8/30/24 16:22 | 8/28/24 | CGBD | Carlyle Secured Lending, Inc. | | Fund | CEF | Closed-End Funds | Jenkins Mark David | NY | D | | 1 | P.m | 81 | 16.81 | 0 | 5 | 19 | 30 | D | | | | | | | | | | | | | | |
8/30/24 15:18 | 8/29/24 | GCV | Gabelli Convertible & Income Securities Fund Inc | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | H | Control | 12 | S.m | -1,490 | 2.47 | 0 | -604 | | 6,094 | D | | | | | | | | | | | | | | |
8/30/24 14:51 | 8/28/24 | SPMC | Sound Point Meridian Capital, Inc. | | Fund | CEF | Closed-End Funds | Ketchum Stephen | NY | DO | CB | 2 | P | 1,146 | 19.99 | 0 | 57 | | 57 | D | | | | | | | | | | | | | | |
8/30/24 10:36 | 8/29/24 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | 58 | P | 74 | 1.79 | 0 | 41 | 7 | 600 | M | | | | | | | | | | | | | | |
8/29/24 16:37 | 8/28/24 | GBDC | Golub Capital Bdc, Inc. | | Fund | CEF | Closed-End Funds | Golub Lawrence E | NY | DO | CB | 6 | P.m | 10,899 | 15.74 | 0 | 692 | 10 | 7,772 | I | | | | | | | | | | | | | | |
8/29/24 16:30 | 8/27/24 | OBDC | Blue Owl Capital Corp | | Fund | CEF | Closed-End Funds | Dalelio Edward H | NY | D | | 1 | P | 38 | 15.02 | 0 | 3 | 38 | 9 | D | | | | | | | | | | | | | | |
8/29/24 16:28 | 8/28/24 | GBDC | Golub Capital Bdc, Inc. | | Fund | CEF | Closed-End Funds | Golub David | NY | DO | CEO | 6 | P.m | 10,899 | 15.74 | 0 | 692 | 10 | 7,548 | I | | | | | | | | | | | | | | |
8/29/24 12:58 | 9/13/22 | FINS | Angel Oak Financial Strategies Income Term Trust | | Fund | CEF | Closed-End Funds | Angel Oak Capital Partners Ii, LLC | GA | H | General | 1 | S | 0 | 11.00 | 0 | 0 | -100 | 0 | D | | | | | | | | | | | | | | |
8/29/24 11:04 | 8/28/24 | PEO | Adams Natural Resources Fund, Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | 124 | P.m | 52,786 | 10.22 | 0 | 5,163 | 6 | 90,894 | I | | | | | | | | | | | | | | |
8/28/24 19:49 | 8/26/24 | TRIN | Trinity Capital Inc. | | Fund | CEF | Closed-End Funds | Estes Ronald E. | AZ | D | | 2 | P | 29 | 14.02 | 0 | 2 | 7 | 33 | D | | | | | | | | | | | | | | |
8/27/24 19:01 | 8/23/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | 13 | S.m | -556 | 24.23 | 0 | -23 | | 69 | I | | | | | | | | | | | | | | |
8/27/24 16:30 | 8/26/24 | OBDE | Blue Owl Capital Corp III | | Fund | CEF | Closed-End Funds | Woolridge Victor | NY | D | | 1 | P | 100 | 14.64 | 0 | 7 | | 7 | D | | | | | | | | | | | | | | |
8/27/24 14:47 | 8/23/24 | AEF | Abrdn Emerging Markets Equity Income Fund, Inc. | MD | Fund | CEF | Closed-End Funds | Maher Bill | PA | D | | 7 | P | 66 | 8.95 | 0 | 7 | 44 | 24 | I | | | | | | | | | | | | | | |
8/27/24 12:30 | 8/26/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Reisner Michael A | NY | DO | Co-CB,Co | 1 | P | 5 | 12.33 | 0 | 0 | 1 | 45 | D | | | | | | | | | | | | | | |
8/27/24 10:15 | 8/26/24 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Brennan Alice C | NY | D | | 2 | P | 2 | 1.83 | 0 | 1 | 75 | 2 | D | | | | | | | | | | | | | | |
8/26/24 14:58 | 8/22/24 | FAX | Abrdn Asia-Pacific Income Fund, Inc. | MD | Fund | CEF | Closed-End Funds | Porter Rahn K | PA | D | | 4 | P | 47 | 4.91 | 0 | 10 | | 10 | D | | | | | | | | | | | | | | |
8/23/24 20:01 | 8/21/24 | STRUX | Stepstone Private Infrastructure Fund | | Fund | CEF | Closed-End Funds | Sittema Thomas Kent | NC | D | | 1 | P | 250 | 12.10 | 0 | 21 | 41 | 71 | D | | | | | | | | | | | | | | |
8/23/24 16:05 | 8/22/24 | KBDC | Kayne Anderson Bdc, Inc. | | Fund | CEF | Closed-End Funds | Schnabel Susan C | TX | D | | 1 | P.m | 82 | 16.03 | 0 | 5 | | 5 | D | | | | | | | | | | | | | | |
8/23/24 12:28 | 8/16/24 | TREIX | Thirdline Real Estate Income Fund | | Fund | CEF | Closed-End Funds | Eiben Lawrence Scott | VA | DO | Principa | 1 | S | -392 | 10.05 | 0 | -39 | | 414 | I | | | | | | | | | | | | | | |
8/22/24 16:30 | 8/21/24 | OBDC | Blue Owl Capital Corp | | Fund | CEF | Closed-End Funds | Nicholson Logan | NY | O | P | 2 | P | 505 | 14.43 | 0 | 35 | 237 | 50 | M | | | | | | | | | | | | | | |
8/22/24 10:16 | 8/20/24 | NEA | Nuveen Amt-Free Quality Municipal Income Fund | | Fund | CEF | Closed-End Funds | Hamilton Michael S. | IL | H | Portfoli | 1 | P | 25 | 11.63 | 0 | 2 | | 2 | I | | | | | | | | | | | | | | |
8/21/24 20:15 | 8/20/24 | GECC | Great Elm Capital Corp. | | Fund | CEF | Closed-End Funds | Drapkin Matthew A | CT | D | | 1 | P.m | 45 | 10.04 | 0 | 4 | 1 | 865 | D | | | | | | | | | | | | | | |
8/21/24 16:30 | 8/20/24 | OBDE | Blue Owl Capital Corp III | | Fund | CEF | Closed-End Funds | Weiler Melissa | NY | D | | 1 | P | 172 | 14.34 | 0 | 12 | | 12 | D | | | | | | | | | | | | | | |
8/21/24 15:49 | 8/21/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Roman Stephen | NY | O | CCO,Secr | 1 | P | 5 | 12.18 | 0 | 0 | 5 | 10 | D | | | | | | | | | | | | | | |
8/20/24 18:41 | 8/20/24 | SSSS | Suro Capital Corp. | | Fund | CEF | Closed-End Funds | Klein Mark D | NY | DO | CB,CEO,P | 1 | P | 46 | 3.84 | 0 | 12 | 1 | 1,089 | D | | | | | | | | | | | | | | |
8/19/24 18:30 | 8/15/24 | FSK | Fs Kkr Capital Corp | | Fund | CEF | Closed-End Funds | Forman Michael C. | PA | DO | CEO | 1 | S | -3,816 | 19.56 | 0 | -195 | | 170 | I | | | | | | | | | | | | | | |
8/19/24 17:05 | 8/15/24 | PCF | High Income Securities Fund | MA | Fund | CEF | Closed-End Funds | Sell Moritz A | WI | D | | 1 | M | 126 | 6.48 | 0 | 19 | 107 | 38 | D | | | | | | | | | | | | | | |
8/19/24 17:04 | 8/15/24 | PCF | High Income Securities Fund | MA | Fund | CEF | Closed-End Funds | Hellerman Gerald | FL | D | | 1 | M | 16 | 6.48 | 0 | 2 | 6 | 42 | D | | | | | | | | | | | | | | |
8/19/24 17:03 | 8/16/24 | PCF | High Income Securities Fund | MA | Fund | CEF | Closed-End Funds | Goldstein Phillip | NY | D | | 3 | M.m | 3,233 | 6.67 | 0 | 484 | | 260 | D | | | | | | | | | | | | | | |
8/19/24 17:02 | 8/16/24 | PCF | High Income Securities Fund | MA | Fund | CEF | Closed-End Funds | Dayan Richard | WI | D | | 2 | M | 35 | 6.50 | 0 | 5 | | 5 | D | | | | | | | | | | | | | | |
8/19/24 17:01 | 8/15/24 | PCF | High Income Securities Fund | MA | Fund | CEF | Closed-End Funds | Das Rajeev P | NJ | D | | 2 | M | 27 | 6.48 | 0 | 4 | | 4 | M | | | | | | | | | | | | | | |
8/19/24 17:01 | 8/15/24 | PCF | High Income Securities Fund | MA | Fund | CEF | Closed-End Funds | Dakos Andrew | NJ | DO | P | 1 | M | 454 | 6.48 | 0 | 70 | 200 | 105 | D | | | | | | | | | | | | | | |
8/19/24 12:10 | 8/19/24 | EVT | Eaton Vance Tax Advantaged Dividend Income Fund | | Fund | CEF | Closed-End Funds | Dunn Aaron | MA | D | | 1 | P | 7 | 24.15 | 0 | 0 | 23 | 2 | D | | | | | | | | | | | | | | |
8/19/24 10:28 | 8/16/24 | RMT | Royce Micro-Cap Trust, Inc. | | Fund | CEF | Closed-End Funds | Clark Christopher D | NY | DOH | P | 2 | P | 103 | 11.74 | 0 | 9 | 11 | 89 | D | | | | | | | | | | | | | | |
8/19/24 08:57 | 8/15/24 | GHY | Pgim Global High Yield Fund, Inc. | | Fund | CEF | Closed-End Funds | Evans Barry H | NJ | D | | 1 | S | -47 | 12.47 | 0 | -4 | | 84 | D | | | | | | | | | | | | | | |
8/16/24 19:55 | 8/14/24 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Spreng R David | IL | DO | P,CEO | 1 | P | 51 | 10.17 | 0 | 5 | 2 | 281 | D | | | | | | | | | | | | | | |
8/16/24 16:39 | 8/14/24 | DNP | Dnp Select Income Fund Inc | | Fund | CEF | Closed-End Funds | Metlife Investment Management, LLC | NJ | T | | 2 | P | 4,294,967 | 251.17 | 0 | 17,100 | | 0 | I | | | | | | | | | | | | | | |
8/16/24 14:32 | 8/14/24 | PCSZX | Amg Pantheon Credit Solutions Fund | | Fund | CEF | Closed-End Funds | Weston Garret W. | CT | D | | 1 | P | 50 | 10.40 | 0 | 5 | | 5 | D | | | | | | | | | | | | | | |
8/16/24 12:48 | 8/14/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Bresner Gregg A. | NY | O | P,CIO | 1 | P.m | 42 | 12.07 | 0 | 4 | 3 | 113 | M | | | | | | | | | | | | | | |
8/15/24 12:15 | 8/13/24 | MEGI | Mainstay Cbre Global Infrastructure Megatrends Term Fund | | Fund | CEF | Closed-End Funds | Anagnos Jeremy | PA | H | Portfoli | 1 | P | 7 | 13.38 | 0 | 1 | 2 | 25 | D | | | | | | | | | | | | | | |
8/15/24 12:06 | 8/15/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Pinero Eric A. | NY | O | GC | 1 | P | 5 | 12.16 | 0 | 0 | 5 | 8 | D | | | | | | | | | | | | | | |
8/15/24 07:55 | 8/13/24 | ECC | Eagle Point Credit Co Inc. | | Fund | CEF | Closed-End Funds | Onorio Kenneth P. | CT | O | CFO,COO | 1 | P | 3 | 9.73 | 0 | 0 | 1 | 54 | I | | | | | | | | | | | | | | |
8/14/24 20:29 | 8/12/24 | WHF | Whitehorse Finance, Inc. | | Fund | CEF | Closed-End Funds | Bolduc John | FL | D | | 1 | P.m | 200 | 11.49 | 0 | 17 | 8 | 223 | I | | | | | | | | | | | | | | |
8/14/24 18:20 | 8/12/24 | MFIC | Midcap Financial Investment Corp | | Fund | CEF | Closed-End Funds | Pearlman Emanuel R | NY | D | | 1 | P | 13 | 12.98 | 0 | 1 | | 1 | D | | | | | | | | | | | | | | |
8/14/24 16:30 | 8/13/24 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Raterman Thomas B. | IL | O | See Rema | 1 | P | 50 | 10.08 | 0 | 5 | 2 | 207 | D | | | | | | | | | | | | | | |
8/14/24 16:15 | 8/13/24 | OCSL | Oaktree Specialty Lending Corp | | Fund | CEF | Closed-End Funds | Caldwell Phyllis R | CA | D | | 1 | P | 22 | 16.29 | 0 | 1 | 12 | 13 | D | | | | | | | | | | | | | | |
8/14/24 14:08 | 8/12/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Arestia Charlie | NY | O | See Rema | 1 | P | 5 | 11.94 | 0 | 0 | | 0 | I | | | | | | | | | | | | | | |
8/13/24 18:47 | 8/12/24 | TPVG | Triplepoint Venture Growth Bdc Corp. | | Fund | CEF | Closed-End Funds | Srivastava Sajal | CA | DO | P | 1 | P.m | 250 | 7.07 | 0 | 35 | 15 | 275 | D | | | | | | | | | | | | | | |
8/13/24 18:43 | 8/13/24 | TRIN | Trinity Capital Inc. | | Fund | CEF | Closed-End Funds | Brown Kyle Steven | AZ | DO | CEO,P,CI | 1 | P | 50 | 14.16 | 0 | 4 | 0 | 1,038 | D | | | | | | | | | | | | | | |
8/13/24 14:00 | 8/12/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Breakstone Robert A | NY | D | | 1 | P | 12 | 11.89 | 0 | 1 | 9 | 12 | I | | | | | | | | | | | | | | |
8/12/24 17:49 | 8/9/24 | FROPX | Flat Rock Opportunity Fund | | Fund | CEF | Closed-End Funds | Ripp Ryan | WY | O | CFO,Trea | 2 | P | 130 | 20.48 | 0 | 6 | 60 | 17 | D | | | | | | | | | | | | | | |
8/12/24 16:17 | 8/8/24 | GBDC | Golub Capital Bdc, Inc. | | Fund | CEF | Closed-End Funds | Rival Anita J. | NY | D | | 1 | P.m | 446 | 14.39 | 0 | 31 | 34 | 121 | M | | | | | | | | | | | | | | |
8/12/24 16:06 | 7/25/24 | CGBD | Carlyle Secured Lending, Inc. | | Fund | CEF | Closed-End Funds | Hennigan Thomas M | NY | O | CFO | 1 | S | -64 | 18.10 | 0 | -4 | | 2 | I | | | | | | | | | | | | | | |
8/12/24 14:06 | 8/8/24 | FSK | Fs Kkr Capital Corp | | Fund | CEF | Closed-End Funds | Pietrzak Daniel | PA | DO | Co-P,CIO | 1 | P | 96 | 19.21 | 0 | 5 | 9 | 63 | D | | | | | | | | | | | | | | |
8/9/24 16:30 | 8/7/24 | TSLX | Sixth Street Specialty Lending, Inc. | | Fund | CEF | Closed-End Funds | Graf Michael | TX | O | See Rema | 1 | P | 10 | 20.45 | 0 | 1 | 12 | 5 | D | | | | | | | | | | | | | | |
8/9/24 16:23 | 8/9/24 | CSWC | Capital Southwest Corp | | Fund | CEF | Closed-End Funds | Battist Christine | TX | D | | 2 | P | 15 | 24.27 | 0 | 1 | 4 | 14 | D | | | | | | | | | | | | | | |
8/9/24 15:25 | 8/8/24 | PCSZX | Amg Pantheon Credit Solutions Fund | | Fund | CEF | Closed-End Funds | Kinne Keitha L. | CT | O | See Rema | 1 | P | 479 | 10.36 | 0 | 46 | | 46 | D | | | | | | | | | | | | | | |
8/9/24 13:04 | 8/5/24 | PCSZX | Amg Pantheon Credit Solutions Fund | | Fund | CEF | Closed-End Funds | Jain Rakesh | NY | H | Portfoli | 1 | P | 408 | 10.37 | 0 | 39 | 131 | 69 | D | | | | | | | | | | | | | | |
8/8/24 18:50 | 8/6/24 | HTGC | Hercules Capital, Inc. | | Fund | CEF | Closed-End Funds | Theodosopoulos Nikos | CA | D | | 1 | P | 29 | 18.03 | 0 | 2 | 40 | 6 | D | | | | | | | | | | | | | | |
8/8/24 18:50 | 8/6/24 | HTGC | Hercules Capital, Inc. | | Fund | CEF | Closed-End Funds | Randhawa Paramjeet K | CA | D | | 1 | P | 52 | 18.07 | 0 | 3 | 22 | 16 | D | | | | | | | | | | | | | | |
8/8/24 18:50 | 8/6/24 | HTGC | Hercules Capital, Inc. | | Fund | CEF | Closed-End Funds | Loo Wade | CA | D | | 1 | P | 105 | 18.54 | 0 | 6 | 27 | 26 | M | | | | | | | | | | | | | | |
8/8/24 18:49 | 8/6/24 | HTGC | Hercules Capital, Inc. | | Fund | CEF | Closed-End Funds | Crowell Gayle A | CA | D | | 2 | P | 119 | 18.28 | 0 | 6 | 12 | 59 | D | | | | | | | | | | | | | | |
8/8/24 18:49 | 8/6/24 | HTGC | Hercules Capital, Inc. | | Fund | CEF | Closed-End Funds | Aguirre Deanne | CA | D | | 1 | P | 105 | 18.49 | 0 | 6 | 70 | 14 | M | | | | | | | | | | | | | | |
8/8/24 18:49 | 8/6/24 | HTGC | Hercules Capital, Inc. | | Fund | CEF | Closed-End Funds | Fallon Thomas J | CA | D | | 1 | P | 105 | 18.33 | 0 | 6 | 6 | 99 | M | | | | | | | | | | | | | | |
8/8/24 17:33 | 8/5/24 | PCSZX | Amg Pantheon Credit Solutions Fund | | Fund | CEF | Closed-End Funds | Disbrow Thomas | CT | O | See Rema | 1 | P | 200 | 10.37 | 0 | 19 | | 19 | D | | | | | | | | | | | | | | |
8/7/24 16:30 | 8/5/24 | TSLX | Sixth Street Specialty Lending, Inc. | | Fund | CEF | Closed-End Funds | Slotkin Judy S | TX | D | | 1 | P | 140 | 19.90 | 0 | 7 | 60 | 19 | D | | | | | | | | | | | | | | |
8/7/24 16:20 | 8/5/24 | NMFC | New Mountain Finance Corp | | Fund | CEF | Closed-End Funds | Corbett Kris | NY | O | CFO,Trea | 1 | P | 76 | 11.72 | 0 | 7 | | 7 | I | | | | | | | | | | | | | | |
8/6/24 17:55 | 4/1/24 | FPMYX | Felicitas Private Markets Fund | | Fund | CEF | Closed-End Funds | Smith Brian P. | GA | O | P | 1 | P | 50 | 20.07 | 0 | 2 | | 2 | D | | | | | | | | | | | | | | |
8/5/24 15:09 | 8/5/24 | HRZN | Horizon Technology Finance Corp | | Fund | CEF | Closed-End Funds | Goodman Jonathan Joseph | CT | D | | 1 | P | 25 | 10.81 | 0 | 2 | | 2 | I | | | | | | | | | | | | | | |
8/5/24 15:03 | 8/5/24 | HRZN | Horizon Technology Finance Corp | | Fund | CEF | Closed-End Funds | Balkin Michael | CT | D | | 1 | P | 106 | 10.58 | 0 | 10 | | 10 | D | | | | | | | | | | | | | | |
8/5/24 10:26 | 8/1/24 | NAGRX | Niagara Income Opportunities Fund | | Fund | CEF | Closed-End Funds | Garfinkel Mark D. | GA | H | Portfoli | 1 | P | 20 | 10.36 | 0 | 2 | 67 | 5 | D | | | | | | | | | | | | | | |
8/2/24 16:20 | 7/31/24 | TAKMX | Carlyle Tactical Private Credit Fund | | Fund | CEF | Closed-End Funds | Marcus Brian | NY | O | P,PEO | 1 | P | 250 | 8.58 | 0 | 29 | 90 | 62 | D | | | | | | | | | | | | | | |
7/30/24 17:58 | 7/26/24 | REFLX | Pimco Flexible Real Estate Income Fund | | Fund | CEF | Closed-End Funds | Hall Gregory Weston | CA | H | SEE REMA | 1 | P | 500 | 10.50 | 0 | 48 | | 48 | I | | | | | | | | | | | | | | |
7/26/24 19:29 | 7/24/24 | PMFAX | Pimco Flexible Municipal Income Fund | | Fund | CEF | Closed-End Funds | McCartney Kathleen Ann | CA | D | | 1 | P | 150 | 10.39 | 0 | 14 | | 14 | D | | | | | | | | | | | | | | |
7/26/24 15:14 | 7/19/24 | PDCC | Pearl Diver Credit Co Inc. | | Fund | CEF | Closed-End Funds | University of Wisconsin Foundation | WI | T | | 2 | P | 58,362 | 19.99 | 0 | 2,919 | 104 | 5,727 | D | | | | | | | | | | | | | | |
7/25/24 12:31 | 7/24/24 | CAPIX | Calamos Aksia Alternative Credit & Income Fund | | Fund | CEF | Closed-End Funds | Koudounis John S. | IL | DO | VP | 1 | P | 125 | 10.57 | 0 | 12 | 11 | 119 | D | | | | | | | | | | | | | | |
7/24/24 14:53 | 7/5/24 | GGT.R | Gabelli Multimedia Trust Inc. | | Fund | CEF | Closed-End Funds | Laughlin Susan Watson | NY | D | | 1 | S.m | 0 | 0.0073 | 0 | -5 | -100 | 0 | D | | | | | | | | | | | | | | |
7/24/24 13:24 | 7/23/24 | NXG | Nxg Nextgen Infrastructure Income Fund | | Fund | CEF | Closed-End Funds | Sunderland Todd | TX | H | COO | 2 | P | 41 | 39.73 | 0 | 1 | 999% | 1 | D | | | | | | | | | | | | | | |
7/22/24 16:11 | 7/18/24 | TBLD | Thornburg Income Builder Opportunities Trust | | Fund | CEF | Closed-End Funds | Kritzmire Anne W. | NM | H | TRUSTEE | 1 | P | 16 | 16.40 | 0 | 1 | 250 | 1 | D | | | | | | | | | | | | | | |
7/22/24 12:33 | 7/19/24 | CCLFX | Cliffwater Corporate Lending Fund | | Fund | CEF | Closed-End Funds | Williams Paul Jay | WI | D | | 3 | P | 350 | 11.43 | 0 | 31 | 13 | 260 | D | | | | | | | | | | | | | | |
7/22/24 12:20 | 7/19/24 | KBDC | Kayne Anderson Bdc, Inc. | | Fund | CEF | Closed-End Funds | Joliet Mariel A | TX | D | | 1 | P | 210 | 16.14 | 0 | 13 | | 13 | D | | | | | | | | | | | | | | |
7/18/24 14:58 | 7/16/24 | THW | Abrdn World Healthcare Fund | | Fund | CEF | Closed-End Funds | Dimartino Rose | PA | D | | 4 | P | 69 | 17.26 | 0 | 4 | | 4 | D | | | | | | | | | | | | | | |
7/18/24 09:38 | 7/16/24 | BMC | Bmc Fund Inc | | Fund | CEF | Closed-End Funds | Broyhill Markham Hunt | NC | D | | 1 | P | 3 | 18.00 | 0 | 0 | 0 | 78 | D | | | | | | | | | | | | | | |
7/17/24 17:23 | 7/15/24 | REFLX | Pimco Flexible Real Estate Income Fund | | Fund | CEF | Closed-End Funds | Ivascyn Daniel J | CA | TH | SEE REMA | 3 | P | 16,141 | 10.51 | 0 | 1,536 | 192 | 2,335 | D | | | | | | | | | | | | | | |
7/16/24 20:31 | 7/16/24 | XIVYX | Institutional Investment Strategy Fund | | Fund | CEF | Closed-End Funds | Ghodoosi Arash | CA | OT | P,Princi | 1 | P | 208 | 10.56 | 0 | 20 | 49 | 60 | D | | | | | | | | | | | | | | |
7/16/24 14:23 | 7/15/24 | STRUX | Stepstone Private Infrastructure Fund | | Fund | CEF | Closed-End Funds | Long Robert W. | NC | DO | P,Prin. | 1 | P | 88 | 11.97 | 0 | 7 | 24 | 37 | I | | | | | | | | | | | | | | |
7/12/24 13:04 | 7/11/24 | PRTFT | Tax Free Target Maturity Fund For Puerto Rico Residents, Inc. | | Fund | CEF | Closed-End Funds | Rad Investments LLC | PR | T | | 2 | P | 24 | 0.6700 | 0 | 36 | 1 | 3,602 | D | | | | | | | | | | | | | | |
7/11/24 16:10 | 7/11/24 | BANX | Arrowmark Financial Corp. | | Fund | CEF | Closed-End Funds | Farrell Patrick Joseph | CO | O | CFO | 1 | P | 12 | 18.81 | 0 | 1 | 15 | 5 | D | | | | | | | | | | | | | | |
7/10/24 14:44 | 7/10/24 | VETZ | Tidal Etf Trust | | Fund | CEF | Closed-End Funds | State Farm Mutual Automobile Insurance Co | IL | T | | 1 | P | 5,010 | 19.96 | 0 | 251 | 48 | 771 | D | | | | | | | | | | | | | | |
7/9/24 14:14 | 7/8/24 | DNP | Dnp Select Income Fund Inc | | Fund | CEF | Closed-End Funds | McLoughlin Philip R | IL | D | | 1 | P | 21 | 8.33 | 0 | 3 | 16 | 18 | D | | | | | | | | | | | | | | |
7/5/24 13:04 | 6/20/24 | MXF | Mexico Fund Inc | | Fund | CEF | Closed-End Funds | De La Calle Luis | O5 | D | | 1 | P | 22 | 16.02 | 0 | 1 | | 1 | D | | | | | | | | | | | | | | |
7/3/24 13:14 | 6/28/24 | FUND | Sprott Focus Trust Inc. | MD | Fund | CEF | Closed-End Funds | George W Whitney | CT | DTH | Senior P | 1 | S | -115 | 7.39 | 0 | -16 | 0 | 15,063 | I | | | | | | | | | | | | | | |
7/3/24 11:47 | 7/2/24 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | 1 | S | -88 | 15.02 | 0 | -6 | -100 | 0 | D | | | | | | | | | | | | | | |
7/2/24 13:00 | 7/1/24 | BRW | Saba Capital Income & Opportunities Fund | MA | Fund | CEF | Closed-End Funds | Weinstein Boaz | NY | O | P | 1 | S | -22 | 7.10 | 0 | -3 | -100 | 0 | D | | | | | | | | | | | | | | |
7/2/24 12:16 | 7/2/24 | NZF | Nuveen Municipal Credit Income Fund | | Fund | CEF | Closed-End Funds | Robert Young L | IL | H | Trustee | 2 | P | 400 | 12.08 | 0 | 33 | 210 | 49 | D | | | | | | | | | | | | | | |
7/1/24 17:31 | 6/28/24 | HGLB | Highland Global Allocation Fund | | Fund | CEF | Closed-End Funds | Powell Ethan | TX | D | | 1 | P | 50 | 7.47 | 0 | 7 | | 7 | D | | | | | | | | | | | | | | |
6/28/24 16:03 | 6/28/24 | CSWC | Capital Southwest Corp | | Fund | CEF | Closed-End Funds | Rogers-Windsor Ramona Lynn | TX | D | | 1 | P | 5 | 26.13 | 0 | 0 | 2 | 13 | D | | | | | | | | | | | | | | |
6/27/24 14:21 | 6/26/24 | VCRDX | Versus Capital Infrastructure Income Fund | | Fund | CEF | Closed-End Funds | Versus Capital Advisors LLC | CO | TH | Investme | 1 | P | 25,000 | 10.24 | 0 | 2,441 | 81 | 5,451 | D | | | | | | | | | | | | | | |
6/24/24 19:25 | 6/21/24 | SRV | Nxg Cushing Midstream Energy Fund | | Fund | CEF | Closed-End Funds | Alban John | TX | DH | Trustee | 1 | S | -42 | 41.74 | 0 | -1 | | 1 | D | | | | | | | | | | | | | | |
6/24/24 17:19 | 6/21/24 | SCD | Lmp Capital & Income Fund Inc. | | Fund | CEF | Closed-End Funds | Cronin Daniel P | NY | D | | 2 | P | 30 | 14.87 | 0 | 2 | 9 | 23 | D | | | | | | | | | | | | | | |
6/24/24 17:00 | 6/18/24 | HTGC | Hercules Capital, Inc. | | Fund | CEF | Closed-End Funds | Badavas Robert P | CA | D | | 4 | M.dm | 1,081 | 18.01 | 0 | 60 | 116 | 112 | D | | | | | | | | | | | | | | |
6/24/24 17:00 | 6/18/24 | HTGC | Hercules Capital, Inc. | | Fund | CEF | Closed-End Funds | Badavas Robert P | CA | D | | 4 | S.dm | -1,081 | 18.01 | 0 | -60 | | 112 | D | | | | | | | | | | | | | | |
6/24/24 16:30 | 6/21/24 | CCIF | Carlyle Credit Income Fund | | Fund | CEF | Closed-End Funds | McCabe Joan Y | NY | D | | 1 | P | 50 | 8.40 | 0 | 6 | 94 | 12 | D | | | | | | | | | | | | | | |
6/24/24 16:03 | 6/20/24 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Van Dask Kristin Lea | NY | O | CFO,TREA | 1 | P | 75 | 22.50 | 0 | 3 | 275 | 5 | D | | | | | | | | | | | | | | |
6/21/24 17:30 | 6/21/24 | DNP | Dnp Select Income Fund Inc | | Fund | CEF | Closed-End Funds | Petrisko Daniel | IL | O | EVP | 1 | P | 7 | 8.13 | 0 | 1 | 29 | 4 | D | | | | | | | | | | | | | | |
6/21/24 16:45 | 6/18/24 | PFX | Phenixfin Corp | | Fund | CEF | Closed-End Funds | Lorber David A | NY | DOT | CB,CEO | 2 | P.m | 88 | 45.55 | 0 | 2 | 1 | 211 | D | | | | | | | | | | | | | | |
6/21/24 16:32 | 6/21/24 | MXF | Mexico Fund Inc | | Fund | CEF | Closed-End Funds | Vaughan Richard B. | TX | D | | 1 | P | 24 | 16.14 | 0 | 2 | 21 | 9 | D | | | | | | | | | | | | | | |
6/21/24 16:18 | 6/14/24 | SLRC | Slr Investment Corp. | | Fund | CEF | Closed-End Funds | Roberts Andrea Colvin | NY | D | | 1 | P | 400 | 15.98 | 0 | 25 | | 25 | D | | | | | | | | | | | | | | |
6/21/24 15:03 | 6/21/24 | JLS | Nuveen Mortgage & Income Fund/ma/ | | Fund | CEF | Closed-End Funds | Parekh Aashh | IL | H | Portfoli | 1 | S | -5 | 18.13 | 0 | 0 | | 4 | D | | | | | | | | | | | | | | |
6/20/24 13:00 | 6/18/24 | USQIX | Usq Core Real Estate Fund | | Fund | CEF | Closed-End Funds | Mann Havilah Stewart | VT | D | | 1 | P | 6 | 22.59 | 0 | 0 | 9 | 3 | D | | | | | | | | | | | | | | |
6/20/24 12:48 | 6/18/24 | USQIX | Usq Core Real Estate Fund | | Fund | CEF | Closed-End Funds | Fairchild Gregory B. | VA | D | | 1 | P | 5 | 22.64 | 0 | 0 | 3 | 7 | D | | | | | | | | | | | | | | |
6/18/24 19:39 | 6/14/24 | PFX | Phenixfin Corp | | Fund | CEF | Closed-End Funds | McMillan Ellida | NY | O | CFO | 1 | P | 45 | 45.12 | 0 | 1 | 75 | 2 | D | | | | | | | | | | | | | | |
6/18/24 17:19 | 6/17/24 | SPMC | Sound Point Meridian Capital, Inc. | | Fund | CEF | Closed-End Funds | Gerlitz Kevin | NY | O | CFO | 1 | P | 100 | 20.00 | 0 | 5 | | 5 | D | | | | | | | | | | | | | | |
6/18/24 17:19 | 6/17/24 | SPMC | Sound Point Meridian Capital, Inc. | | Fund | CEF | Closed-End Funds | Desai Ujjaval | NY | DO | CEO | 1 | P | 1,000 | 20.00 | 0 | 50 | | 50 | D | | | | | | | | | | | | | | |
6/18/24 14:47 | 6/18/24 | FTHY | First Trust High Yield Opportunities 2027 Term Fund | | Fund | CEF | Closed-End Funds | McGarel David | IL | O | Officer- | 1 | P | 196 | 14.01 | 0 | 14 | | 14 | D | | | | | | | | | | | | | | |
6/18/24 08:25 | 6/17/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Griggs Kathleen | IL | D | | 1 | P | 9 | 7.50 | 0 | 1 | 97 | 2 | D | | | | | | | | | | | | | | |
6/17/24 10:20 | 6/14/24 | GAM | General American Investors Co Inc | DE | Fund | CEF | Closed-End Funds | Stark Eugene S | NY | O | VP Admin | 1 | P | 49 | 24.76 | 0 | 2 | 2 | 117 | D | | | | | | | | | | | | | | |
6/17/24 06:01 | 6/14/24 | MCI | Barings Corporate Investors | | Fund | CEF | Closed-End Funds | Grace Edward P III | NC | H | Trustee | 4 | S | -595 | 18.41 | 0 | -32 | | 25 | D | | | | | | | | | | | | | | |
6/14/24 16:26 | 6/14/24 | DNP | Dnp Select Income Fund Inc | | Fund | CEF | Closed-End Funds | West Kyle P. | IL | H | Officer | 1 | P | 8 | 8.24 | 0 | 1 | 16 | 7 | D | | | | | | | | | | | | | | |
6/13/24 10:44 | 6/10/24 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Newman Melinda | NY | D | | 1 | P | 3 | 1.66 | 0 | 2 | | 2 | D | | | | | | | | | | | | | | |
6/12/24 14:43 | 6/10/24 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Allen Anita L | NY | D | | 1 | P | 0 | 1.66 | 0 | 0 | | 0 | D | | | | | | | | | | | | | | |
6/12/24 11:41 | 6/11/24 | GDV | Gabelli Dividend & Income Trust | | Fund | CEF | Closed-End Funds | Astorino Robert P. | NY | D | | 1 | P | 5 | 22.75 | 0 | 0 | | 0 | D | | | | | | | | | | | | | | |
6/11/24 18:35 | 6/7/24 | XIVYX | Institutional Investment Strategy Fund | | Fund | CEF | Closed-End Funds | McElhoe Wenwen | CA | DT | | 1 | P | 46 | 10.29 | 0 | 4 | 2 | 183 | D | | | | | | | | | | | | | | |
6/11/24 17:00 | 6/11/24 | FSCO | Fs Credit Opportunities Corp. | | Fund | CEF | Closed-End Funds | Fouss Barbara J | PA | D | | 1 | P | 38 | 6.40 | 0 | 6 | 28 | 27 | D | | | | | | | | | | | | | | |
6/11/24 16:47 | 6/10/24 | FSK | Fs Kkr Capital Corp | | Fund | CEF | Closed-End Funds | Hopkins Jerel A | PA | D | | 1 | P | 10 | 20.70 | 0 | 0 | 6 | 8 | I | | | | | | | | | | | | | | |
6/11/24 16:37 | 6/10/24 | FSCO | Fs Credit Opportunities Corp. | | Fund | CEF | Closed-End Funds | Clark Della | PA | D | | 1 | P | 10 | 6.36 | 0 | 2 | 41 | 6 | D | | | | | | | | | | | | | | |
6/11/24 16:26 | 6/7/24 | NMFC | New Mountain Finance Corp | | Fund | CEF | Closed-End Funds | Ogens David | NY | D | | 1 | P | 44 | 12.62 | 0 | 4 | 2 | 166 | D | | | | | | | | | | | | | | |
6/11/24 16:14 | 6/5/24 | PFLT | Pennantpark Floating Rate Capital Ltd. | | Fund | CEF | Closed-End Funds | Briones Jose A | FL | D | | 1 | P | 20 | 11.40 | 0 | 2 | 1 | 328 | D | | | | | | | | | | | | | | |
6/10/24 15:34 | 6/7/24 | CAPIX | Calamos Aksia Alternative Credit & Income Fund | | Fund | CEF | Closed-End Funds | Behan Robert | IL | O | VP | 1 | P | 25 | 10.64 | 0 | 2 | 6 | 44 | D | | | | | | | | | | | | | | |