5/14/24 16:12 | 5/14/24 | FSK | Fs Kkr Capital Corp | | Fund | CEF | Closed-End Funds | Sandler Elizabeth | PA | D | | 2 | P | 39 | 19.43 | 0 | 2 | 29 | 9 | I | | | | | | | | | | | | | | |
5/14/24 16:01 | 5/10/24 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Barry John F | FL | DOT | CEO | 1 | P | 4,377 | 5.48 | 0 | 799 | 1 | 66,096 | D | | | | | | | | | | | | | | |
5/14/24 14:30 | 5/13/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Reisner Michael A | NY | DO | Co-CB,Co | 2 | P | 10 | 11.40 | 0 | 1 | 2 | 44 | D | | | | | | | | | | | | | | |
5/14/24 13:50 | 5/10/24 | HQL | Abrdn Life Sciences Investors | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | 157 | P.m | 161,437 | 12.72 | 0 | 12,692 | 8 | 175,228 | I | | | | | | | | | | | | | | |
5/14/24 10:35 | 5/13/24 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Stahl Murray | NY | DO | P,CEO | 62 | P | 6 | 1.62 | 0 | 4 | 1 | 558 | M | | | | | | | | | | | | | | |
5/13/24 16:51 | 5/9/24 | PCSZX | Amg Pantheon Credit Solutions Fund | | Fund | CEF | Closed-End Funds | Keilhacker Kurt | CT | D | | 1 | P | 202 | 10.01 | 0 | 20 | | 20 | D | | | | | | | | | | | | | | |
5/10/24 16:48 | 5/9/24 | XFLT | Xai Octagon Floating Rate & Alternative Income Trust | | Fund | CEF | Closed-End Funds | Brombach Theodore J | IL | O | P,CEO | 1 | P.m | 49 | 7.13 | 0 | 7 | 1 | 522 | I | | | | | | | | | | | | | | |
5/10/24 16:37 | 5/9/24 | XFLT | Xai Octagon Floating Rate & Alternative Income Trust | | Fund | CEF | Closed-End Funds | Spence John Yogi | IL | H | Advisor | 1 | P.m | 49 | 7.13 | 0 | 7 | 1 | 576 | I | | | | | | | | | | | | | | |
5/10/24 15:01 | 5/9/24 | PCSZX | Amg Pantheon Credit Solutions Fund | | Fund | CEF | Closed-End Funds | Miller Jeffrey Grant | CA | H | Portfoli | 1 | P | 185 | 10.01 | 0 | 18 | | 18 | D | | | | | | | | | | | | | | |
5/10/24 13:20 | 5/9/24 | BBDC | Barings Bdc, Inc. | | Fund | CEF | Closed-End Funds | Freno Michael | NC | H | Officer | 1 | P | 267 | 9.73 | 0 | 28 | 63 | 71 | D | | | | | | | | | | | | | | |
5/9/24 15:16 | 5/8/24 | PCSZX | Amg Pantheon Credit Solutions Fund | | Fund | CEF | Closed-End Funds | Jain Rakesh | NY | H | Portfoli | 1 | P | 300 | 10.01 | 0 | 30 | | 30 | D | | | | | | | | | | | | | | |
5/9/24 15:02 | 5/8/24 | XIVYX | Institutional Investment Strategy Fund | | Fund | CEF | Closed-End Funds | O'Neil Brian Stephen | CA | D | | 1 | P | 50 | 10.17 | 0 | 5 | | 5 | D | | | | | | | | | | | | | | |
5/8/24 17:31 | 5/7/24 | STEW | Srh Total Return Fund, Inc. | | Fund | CEF | Closed-End Funds | Moore Thomas Jack | CO | D | | 2 | P.e | 41 | 14.43 | 0 | 3 | 999% | 3 | D | | | | | | | | | | | | | | |
5/7/24 16:51 | 5/6/24 | RQI | Cohen & Steers Quality Income Realty Fund Inc | | Fund | CEF | Closed-End Funds | Rogers-Windsor Ramona Lynn | NY | D | | 4 | P | 14 | 13.09 | 0 | 1 | 42 | 4 | D | | | | | | | | | | | | | | |
5/6/24 10:40 | 5/2/24 | GLO | Clough Global Opportunities Fund | | Fund | CEF | Closed-End Funds | Clough Charles Jr | MA | H | Person a | 4 | P | 794 | 5.67 | 0 | 140 | 22 | 791 | D | | | | | | | | | | | | | | |
5/3/24 17:14 | 4/30/24 | XIVYX | Institutional Investment Strategy Fund | | Fund | CEF | Closed-End Funds | Pauker Matthew | CA | H | Principa | 3 | P.m | 1,367 | 10.02 | 0 | 136 | 999% | 146 | D | | | | | | | | | | | | | | |
5/2/24 17:38 | 5/1/24 | CPZ | Calamos Long/short Equity & Dynamic Income Trust | | Fund | CEF | Closed-End Funds | Herman Thomas E | IL | O | VP,CFO | 1 | P | 254 | 15.55 | 0 | 16 | 156 | 27 | D | | | | | | | | | | | | | | |
5/2/24 15:24 | 5/2/24 | AVK | Advent Convertible & Income Fund | | Fund | CEF | Closed-End Funds | Stuebe Nancy E. | IL | DH | TRUSTEE | 1 | P | 6 | 11.71 | 0 | 1 | 12 | 5 | D | | | | | | | | | | | | | | |
5/2/24 14:49 | 5/1/24 | PEO | Adams Natural Resources Fund, Inc. | | Fund | CEF | Closed-End Funds | Buckley Gregory W. | MD | O | E.VP | 1 | P | 25 | 23.07 | 0 | 1 | 8 | 14 | D | | | | | | | | | | | | | | |
5/2/24 14:18 | 5/2/24 | CET | Central Securities Corp | DE | Fund | CEF | Closed-End Funds | Hill John C | NY | DO | CEO,P | 3 | P | 49 | 40.45 | 0 | 1 | 2 | 69 | M | | | | | | | | | | | | | | |
5/2/24 09:36 | 4/30/24 | PCSZX | Amg Pantheon Credit Solutions Fund | | Fund | CEF | Closed-End Funds | Rakowski Eric | CT | D | | 1 | P | 400 | 10.00 | 0 | 40 | | 40 | I | | | | | | | | | | | | | | |
5/1/24 17:56 | 3/12/24 | TREIX | Thirdline Real Estate Income Fund | | Fund | CEF | Closed-End Funds | Hutchens Charles Carter | VA | DO | Principa | 1 | P | 15 | 10.15 | 0 | 1 | 5 | 29 | D | | | | | | | | | | | | | | |
4/30/24 17:31 | 10/5/17 | BLE | Blackrock Municipal Income Trust II | | Fund | CEF | Closed-End Funds | Oconnor Walter | NY | H | Portfoli | 1 | P | 1 | 15.48 | 0 | 0 | | 0 | D | | | | | | | | | | | | | | |
4/30/24 17:27 | 12/27/23 | BMEZ | Blackrock Health Sciences Term Trust | | Fund | CEF | Closed-End Funds | McClements Kyle | NY | H | Portfoli | 1 | P | 15 | 14.78 | 0 | 1 | 44 | 3 | D | | | | | | | | | | | | | | |
4/25/24 16:19 | 4/23/24 | TBLD | Thornburg Income Builder Opportunities Trust | | Fund | CEF | Closed-End Funds | Wixted Brian W. | NM | H | Trustee | 1 | P | 25 | 15.50 | 0 | 2 | | 2 | D | | | | | | | | | | | | | | |
4/23/24 16:36 | 4/11/24 | TAKIX | Carlyle Tactical Private Credit Fund | | Fund | CEF | Closed-End Funds | McCabe Joan Y | NY | D | | 2 | P | 1,548 | 8.57 | 0 | 181 | 999% | 186 | D | | | | | | | | | | | | | | |
4/23/24 10:45 | 4/22/24 | MXF | Mexico Fund Inc | | Fund | CEF | Closed-End Funds | Vaughan Richard B. | TX | D | | 1 | P | 71 | 17.69 | 0 | 4 | 400 | 5 | D | | | | | | | | | | | | | | |
4/22/24 21:10 | 4/19/24 | REFLX | Pimco Flexible Real Estate Income Fund | | Fund | CEF | Closed-End Funds | Gannaway Russell D | CA | H | SEE REMA | 1 | P | 1,000 | 10.48 | 0 | 95 | 46 | 301 | D | | | | | | | | | | | | | | |
4/22/24 15:04 | 4/19/24 | CET | Central Securities Corp | DE | Fund | CEF | Closed-End Funds | O'Neill Andrew J | NY | O | VP | 1 | P | 32 | 40.13 | 0 | 1 | 1 | 85 | D | | | | | | | | | | | | | | |
4/22/24 12:45 | 4/18/24 | XIVYX | Institutional Investment Strategy Fund | | Fund | CEF | Closed-End Funds | McElhoe Wenwen | CA | D | | 3 | P | 1,197 | 10.16 | 0 | 118 | 195 | 178 | D | | | | | | | | | | | | | | |
4/19/24 09:01 | 4/18/24 | FINS | Angel Oak Financial Strategies Income Term Trust | | Fund | CEF | Closed-End Funds | Palsson Johannes | GA | H | Portfoli | 1 | P | 70 | 12.39 | 0 | 6 | 14 | 46 | D | | | | | | | | | | | | | | |
4/19/24 07:41 | 4/18/24 | ASGI | Abrdn Global Infrastructure Income Fund | | Fund | CEF | Closed-End Funds | Goodson Alan R | PA | H | Director | 1 | P | 65 | 16.83 | 0 | 4 | | 4 | D | | | | | | | | | | | | | | |
4/15/24 12:08 | 4/12/24 | FTHY | First Trust High Yield Opportunities 2027 Term Fund | | Fund | CEF | Closed-End Funds | Bowen James A | IL | DH | Officer | 3 | P | 1,234 | 14.35 | 0 | 86 | 430 | 106 | D | | | | | | | | | | | | | | |
4/12/24 09:21 | 4/9/24 | THW | Abrdn World Healthcare Fund | | Fund | CEF | Closed-End Funds | Goetz Kathleen | PA | D | | 4 | P | 28 | 16.34 | 0 | 2 | 66 | 4 | D | | | | | | | | | | | | | | |
4/11/24 19:35 | 4/9/24 | DTF | Dtf Tax-Free Income 2028 Term Fund Inc | MD | Fund | CEF | Closed-End Funds | Grumhaus David D Jr. | IL | O | P,CEO | 2 | P.m | 55 | 10.00 | 0 | 6 | 73 | 13 | D | | | | | | | | | | | | | | |
4/11/24 18:08 | 4/11/24 | GAM | General American Investors Co Inc | DE | Fund | CEF | Closed-End Funds | Majmudar Anang K. | NY | O | Senior V | 2 | P | 27 | 37.48 | 0 | 1 | 2 | 34 | D | | | | | | | | | | | | | | |
4/11/24 13:52 | 4/10/24 | FTHY | First Trust High Yield Opportunities 2027 Term Fund | | Fund | CEF | Closed-End Funds | Housey William A Jr | IL | H | Officer | 1 | P | 51 | 14.25 | 0 | 4 | 45 | 12 | D | | | | | | | | | | | | | | |
4/10/24 16:44 | 4/10/24 | GAM | General American Investors Co Inc | DE | Fund | CEF | Closed-End Funds | Stark Eugene S | NY | O | VP Admin | 1 | P | 63 | 25.00 | 0 | 3 | 2 | 115 | D | | | | | | | | | | | | | | |
4/10/24 12:34 | 4/9/24 | VCRDX | Versus Capital Infrastructure Income Fund | | Fund | CEF | Closed-End Funds | Versus Capital Advisors LLC | CO | TH | Investme | 2 | P | 30,000 | 10.00 | 0 | 3,000 | 999% | 3,010 | D | | | | | | | | | | | | | | |
4/10/24 11:51 | 4/8/24 | WDI | Western Asset Diversified Income Fund | | Fund | CEF | Closed-End Funds | Kumar Nisha | NY | D | | 1 | P | 90 | 14.46 | 0 | 6 | 38 | 23 | I | | | | | | | | | | | | | | |
4/9/24 11:53 | 4/8/24 | FTHY | First Trust High Yield Opportunities 2027 Term Fund | | Fund | CEF | Closed-End Funds | Lindquist Daniel J | IL | O | VP | 1 | P | 50 | 14.30 | 0 | 4 | | 4 | I | | | | | | | | | | | | | | |
4/8/24 12:25 | 4/3/24 | AWF | Alliancebernstein Global High Income Fund Inc | | Fund | CEF | Closed-End Funds | Malik Fahd | NY | O | VP,Portf | 1 | P | 18 | 10.62 | 0 | 2 | 28 | 8 | M | | | | | | | | | | | | | | |
4/5/24 16:01 | 4/5/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Pinero Eric A. | NY | O | GC | 1 | P | 5 | 11.11 | 0 | 0 | 7 | 7 | D | | | | | | | | | | | | | | |
4/5/24 15:08 | 4/5/24 | NAD | Nuveen Quality Municipal Income Fund | | Fund | CEF | Closed-End Funds | Jones Nathaniel T. | IL | O | VP,Treas | 2 | P | 23 | 11.40 | 0 | 2 | | 2 | D | | | | | | | | | | | | | | |
4/5/24 13:19 | 4/5/24 | FPF | First Trust Intermediate Duration Preferred & Income Fund | | Fund | CEF | Closed-End Funds | Graci Angelo D | CT | H | Officer- | 2 | P | 166 | 17.46 | 0 | 10 | 165 | 15 | D | | | | | | | | | | | | | | |
4/4/24 11:37 | 4/3/24 | GAM | General American Investors Co Inc | DE | Fund | CEF | Closed-End Funds | Priest Jeffrey W | NY | O | P,CEO | 1 | P | 100 | 25.09 | 0 | 4 | 1 | 274 | D | | | | | | | | | | | | | | |
4/3/24 16:43 | 2/22/24 | GNT.B | Gamco Natural Resources, Gold & Income Trust | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | TH | Control | 3 | P | 20,800 | 13.51 | 0 | 1,540 | 770 | 1,740 | M | | | | | | | | | | | | | | |
4/2/24 11:07 | 4/1/24 | XHFIX | Hartford Schroders Private Opportunities Fund | | Fund | CEF | Closed-End Funds | Gardella Lee A | NY | H | See Expl | 1 | P | 200 | 10.40 | 0 | 19 | | 19 | D | | | | | | | | | | | | | | |
4/1/24 14:23 | 4/1/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Roman Stephen | NY | O | CCO,Secr | 1 | P | 5 | 11.05 | 0 | 0 | 5 | 9 | D | | | | | | | | | | | | | | |
4/1/24 11:46 | 4/1/24 | GUG | Guggenheim Active Allocation Fund | | Fund | CEF | Closed-End Funds | Toupin Ronald E Jr | IL | DH | Trustee | 1 | P | 3 | 14.65 | 0 | 0 | 2 | 11 | D | | | | | | | | | | | | | | |
3/29/24 10:55 | 3/27/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Gatto Mark | NY | DO | Co-CB,Co | 1 | P | 13 | 11.02 | 0 | 1 | | 1 | I | | | | | | | | | | | | | | |
3/27/24 15:58 | 3/27/24 | NEA | Nuveen Amt-Free Quality Municipal Income Fund | | Fund | CEF | Closed-End Funds | Lamb David J | IL | O | VP | 1 | P | 66 | 11.04 | 0 | 6 | | 6 | D | | | | | | | | | | | | | | |
3/27/24 13:35 | 3/27/24 | DXR | Daxor Corp | | Fund | CEF | Closed-End Funds | Michel Robert J | TN | O | CFO | 1 | P | 7 | 8.70 | 0 | 1 | 7 | 11 | D | | | | | | | | | | | | | | |
3/27/24 10:55 | 3/25/24 | UTG | Reaves Utility Income Fund | | Fund | CEF | Closed-End Funds | Legg Joellen | CO | D | | 1 | P | 50 | 26.46 | 0 | 2 | | 2 | D | | | | | | | | | | | | | | |
3/26/24 18:30 | 3/26/24 | ASG | Liberty All Star Growth Fund Inc. | | Fund | CEF | Closed-End Funds | Burke Edmund J | CO | H | Trustee | 2 | P | 47 | 6.32 | 0 | 8 | 142 | 13 | D | | | | | | | | | | | | | | |
3/26/24 11:14 | 3/25/24 | BMC | Bmc Fund Inc | | Fund | CEF | Closed-End Funds | Broyhill Markham Hunt | NC | H | Trustee | 1 | P | 0 | 0.00 | 0 | 30 | 109 | 59 | I | | | | | | | | | | | | | | |
3/25/24 18:33 | 3/21/24 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Spreng R David | IL | DO | P,CEO | 2 | P | 297 | 11.66 | 0 | 25 | 10 | 275 | D | | | | | | | | | | | | | | |
3/25/24 15:03 | 3/22/24 | RLTY | Cohen & Steers Real Estate Opportunities & Income Fund | | Fund | CEF | Closed-End Funds | Jhirad Yigal Dan | NY | OH | Portfoli | 1 | P | 7 | 14.14 | 0 | 1 | 42 | 2 | D | | | | | | | | | | | | | | |
3/25/24 14:23 | 3/25/24 | MMIPX | Mainstay Mackay Municipal Income Opportunities Fund | | Fund | CEF | Closed-End Funds | New York Life Investment Management LLC | NY | H | Investme | 4 | P | 49,900 | 10.00 | 0 | 4,990 | 999% | 4,993 | D | | | | | | | | | | | | | | |
3/25/24 09:59 | 3/21/24 | CPEFX | Cascade Private Capital Fund | | Fund | CEF | Closed-End Funds | Williams Paul Jay | WI | D | | 1 | P.m | 216 | 13.70 | 0 | 16 | | 16 | D | | | | | | | | | | | | | | |
3/22/24 17:28 | 3/22/24 | RSF | Rivernorth Capital & Income Fund, Inc. | | Fund | CEF | Closed-End Funds | Galley Patrick W. | FL | DO | CEO | 1 | P | 2 | 16.10 | 0 | 0 | 0 | 169 | D | | | | | | | | | | | | | | |
3/22/24 16:21 | 3/19/24 | FSCO | Fs Credit Opportunities Corp. | | Fund | CEF | Closed-End Funds | Nix Robert N.C. III | PA | D | | 1 | P | 24 | 5.96 | 0 | 4 | 95 | 8 | I | | | | | | | | | | | | | | |
3/22/24 14:56 | 3/21/24 | RVT | Royce Value Trust, Inc. | | Fund | CEF | Closed-End Funds | Clark Christopher D | NY | DOH | P | 2 | P | 95 | 11.43 | 0 | 8 | 12 | 77 | D | | | | | | | | | | | | | | |
3/22/24 14:17 | 3/22/24 | RMT | Royce Micro-Cap Trust, Inc. | | Fund | CEF | Closed-End Funds | Gannon Francis D. | NY | O | VP | 2 | P.m | 105 | 11.72 | 0 | 9 | | 5 | D | | | | | | | | | | | | | | |
3/21/24 14:32 | 3/20/24 | CION | Cion Investment Corp | | Fund | CEF | Closed-End Funds | Bresner Gregg A. | NY | O | P,CIO | 1 | P | 43 | 10.78 | 0 | 4 | 9 | 50 | D | | | | | | | | | | | | | | |
3/21/24 14:06 | 3/19/24 | XIVYX | Institutional Investment Strategy Fund | | Fund | CEF | Closed-End Funds | Ghodoosi Arash | CA | O | P,Princi | 1 | P.m | 410 | 10.19 | 0 | 40 | | 40 | D | | | | | | | | | | | | | | |
3/21/24 12:21 | 3/20/24 | USQIX | Usq Core Real Estate Fund | | Fund | CEF | Closed-End Funds | Fairchild Gregory B. | VA | D | | 1 | P | 5 | 23.21 | 0 | 0 | 3 | 7 | D | | | | | | | | | | | | | | |
3/20/24 14:14 | 3/18/24 | FSCO | Fs Credit Opportunities Corp. | | Fund | CEF | Closed-End Funds | Fouss Barbara J | PA | D | | 1 | P | 65 | 5.87 | 0 | 11 | 109 | 21 | D | | | | | | | | | | | | | | |
3/20/24 12:35 | 3/20/24 | ASG | Liberty All Star Growth Fund Inc. | | Fund | CEF | Closed-End Funds | Haley Mark T | CO | O | P | 2 | P | 11 | 5.37 | 0 | 2 | 2 | 122 | D | | | | | | | | | | | | | | |
3/20/24 09:26 | 3/18/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Griggs Kathleen | IL | D | | 1 | P | 9 | 7.10 | 0 | 1 | | 1 | D | | | | | | | | | | | | | | |
3/19/24 11:58 | 3/18/24 | AWF | Alliancebernstein Global High Income Fund Inc | | Fund | CEF | Closed-End Funds | Wrapp Emilie D. | NY | H | Advisory | 1 | P | 25 | 10.45 | 0 | 2 | | 2 | D | | | | | | | | | | | | | | |
3/18/24 19:14 | 3/14/24 | TRIN | Trinity Capital Inc. | | Fund | CEF | Closed-End Funds | Brown Kyle Steven | AZ | DO | CEO,P,CI | 1 | P | 50 | 14.91 | 0 | 3 | 0 | 884 | D | | | | | | | | | | | | | | |
3/18/24 17:14 | 3/14/24 | TPVG | Triplepoint Venture Growth Bdc Corp. | | Fund | CEF | Closed-End Funds | Park Katherine J | CA | D | | 1 | P | 23 | 9.35 | 0 | 3 | 100 | 5 | D | | | | | | | | | | | | | | |
3/18/24 16:27 | 3/14/24 | RWAY | Runway Growth Finance Corp. | | Fund | CEF | Closed-End Funds | Raterman Thomas B. | IL | O | See Rema | 1 | P | 238 | 11.61 | 0 | 20 | 11 | 202 | I | | | | | | | | | | | | | | |
3/18/24 10:13 | 3/14/24 | FECOF | First Eagle Credit Opportunities Fund | | Fund | CEF | Closed-End Funds | Krull Steven F. | IL | H | Portfoli | 1 | P | 10 | 23.58 | 0 | 0 | | 0 | D | | | | | | | | | | | | | | |
3/15/24 16:11 | 3/13/24 | FSCO | Fs Credit Opportunities Corp. | | Fund | CEF | Closed-End Funds | Bethel Keith | PA | D | | 1 | P | 52 | 5.80 | 0 | 9 | 180 | 14 | M | | | | | | | | | | | | | | |
3/14/24 16:05 | 3/12/24 | PNNT | Pennantpark Investment Corp | | Fund | CEF | Closed-End Funds | Allorto Richard T Jr | NY | O | CFO,Trea | 1 | P | 34 | 6.80 | 0 | 5 | 50 | 15 | D | | | | | | | | | | | | | | |
3/13/24 18:47 | 3/11/24 | PFX | Phenixfin Corp | | Fund | CEF | Closed-End Funds | McMillan Ellida | NY | O | CFO | 1 | P | 10 | 45.01 | 0 | 0 | 20 | 1 | D | | | | | | | | | | | | | | |
3/13/24 17:00 | 3/12/24 | RAND | Rand Capital Corp | | Fund | CEF | Closed-End Funds | Godley Benjamin E | NY | D | | 2 | P.m | 42 | 13.95 | 0 | 3 | 14 | 25 | D | | | | | | | | | | | | | | |
3/13/24 16:55 | 3/11/24 | TPVG | Triplepoint Venture Growth Bdc Corp. | | Fund | CEF | Closed-End Funds | Cassani Stephen | CA | D | | 1 | P.m | 16 | 9.96 | 0 | 2 | 35 | 6 | D | | | | | | | | | | | | | | |
3/13/24 16:03 | 3/11/24 | PSEC | Prospect Capital Corp | | Fund | CEF | Closed-End Funds | Van Dask Kristin Lea | NY | O | CFO,TREA | 1 | P | 27 | 5.44 | 0 | 5 | 6 | 84 | I | | | | | | | | | | | | | | |
3/13/24 11:51 | 3/11/24 | USA | Liberty All Star Equity Fund | | Fund | CEF | Closed-End Funds | Milas Robert | CO | H | Access P | 2 | P | 20 | 6.05 | 0 | 3 | 313 | 4 | D | | | | | | | | | | | | | | |
3/13/24 11:24 | 3/12/24 | PRTFT | Tax Free Target Maturity Fund For Puerto Rico Residents, Inc. | | Fund | CEF | Closed-End Funds | Rad Investments LLC | PR | T | | 2 | P | 25 | 0.5392 | 0 | 46 | 1 | 3,566 | D | | | | | | | | | | | | | | |
3/12/24 18:44 | 3/12/24 | USA | Liberty All Star Equity Fund | | Fund | CEF | Closed-End Funds | Usifer Maureen K | CO | H | Trustee | 2 | P | 30 | 6.04 | 0 | 5 | 54 | 14 | D | | | | | | | | | | | | | | |
3/11/24 17:42 | 3/11/24 | JFR | Nuveen Floating Rate Income Fund | | Fund | CEF | Closed-End Funds | Perry Michael A | IL | O | VP | 2 | P | 165 | 8.09 | 0 | 20 | | 20 | M | | | | | | | | | | | | | | |
3/11/24 17:28 | 3/8/24 | DSL | Doubleline Income Solutions Fund | | Fund | CEF | Closed-End Funds | Guia Youse | FL | O | Chief Co | 2 | P | 2 | 14.08 | 0 | 0 | | 0 | D | | | | | | | | | | | | | | |
3/11/24 13:42 | 3/8/24 | HRZN | Horizon Technology Finance Corp | | Fund | CEF | Closed-End Funds | Michaud Gerald A. | CT | DO | P | 1 | P | 43 | 11.77 | 0 | 4 | 2 | 156 | D | | | | | | | | | | | | | | |
3/8/24 18:54 | 3/6/24 | SLRC | Slr Investment Corp. | | Fund | CEF | Closed-End Funds | Gross Michael S | NY | DO | See Rema | 2 | P.m | 3,126 | 15.42 | 0 | 203 | 5 | 4,033 | I | | | | | | | | | | | | | | |
3/8/24 18:51 | 3/6/24 | SLRC | Slr Investment Corp. | | Fund | CEF | Closed-End Funds | Spohler Bruce J | NY | DO | See Rema | 2 | P.m | 3,126 | 15.42 | 0 | 203 | 6 | 3,719 | I | | | | | | | | | | | | | | |
3/7/24 17:37 | 3/5/24 | OBDC | Blue Owl Capital Corp | | Fund | CEF | Closed-End Funds | Dalelio Edward H | NY | D | | 1 | P | 45 | 15.07 | 0 | 3 | 93 | 6 | D | | | | | | | | | | | | | | |
3/7/24 17:25 | 3/5/24 | MEGI | Mainstay Cbre Global Infrastructure Megatrends Term Fund | | Fund | CEF | Closed-End Funds | Anagnos Jeremy | PA | H | Portfoli | 1 | P | 10 | 12.64 | 0 | 1 | 3 | 24 | D | | | | | | | | | | | | | | |
3/7/24 16:54 | 2/29/24 | BXSY | Bexil Investment Trust | DE | Fund | CEF | Closed-End Funds | Winmill Thomas Bassett | NH | DO | See "Exp | 4 | P.m | 294 | 12.59 | 0 | 23 | 84 | 51 | D | | | | | | | | | | | | | | |
3/6/24 16:18 | 3/4/24 | DXR | Daxor Corp | | Fund | CEF | Closed-End Funds | Feuer Edward | NY | D | | 1 | P | 7 | 7.21 | 0 | 1 | | 1 | D | | | | | | | | | | | | | | |
3/5/24 16:58 | 3/4/24 | PSBD | Palmer Square Capital Bdc Inc. | | Fund | CEF | Closed-End Funds | Bloomfield Matthew L | KS | O | P | 1 | P | 247 | 16.44 | 0 | 15 | 17 | 101 | I | | | | | | | | | | | | | | |
3/5/24 16:35 | 3/1/24 | PFX | Phenixfin Corp | | Fund | CEF | Closed-End Funds | Lorber David A | NY | DOT | CB,CEO | 3 | P.m | 1,110 | 44.99 | 0 | 25 | 13 | 209 | M | | | | | | | | | | | | | | |
3/5/24 13:05 | 3/4/24 | IGR | Cbre Global Real Estate Income Fund | | Fund | CEF | Closed-End Funds | Miniman Jonathan D | PA | H | Portfoli | 1 | P | 9 | 5.08 | 0 | 2 | 6 | 32 | D | | | | | | | | | | | | | | |
3/5/24 12:48 | 2/28/24 | BBDC | Barings Bdc, Inc. | | Fund | CEF | Closed-End Funds | Byers Stephen R | NC | D | | 1 | P | 6 | 9.70 | 0 | 1 | 3 | 22 | D | | | | | | | | | | | | | | |
3/4/24 17:51 | 2/29/24 | AFT | Apollo Senior Floating Rate Fund Inc. | | Fund | CEF | Closed-End Funds | Cohen Barry J. | NY | D | | 1 | P.m | 209 | 14.25 | 0 | 15 | 147 | 25 | I | | | | | | | | | | | | | | |
3/1/24 16:13 | 2/26/24 | BANX | Arrowmark Financial Corp. | | Fund | CEF | Closed-End Funds | Staggs Dana | NY | O | P | 1 | P | 2 | 18.50 | 0 | 0 | 2 | 6 | D | | | | | | | | | | | | | | |
2/29/24 17:23 | 2/28/24 | FSK | Fs Kkr Capital Corp | | Fund | CEF | Closed-End Funds | Pietrzak Daniel | PA | DO | Co-P,CIO | 1 | P | 187 | 18.74 | 0 | 10 | 21 | 58 | M | | | | | | | | | | | | | | |
2/29/24 06:54 | 2/26/24 | PNNT | Pennantpark Investment Corp | | Fund | CEF | Closed-End Funds | Briones Jose A | FL | D | | 1 | P | 50 | 6.86 | 0 | 7 | 3 | 272 | M | | | | | | | | | | | | | | |
2/28/24 11:02 | 2/27/24 | FOF | Cohen & Steers Closed-End Opportunity Fund, Inc. | | Fund | CEF | Closed-End Funds | Palma Jeffrey | NY | H | Portfoli | 1 | P | 50 | 11.11 | 0 | 5 | 99 | 9 | D | | | | | | | | | | | | | | |
2/26/24 19:24 | 2/23/24 | BNZI | Banzai International, Inc. | | Fund | CEF | Closed-End Funds | Davy Joseph P. | WA | DOT | CEO | 3 | P | 1 | 0.8960 | 0 | 2 | 52 | 4 | D | | | | | | | | | | | | | | |
2/26/24 12:43 | 2/23/24 | EOD | Allspring Global Dividend Opportunity Fund | | Fund | CEF | Closed-End Funds | Fioramonti Vincent J | NC | H | Portfoli | 3 | P | 36 | 4.54 | 0 | 8 | 57 | 22 | D | | | | | | | | | | | | | | |
2/23/24 18:13 | 2/22/24 | BNZI | Banzai International, Inc. | | Fund | CEF | Closed-End Funds | Ward Mason | WA | DTH | See Rema | 1 | P | 0 | 0.9680 | 0 | 1 | 0 | 2,427 | D | | | | | | | | | | | | | | |
2/23/24 17:00 | 2/23/24 | TWN | Taiwan Fund Inc | DE | Fund | CEF | Closed-End Funds | Clark Anthony S. | VA | D | | 1 | P | 20 | 39.13 | 0 | 1 | 20 | 3 | D | | | | | | | | | | | | | | |
2/23/24 16:43 | 2/22/24 | GRF | Eagle Capital Growth Fund, Inc. | | Fund | CEF | Closed-End Funds | Sims David C | WI | DO | CFO,CCO, | 1 | P | 47 | 9.19 | 0 | 5 | 2 | 211 | D | | | | | | | | | | | | | | |
2/23/24 12:46 | 2/22/24 | GDL | Gdl Fund | | Fund | CEF | Closed-End Funds | Ball John Chester | NY | O | P,Treasu | 13 | P | 3 | 6.81 | 0 | 0 | | 0 | D | | | | | | | | | | | | | | |
2/21/24 13:54 | 2/20/24 | PRDEX | Predex | | Fund | CEF | Closed-End Funds | Mooney Edward Patrick Jr. | WI | D | | 1 | P | 50 | 24.55 | 0 | 2 | 52 | 6 | D | | | | | | | | | | | | | | |
2/21/24 13:49 | 2/20/24 | PRDEX | Predex | | Fund | CEF | Closed-End Funds | Downing George Keith | PA | O | Secretar | 1 | P | 25 | 24.56 | 0 | 1 | | 1 | D | | | | | | | | | | | | | | |
2/21/24 11:39 | 2/20/24 | RCG | Renn Fund, Inc. | | Fund | CEF | Closed-End Funds | Kesslen Jay H | NY | O | Vice-P,C | 1 | P | 2 | 1.66 | 0 | 1 | 3 | 40 | D | | | | | | | | | | | | | | |
2/16/24 15:08 | 2/16/24 | EVT | Eaton Vance Tax Advantaged Dividend Income Fund | | Fund | CEF | Closed-End Funds | Dunn Aaron | MA | D | | 1 | P | 7 | 22.44 | 0 | 0 | 50 | 1 | D | | | | | | | | | | | | | | |
2/15/24 11:22 | 2/14/24 | CPZ | Calamos Long/short Equity & Dynamic Income Trust | | Fund | CEF | Closed-End Funds | Mickey Mark | IL | O | chief co | 1 | P | 22 | 14.90 | 0 | 2 | | 2 | D | | | | | | | | | | | | | | |