municipal High Income Advantage Fund, Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 3 | 7.51 | 0 | 0 | 0 | 2,441 | I | | | | | | | | | | | | | | |
12/1/23 18:26 | 11/30/23 | KSM | Dws Strategic Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 86 | 8.27 | 0 | 10 | 1 | 1,285 | I | | | | | | | | | | | | | | |
12/1/23 18:24 | 11/30/23 | FMN | Federated Hermes Premier Municipal Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 111 | 10.39 | 0 | 11 | 1 | 1,257 | I | | | | | | | | | | | | | | |
12/1/23 18:23 | 11/30/23 | EVM | Eaton Vance California Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 17 | 8.79 | 0 | 2 | 0 | 2,980 | I | | | | | | | | | | | | | | |
12/1/23 18:22 | 11/30/23 | ENX | Eaton Vance New York Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 191 | 9.23 | 0 | 21 | 1 | 3,017 | I | | | | | | | | | | | | | | |
12/1/23 18:20 | 11/29/23 | EMO | Clearbridge Energy Midstream Opportunity Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 630 | 34.10 | 0 | 18 | 1 | 2,934 | I | | | | | | | | | | | | | | |
12/1/23 18:18 | 11/29/23 | ECAT | Blackrock Esg Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 6,366 | 15.63 | 0 | 407 | 2 | 20,691 | I | | | | | | | | | | | | | | |
12/1/23 18:17 | 11/30/23 | DMF | Bny Mellon Municipal Income, Inc. | MD | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 134 | 6.27 | 0 | 21 | 1 | 2,126 | I | | | | | | | | | | | | | | |
12/1/23 18:14 | 11/29/23 | CTR | Clearbridge Mlp & Midstream Total Return Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 401 | 33.70 | 0 | 12 | 1 | 1,076 | I | | | | | | | | | | | | | | |
12/1/23 18:13 | 11/29/23 | CEV | Eaton Vance California Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 301 | 9.93 | 0 | 30 | 4 | 886 | I | | | | | | | | | | | | | | |
12/1/23 18:11 | 11/29/23 | CEM | Clearbridge Mlp & Midstream Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,731 | 37.80 | 0 | 46 | 2 | 2,136 | I | | | | | | | | | | | | | | |
12/1/23 16:03 | 11/29/23 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Eliasek M Grier | NY | DO | COO | P | 56 | 5.60 | 0 | 10 | 1 | 1,586 | D | | | | | | | | | | | | | | |
12/1/23 15:13 | 12/1/23 | GAM | General American Investors Co Inc | DE | Fund | CEF | Closed-End Funds | Majmudar Anang K. | NY | O | Senior V | P | 13 | 24.68 | 0 | 1 | 2 | 29 | D | | | | | | | | | | | | | | |
12/1/23 12:33 | 11/30/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.71 | 0 | 0 | 0 | 551 | M | | | | | | | | | | | | | | |
12/1/23 11:40 | 12/1/23 | XHFIX | Hartford Schroders Private Opportunities Fund | | Fund | CEF | Closed-End Funds | Schroder Us Holdings Inc. | NY | T | | P | 4,000 | 10.09 | 0 | 396 | 66 | 996 | D | | | | | | | | | | | | | | |
12/1/23 11:28 | 12/1/23 | XHFIX | Hartford Schroders Private Opportunities Fund | | Fund | CEF | Closed-End Funds | Hartford Funds Management Co LLC | PA | TH | See Rema | P | 4,000 | 10.09 | 0 | 396 | 66 | 996 | D | | | | | | | | | | | | | | |
11/30/23 18:56 | 11/29/23 | BMEZ | Blackrock Health Sciences Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 3,940 | 13.88 | 0 | 284 | 2 | 14,430 | I | | | | | | | | | | | | | | |
11/30/23 18:54 | 11/29/23 | BIGZ | Blackrock Innovation & Growth Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 4,363 | 7.21 | 0 | 606 | 2 | 38,524 | I | | | | | | | | | | | | | | |
11/30/23 18:51 | 11/29/23 | BFZ | Blackrock California Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 196 | 11.24 | 0 | 17 | 0 | 4,985 | I | | | | | | | | | | | | | | |
11/30/23 18:49 | 11/29/23 | BCAT | Blackrock Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 238 | 14.77 | 0 | 16 | 0 | 12,623 | I | | | | | | | | | | | | | | |
11/30/23 18:46 | 11/29/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,336 | 15.33 | 0 | 87 | 3 | 2,835 | I | | | | | | | | | | | | | | |
11/30/23 17:17 | 11/28/23 | SSSS | Suro Capital Corp. | | Fund | CEF | Closed-End Funds | Klein Mark D | NY | DO | CB,CEO,P | P.m | 161 | 3.98 | 0 | 40 | 4 | 1,007 | D | | | | | | | | | | | | | | |
11/30/23 16:18 | 11/30/23 | GUG | Guggenheim Active Allocation Fund | | Fund | CEF | Closed-End Funds | Toupin Ronald E Jr | IL | DH | Trustee | P | 3 | 13.73 | 0 | 0 | 2 | 10 | D | | | | | | | | | | | | | | |
11/30/23 16:01 | 11/28/23 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Eliasek M Grier | NY | DO | COO | P | 56 | 5.62 | 0 | 10 | 1 | 1,576 | D | | | | | | | | | | | | | | |
11/30/23 13:25 | 11/30/23 | GUG | Guggenheim Active Allocation Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | P | 14 | 13.85 | 0 | 1 | 4 | 29 | D | | | | | | | | | | | | | | |
11/30/23 13:21 | 11/30/23 | KYN | Kayne Anderson Energy Infrastructure Fund, Inc. | | Fund | CEF | Closed-End Funds | Baker James C | TX | DO | P | P | 340 | 8.50 | 0 | 40 | 7 | 631 | D | | | | | | | | | | | | | | |
11/30/23 11:40 | 11/30/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -133 | 13.30 | 0 | -10 | -9 | 97 | D | | | | | | | | | | | | | | |
11/30/23 10:54 | 11/29/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.71 | 0 | 0 | 0 | 551 | M | | | | | | | | | | | | | | |
11/30/23 10:31 | 11/29/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -13 | 13.25 | 0 | -1 | -1 | 107 | D | | | | | | | | | | | | | | |
11/29/23 17:03 | 11/28/23 | KYN | Kayne Anderson Energy Infrastructure Fund, Inc. | | Fund | CEF | Closed-End Funds | Kayne Anderson Capital Advisors LP | TX | H | Manager | P | 16,156 | 10.03 | 0 | 1,611 | 999% | 1,625 | D | | | | | | | | | | | | | | |
11/29/23 16:45 | 11/28/23 | KYN | Kayne Anderson Energy Infrastructure Fund, Inc. | | Fund | CEF | Closed-End Funds | Logan Ron M Jr | TX | O | SVP | P | 154 | 10.03 | 0 | 15 | 29 | 69 | D | | | | | | | | | | | | | | |
11/29/23 16:29 | 11/28/23 | KYN | Kayne Anderson Energy Infrastructure Fund, Inc. | | Fund | CEF | Closed-End Funds | Baker James C | TX | DO | P | P | 377 | 10.03 | 0 | 38 | 7 | 591 | D | | | | | | | | | | | | | | |
11/29/23 16:23 | 11/28/23 | KYN | Kayne Anderson Energy Infrastructure Fund, Inc. | | Fund | CEF | Closed-End Funds | Hart Terry A | TX | O | COO | P | 154 | 10.03 | 0 | 15 | 42 | 52 | D | | | | | | | | | | | | | | |
11/29/23 16:18 | 11/28/23 | KYN | Kayne Anderson Energy Infrastructure Fund, Inc. | | Fund | CEF | Closed-End Funds | Frey John C | TX | O | EVP | P | 1,183 | 10.03 | 0 | 118 | 21 | 671 | D | | | | | | | | | | | | | | |
11/29/23 16:01 | 11/27/23 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Eliasek M Grier | NY | DO | COO | P | 58 | 5.75 | 0 | 10 | 1 | 1,566 | D | | | | | | | | | | | | | | |
11/29/23 15:53 | 11/29/23 | DNIF | Dividend & Income Fund | DE | Fund | CEF | Closed-End Funds | Winmill Thomas Bassett | NH | DO | See "Exp | P | 12 | 11.16 | 0 | 1 | 4 | 27 | D | | | | | | | | | | | | | | |
11/29/23 11:59 | 11/28/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.70 | 0 | 0 | 0 | 550 | M | | | | | | | | | | | | | | |
11/28/23 18:13 | 11/28/23 | VTN | Invesco Trust For Investment Grade New York Municipals | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 445 | 9.89 | 0 | 45 | 2 | 2,396 | I | | | | | | | | | | | | | | |
11/28/23 18:12 | 11/27/23 | VPV | Invesco Pennsylvania Value Municipal Income Trust | PA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 916 | 9.48 | 0 | 97 | 4 | 2,505 | I | | | | | | | | | | | | | | |
11/28/23 18:10 | 11/27/23 | NXJ | Nuveen New Jersey Quality Municipal Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,403 | 11.37 | 0 | 123 | 2 | 5,175 | I | | | | | | | | | | | | | | |
11/28/23 18:08 | 11/27/23 | NQP | Nuveen Pennsylvania Quality Municipal Income Fund | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 914 | 10.91 | 0 | 84 | 2 | 4,276 | I | | | | | | | | | | | | | | |
11/28/23 18:06 | 11/27/23 | NMAI | Nuveen Multi-Asset Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 152 | 11.53 | 0 | 13 | 0 | 4,708 | I | | | | | | | | | | | | | | |
11/28/23 18:04 | 11/27/23 | MHI | Pioneer Municipal High Income Fund, Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 474 | 7.99 | 0 | 59 | 2 | 2,955 | I | | | | | | | | | | | | | | |
11/28/23 18:03 | 11/28/23 | MAV | Pioneer Municipal High Income Advantage Fund, Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 99 | 7.39 | 0 | 13 | 1 | 2,441 | I | | | | | | | | | | | | | | |
11/28/23 18:01 | 11/27/23 | KSM | Dws Strategic Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 15 | 8.10 | 0 | 2 | 0 | 1,275 | I | | | | | | | | | | | | | | |
11/28/23 18:00 | 11/27/23 | FMN | Federated Hermes Premier Municipal Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 351 | 10.20 | 0 | 34 | 3 | 1,246 | I | | | | | | | | | | | | | | |
11/28/23 17:56 | 11/28/23 | EVM | Eaton Vance California Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 359 | 8.69 | 0 | 41 | 1 | 2,978 | I | | | | | | | | | | | | | | |
11/28/23 17:55 | 11/28/23 | ENX | Eaton Vance New York Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 135 | 9.00 | 0 | 15 | 1 | 2,996 | I | | | | | | | | | | | | | | |
11/28/23 17:52 | 11/28/23 | EMO | Clearbridge Energy Midstream Opportunity Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 1,072 | 33.08 | 0 | 32 | 1 | 2,915 | I | | | | | | | | | | | | | | |
11/28/23 17:50 | 11/27/23 | ECAT | Blackrock Esg Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 5,788 | 15.46 | 0 | 374 | 2 | 20,283 | I | | | | | | | | | | | | | | |
11/28/23 17:48 | 11/27/23 | DMF | Bny Mellon Municipal Income, Inc. | MD | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 17 | 6.17 | 0 | 3 | 0 | 2,105 | I | | | | | | | | | | | | | | |
11/28/23 17:47 | 11/28/23 | CTR | Clearbridge Mlp & Midstream Total Return Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 490 | 33.08 | 0 | 15 | 1 | 1,064 | I | | | | | | | | | | | | | | |
11/28/23 17:45 | 11/27/23 | CEV | Eaton Vance California Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 223 | 9.81 | 0 | 23 | 3 | 856 | I | | | | | | | | | | | | | | |
11/28/23 17:37 | 11/28/23 | CEM | Clearbridge Mlp & Midstream Fund Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 1,050 | 36.79 | 0 | 29 | 1 | 2,090 | I | | | | | | | | | | | | | | |
11/28/23 17:33 | 11/27/23 | BMEZ | Blackrock Health Sciences Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 3,852 | 13.86 | 0 | 278 | 2 | 14,146 | I | | | | | | | | | | | | | | |
11/28/23 17:30 | 11/27/23 | BIGZ | Blackrock Innovation & Growth Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 6,464 | 7.20 | 0 | 897 | 2 | 37,919 | I | | | | | | | | | | | | | | |
11/28/23 17:28 | 11/28/23 | BFZ | Blackrock California Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 98 | 11.02 | 0 | 9 | 0 | 4,967 | I | | | | | | | | | | | | | | |
11/28/23 17:27 | 11/27/23 | BCAT | Blackrock Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 5,686 | 14.64 | 0 | 388 | 3 | 12,607 | I | | | | | | | | | | | | | | |
11/28/23 17:24 | 11/27/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,422 | 14.53 | 0 | 98 | 4 | 2,748 | I | | | | | | | | | | | | | | |
11/28/23 17:21 | 11/28/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -13 | 13.30 | 0 | -1 | -1 | 108 | D | | | | | | | | | | | | | | |
11/28/23 16:42 | 11/27/23 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Spreng R David | IL | DO | P,CEO | P | 103 | 12.80 | 0 | 8 | 3 | 237 | I | | | | | | | | | | | | | | |
11/28/23 16:39 | 11/27/23 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Raterman Thomas B. | IL | O | See Rema | P | 103 | 12.80 | 0 | 8 | 5 | 175 | I | | | | | | | | | | | | | | |
11/28/23 13:23 | 11/28/23 | FSCO | Fs Credit Opportunities Corp. | | Fund | CEF | Closed-End Funds | Hughes Philip E Jr | PA | D | | P | 28 | 5.65 | 0 | 5 | 32 | 21 | D | | | | | | | | | | | | | | |
11/28/23 11:22 | 11/27/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.70 | 0 | 0 | 0 | 550 | M | | | | | | | | | | | | | | |
11/28/23 07:18 | 11/22/23 | PNNT | Pennantpark Investment Corp | | Fund | CEF | Closed-End Funds | Briones Jose A | FL | D | | P | 10 | 6.47 | 0 | 2 | 1 | 247 | D | | | | | | | | | | | | | | |
11/27/23 18:59 | 11/22/23 | PTY | Pimco Corporate & Income Opportunity Fund | | Fund | CEF | Closed-End Funds | Vandecruze Grace | CA | D | | P | 102 | 13.61 | 0 | 8 | New | 8 | I | | | | | | | | | | | | | | |
11/27/23 18:35 | 11/22/23 | DNIF | Dividend & Income Fund | DE | Fund | CEF | Closed-End Funds | Winmill Thomas Bassett | NH | DO | See "Exp | P | 6 | 10.94 | 0 | 1 | 2 | 26 | D | | | | | | | | | | | | | | |
11/27/23 16:00 | 11/27/23 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Finlay Peter I. | NY | D | | P | 3 | 10.88 | 0 | 0 | 15 | 2 | I | | | | | | | | | | | | | | |
11/27/23 14:52 | 11/22/23 | GCV | Gabelli Convertible & Income Securities Fund Inc | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | H | Control | S | -17 | 3.42 | 0 | -5 | 0 | 1,949 | I | | | | | | | | | | | | | | |
11/27/23 14:12 | 11/26/23 | FSCO | Fs Credit Opportunities Corp. | | Fund | CEF | Closed-End Funds | Clark Della | PA | D | | P | 10 | 5.73 | 0 | 2 | 82 | 4 | D | | | | | | | | | | | | | | |
11/27/23 12:02 | 11/24/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.67 | 0 | 0 | 0 | 550 | M | | | | | | | | | | | | | | |
11/27/23 06:03 | 11/24/23 | DXR | Daxor Corp | | Fund | CEF | Closed-End Funds | Michel Robert J | TN | O | CFO | P | 4 | 7.94 | 0 | 1 | 5 | 10 | D | | | | | | | | | | | | | | |
11/24/23 18:35 | 11/22/23 | VTN | Invesco Trust For Investment Grade New York Municipals | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 82 | 9.84 | 0 | 8 | 0 | 2,351 | I | | | | | | | | | | | | | | |
11/24/23 18:33 | 11/22/23 | NMAI | Nuveen Multi-Asset Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 67 | 11.58 | 0 | 6 | 0 | 4,695 | I | | | | | | | | | | | | | | |
11/24/23 18:32 | 11/22/23 | MAV | Pioneer Municipal High Income Advantage Fund, Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 0 | 7.35 | 0 | 0 | 0 | 2,428 | I | | | | | | | | | | | | | | |
11/24/23 18:30 | 11/22/23 | KSM | Dws Strategic Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 106 | 8.10 | 0 | 13 | 1 | 1,273 | I | | | | | | | | | | | | | | |
11/24/23 18:28 | 11/22/23 | ENX | Eaton Vance New York Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 1 | 8.94 | 0 | 0 | 0 | 2,981 | I | | | | | | | | | | | | | | |
11/24/23 18:26 | 11/22/23 | ECAT | Blackrock Esg Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 581 | 15.45 | 0 | 38 | 0 | 19,909 | I | | | | | | | | | | | | | | |
11/24/23 18:24 | 11/24/23 | DMF | Bny Mellon Municipal Income, Inc. | MD | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 73 | 6.16 | 0 | 12 | 1 | 2,102 | I | | | | | | | | | | | | | | |
11/24/23 18:22 | 11/22/23 | BMEZ | Blackrock Health Sciences Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 4,583 | 13.84 | 0 | 331 | 2 | 13,868 | I | | | | | | | | | | | | | | |
11/24/23 18:21 | 11/22/23 | BIGZ | Blackrock Innovation & Growth Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 2,214 | 7.25 | 0 | 305 | 1 | 37,021 | I | | | | | | | | | | | | | | |
11/24/23 18:19 | 11/22/23 | BFZ | Blackrock California Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 22 | 10.93 | 0 | 2 | 0 | 4,959 | I | | | | | | | | | | | | | | |
11/24/23 18:17 | 11/22/23 | BCAT | Blackrock Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 7,048 | 14.70 | 0 | 479 | 4 | 12,219 | I | | | | | | | | | | | | | | |
11/24/23 18:15 | 11/22/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 800 | 14.29 | 0 | 56 | 2 | 2,650 | I | | | | | | | | | | | | | | |
11/24/23 16:54 | 11/22/23 | CELFX | Cliffwater Enhanced Lending Fund | | Fund | CEF | Closed-End Funds | Nesbitt Stephen Lane | WI | DOT | P | P.a | 13,066 | 10.82 | 0 | 1,208 | 80 | 2,709 | I | | | | | | | | | | | | | | |
11/24/23 16:15 | 11/21/23 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Spreng R David | IL | DO | P,CEO | P.m | 218 | 12.59 | 0 | 17 | 8 | 229 | I | | | | | | | | | | | | | | |
11/24/23 16:15 | 11/21/23 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Raterman Thomas B. | IL | O | See Rema | P.m | 218 | 12.59 | 0 | 17 | 12 | 167 | I | | | | | | | | | | | | | | |
11/24/23 16:01 | 11/21/23 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Eliasek M Grier | NY | DO | COO | P | 91 | 5.75 | 0 | 16 | 1 | 1,556 | D | | | | | | | | | | | | | | |
11/24/23 10:58 | 11/22/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.70 | 0 | 0 | 0 | 550 | M | | | | | | | | | | | | | | |
11/22/23 17:27 | 11/20/23 | GLU.B | Gabelli Global Utility & Income Trust | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | TH | Control | S | -116 | 50.35 | 0 | -2 | -2 | 136 | I | | | | | | | | | | | | | | |
11/22/23 16:01 | 11/20/23 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Eliasek M Grier | NY | DO | COO | P | 64 | 5.80 | 0 | 11 | 1 | 1,540 | D | | | | | | | | | | | | | | |
11/22/23 15:07 | 11/22/23 | IGD | Voya Global Equity Dividend & Premium Opportunity Fund | | Fund | CEF | Closed-End Funds | Costa Vincent J | NJ | H | Portfoli | P | 5 | 4.92 | 0 | 1 | 50 | 3 | D | | | | | | | | | | | | | | |
11/22/23 14:55 | 11/22/23 | IHD | Voya Emerging Markets High Dividend Equity Fund | | Fund | CEF | Closed-End Funds | Costa Vincent J | NJ | H | Portfoli | P | 5 | 4.97 | 0 | 1 | 50 | 3 | D | | | | | | | | | | | | | | |
11/22/23 11:57 | 11/21/23 | GHY | Pgim Global High Yield Fund, Inc. | | Fund | CEF | Closed-End Funds | Evans Barry H | NJ | D | | P | 87 | 10.98 | 0 | 8 | 10 | 88 | D | | | | | | | | | | | | | | |
11/22/23 11:47 | 11/21/23 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | P | 0 | 1.70 | 0 | 0 | 0 | 550 | M | | | | | | | | | | | | | | |
11/22/23 11:32 | 11/21/23 | SDHY | Pgim Short Duration High Yield Opportunities Fund | | Fund | CEF | Closed-End Funds | Evans Barry H | NJ | D | | S | -89 | 14.75 | 0 | -6 | -100 | 0 | D | | | | | | | | | | | | | | |
11/22/23 11:14 | 11/21/23 | EDI | Virtus Stone Harbor Emerging Markets Total Income Fund | | Fund | CEF | Closed-End Funds | Zino Brian T | CT | D | | P | 13 | 5.04 | 0 | 3 | New | 3 | D | | | | | | | | | | | | | | |
11/22/23 11:13 | 11/21/23 | EDF | Virtus Stone Harbor Emerging Markets Income Fund | | Fund | CEF | Closed-End Funds | Zino Brian T | CT | D | | P | 10 | 4.20 | 0 | 3 | New | 3 | D | | | | | | | | | | | | | | |
11/21/23 17:58 | 11/20/23 | VTN | Invesco Trust For Investment Grade New York Municipals | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 219 | 9.74 | 0 | 22 | 1 | 2,342 | I | | | | | | | | | | | | | | |
11/21/23 17:56 | 11/20/23 | NXJ | Nuveen New Jersey Quality Municipal Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 2,058 | 11.17 | 0 | 184 | 4 | 5,051 | I | | | | | | | | | | | | | | |
11/21/23 17:51 | 11/20/23 | NQP | Nuveen Pennsylvania Quality Municipal Income Fund | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 181 | 10.75 | 0 | 17 | 0 | 4,192 | I | | | | | | | | | | | | | | |
11/21/23 17:48 | 11/20/23 | NMAI | Nuveen Multi-Asset Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 392 | 11.58 | 0 | 34 | 1 | 4,690 | I | | | | | | | | | | | | | | |
11/21/23 17:45 | 11/20/23 | MHI | Pioneer Municipal High Income Fund, Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 425 | 7.98 | 0 | 53 | 2 | 2,896 | I | | | | | | | | | | | | | | |
11/21/23 17:43 | 11/20/23 | KSM | Dws Strategic Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 303 | 8.12 | 0 | 37 | 3 | 1,260 | I | | | | | | | | | | | | | | |
11/21/23 17:40 | 11/20/23 | FMN | Federated Hermes Premier Municipal Income Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 208 | 10.19 | 0 | 20 | 2 | 1,212 | I | | | | | | | | | | | | | | |
11/21/23 17:33 | 11/20/23 | EVM | Eaton Vance California Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,059 | 8.69 | 0 | 122 | 4 | 2,936 | I | | | | | | | | | | | | | | |
11/21/23 17:31 | 11/20/23 | ENX | Eaton Vance New York Municipal Bond Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 80 | 8.90 | 0 | 9 | 0 | 2,981 | I | | | | | | | | | | | | | | |
11/21/23 17:29 | 11/20/23 | ECAT | Blackrock Esg Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 6,994 | 15.50 | 0 | 451 | 2 | 19,871 | I | | | | | | | | | | | | | | |
11/21/23 17:27 | 11/21/23 | DMF | Bny Mellon Municipal Income, Inc. | MD | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P | 10 | 6.13 | 0 | 2 | 0 | 2,090 | I | | | | | | | | | | | | | | |
11/21/23 17:25 | 11/20/23 | CEV | Eaton Vance California Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 400 | 9.82 | 0 | 41 | 5 | 833 | I | | | | | | | | | | | | | | |
11/21/23 17:23 | 11/20/23 | BMEZ | Blackrock Health Sciences Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 2,958 | 13.79 | 0 | 215 | 2 | 13,537 | I | | | | | | | | | | | | | | |
11/21/23 17:19 | 11/20/23 | BIGZ | Blackrock Innovation & Growth Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 6,695 | 7.21 | 0 | 928 | 3 | 36,716 | I | | | | | | | | | | | | | | |
11/21/23 17:16 | 11/20/23 | BCAT | Blackrock Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 1,211 | 14.75 | 0 | 82 | 1 | 11,739 | I | | | | | | | | | | | | | | |
11/21/23 17:14 | 11/20/23 | ASA | Asa Gold & Precious Metals Ltd | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | P.m | 2,021 | 13.98 | 0 | 145 | 6 | 2,594 | I | | | | | | | | | | | | | | |
11/21/23 17:11 | 11/17/23 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Spreng R David | IL | DO | P,CEO | P.m | 174 | 12.34 | 0 | 14 | 7 | 212 | I | | | | | | | | | | | | | | |
11/21/23 17:09 | 11/17/23 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Raterman Thomas B. | IL | O | See Rema | P.m | 174 | 12.34 | 0 | 14 | 10 | 150 | I | | | | | | | | | | | | | | |