5/1/24 10:31 | 4/29/24 | PDX | Pimco Dynamic Income Strategy Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -13 | 21.50 | 0 | -1 | 0 | 7,034 | I | | | | | | | | | | | | | | |
4/26/24 17:15 | 4/24/24 | LASAX | Lord Abbett Special Situations Income Fund | | Fund | CEF | Closed-End Funds | Lord, Abbett & Co. LLC | NJ | H | Investme | S | -3,171 | 9.30 | 0 | -341 | -100 | 0 | D | | | | | | | | | | | | | | |
4/24/24 17:25 | 4/22/24 | NMFC | New Mountain Finance Corp | | Fund | CEF | Closed-End Funds | Kline John | NY | DO | CEO,P,,D | S | -16 | 12.55 | 0 | -1 | 0 | 255 | D | | | | | | | | | | | | | | |
4/18/24 18:40 | 4/16/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S.m | -4 | 24.16 | 0 | 0 | 0 | 78 | I | | | | | | | | | | | | | | |
4/16/24 16:12 | 4/12/24 | DXYZ | Destiny Tech100 Inc. | | Fund | CEF | Closed-End Funds | Prasad Sohail | TX | DOT | P,CEO | S | -4,930 | 24.65 | 0 | -200 | -16 | 1,082 | I | | | | | | | | | | | | | | |
4/16/24 16:10 | 4/12/24 | DXYZ | Destiny Tech100 Inc. | | Fund | CEF | Closed-End Funds | Destiny Xyz Inc. | TX | T | | S | -4,930 | 24.65 | 0 | -200 | -16 | 1,082 | D | | | | | | | | | | | | | | |
4/15/24 19:59 | 4/11/24 | GCV | Gabelli Convertible & Income Securities Fund Inc | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | H | Control | S | -2 | 3.61 | 0 | -1 | 0 | 1,935 | I | | | | | | | | | | | | | | |
4/15/24 12:16 | 3/7/23 | BFZ | Blackrock California Municipal Income Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -208 | 11.21 | 0 | -19 | -1 | 3,148 | I | | | | | | | | | | | | | | |
4/12/24 18:20 | 4/10/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S | 0 | 24.16 | 0 | 0 | 0 | 79 | I | | | | | | | | | | | | | | |
4/12/24 13:32 | 4/11/24 | BCV | Bancroft Fund Ltd | DE | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -31 | 15.46 | 0 | -2 | -1 | 168 | I | | | | | | | | | | | | | | |
4/10/24 12:49 | 4/5/24 | FPF | First Trust Intermediate Duration Preferred & Income Fund | | Fund | CEF | Closed-End Funds | Graci Angelo D | CT | H | Officer- | S.a | -61 | 17.56 | 0 | -4 | -23 | 12 | D | | | | | | | | | | | | | | |
4/8/24 18:29 | 3/18/24 | DXYZ | Destiny Tech100 Inc. | | Fund | CEF | Closed-End Funds | Destiny Xyz Inc. | TX | T | | S.m | -4,500 | 25.98 | 0 | -173 | -12 | 1,282 | D | | | | | | | | | | | | | | |
4/8/24 18:28 | 4/4/24 | DXYZ | Destiny Tech100 Inc. | | Fund | CEF | Closed-End Funds | Prasad Sohail | TX | DOT | P,CEO | S.m | -4,875 | 26.25 | 0 | -186 | -12 | 1,320 | M | | | | | | | | | | | | | | |
4/1/24 14:58 | 3/28/24 | BCV | Bancroft Fund Ltd | DE | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -32 | 15.90 | 0 | -2 | -1 | 170 | D | | | | | | | | | | | | | | |
3/28/24 17:10 | 3/27/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S | -2 | 24.12 | 0 | 0 | 0 | 79 | I | | | | | | | | | | | | | | |
3/25/24 19:33 | 3/21/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S | 0 | 24.12 | 0 | 0 | 0 | 79 | I | | | | | | | | | | | | | | |
3/20/24 15:56 | 3/19/24 | FSCO | Fs Credit Opportunities Corp. | | Fund | CEF | Closed-End Funds | Forman Michael C. | PA | DO | CEO | S | 0 | 5.87 | 0 | 0 | 0 | 793 | I | | | | | | | | | | | | | | |
3/15/24 18:55 | 3/13/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S.m | -1 | 24.12 | 0 | 0 | 0 | 79 | I | | | | | | | | | | | | | | |
3/13/24 16:53 | 3/12/24 | GAM | General American Investors Co Inc | DE | Fund | CEF | Closed-End Funds | Altschul Arthur G Jr | NY | D | | S | -228 | 25.02 | 0 | -9 | -11 | 73 | I | | | | | | | | | | | | | | |
3/13/24 16:21 | 3/12/24 | GAM | General American Investors Co Inc | DE | Fund | CEF | Closed-End Funds | 1975 Trust Fbo Altschul Arthur G Land Trust | NY | H | Trustee | S | -228 | 25.02 | 0 | -9 | -28 | 23 | D | | | | | | | | | | | | | | |
3/11/24 17:30 | 3/7/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S | -2 | 24.03 | 0 | 0 | 0 | 79 | I | | | | | | | | | | | | | | |
3/11/24 16:30 | 3/7/24 | MAIN | Main Street Capital Corp | | Fund | CEF | Closed-End Funds | Meserve Nicholas | TX | O | MD | S | -276 | 45.96 | 0 | -6 | -7 | 83 | D | | | | | | | | | | | | | | |
3/5/24 16:30 | 3/1/24 | MAIN | Main Street Capital Corp | | Fund | CEF | Closed-End Funds | Beauvais Jason B | TX | O | EVP,GC,C | S.m | -1,253 | 45.57 | 0 | -28 | -15 | 154 | D | | | | | | | | | | | | | | |
3/4/24 18:03 | 2/29/24 | AIF | Apollo Tactical Income Fund Inc. | | Fund | CEF | Closed-End Funds | Cohen Barry J. | NY | D | | S.m | -210 | 15.14 | 0 | -14 | -100 | 0 | I | | | | | | | | | | | | | | |
2/23/24 16:47 | 2/22/24 | GRF | Eagle Capital Growth Fund, Inc. | | Fund | CEF | Closed-End Funds | Sims Luke E | WI | DO | P,CEO | S | -46 | 9.19 | 0 | -5 | -2 | 287 | D | | | | | | | | | | | | | | |
2/20/24 08:55 | 2/14/24 | TREIX | Thirdline Real Estate Income Fund | | Fund | CEF | Closed-End Funds | Eiben Lawrence Scott | VA | DO | Principa | S | -199 | 10.11 | 0 | -20 | -4 | 472 | I | | | | | | | | | | | | | | |
2/16/24 11:27 | 2/16/24 | CHI | Calamos Convertible Opportunities & Income Fund | | Fund | CEF | Closed-End Funds | Mickey Mark | IL | O | chief co | S | -6 | 11.07 | 0 | -1 | -33 | 1 | D | | | | | | | | | | | | | | |
2/15/24 17:07 | 2/13/24 | HIE | Miller/howard High Income Equity Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -42 | 10.33 | 0 | -4 | 0 | 1,990 | I | | | | | | | | | | | | | | |
2/15/24 11:11 | 2/14/24 | CHY | Calamos Convertible & High Income Fund | | Fund | CEF | Closed-End Funds | Mickey Mark | IL | O | chief co | S | -6 | 11.89 | 0 | -1 | -20 | 2 | D | | | | | | | | | | | | | | |
2/13/24 19:26 | 12/29/23 | MONIX | Monachil Credit Income Fund | | Fund | CEF | Closed-End Funds | Meli Ali | CT | DO | P,CEO | S | -201 | 10.03 | 0 | -20 | -2 | 1,209 | D | | | | | | | | | | | | | | |
2/13/24 18:38 | 2/9/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S.m | -1,652 | 22.65 | 0 | -73 | -48 | 79 | I | | | | | | | | | | | | | | |
2/8/24 18:07 | 2/6/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S.m | -621 | 22.64 | 0 | -27 | -15 | 152 | I | | | | | | | | | | | | | | |
2/6/24 11:51 | 2/2/24 | BCV | Bancroft Fund Ltd | DE | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -31 | 15.40 | 0 | -2 | -1 | 172 | I | | | | | | | | | | | | | | |
2/5/24 21:24 | 2/1/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S.m | -804 | 22.69 | 0 | -35 | -17 | 179 | I | | | | | | | | | | | | | | |
2/5/24 14:49 | 2/1/24 | SOR | Source Capital Inc /de/ | | Fund | CEF | Closed-End Funds | Brown Sandra | WI | D | | S | -66 | 40.27 | 0 | -2 | -82 | 0 | D | | | | | | | | | | | | | | |
2/1/24 16:29 | 2/1/24 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -140 | 13.95 | 0 | -10 | -63 | 6 | D | | | | | | | | | | | | | | |
1/31/24 19:20 | 1/29/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S.m | -302 | 22.93 | 0 | -13 | -6 | 215 | I | | | | | | | | | | | | | | |
1/29/24 15:17 | 1/25/24 | BTT | Blackrock Municipal 2030 Target Term Trust | | Fund | CEF | Closed-End Funds | Romaglino Christian | NY | H | Portfoli | S | -32 | 21.12 | 0 | -2 | -100 | 0 | D | | | | | | | | | | | | | | |
1/26/24 18:54 | 1/24/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S.m | -313 | 22.88 | 0 | -14 | -6 | 228 | I | | | | | | | | | | | | | | |
1/26/24 17:12 | 1/25/24 | HIE | Miller/howard High Income Equity Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -194 | 10.45 | 0 | -19 | -1 | 1,995 | I | | | | | | | | | | | | | | |
1/25/24 16:30 | 12/20/23 | MAIN | Main Street Capital Corp | | Fund | CEF | Closed-End Funds | Meserve Nicholas | TX | O | MD | S | -258 | 43.01 | 0 | -6 | -6 | 89 | D | | | | | | | | | | | | | | |
1/25/24 08:53 | 1/23/24 | HIE | Miller/howard High Income Equity Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -254 | 10.56 | 0 | -24 | -1 | 2,015 | I | | | | | | | | | | | | | | |
1/23/24 20:11 | 1/19/24 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S.m | -2,528 | 22.79 | 0 | -111 | -31 | 242 | I | | | | | | | | | | | | | | |
1/23/24 10:40 | 1/19/24 | HIE | Miller/howard High Income Equity Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -17 | 10.58 | 0 | -2 | 0 | 2,039 | I | | | | | | | | | | | | | | |
1/18/24 18:29 | 1/17/24 | HIE | Miller/howard High Income Equity Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -198 | 10.53 | 0 | -19 | -1 | 2,041 | I | | | | | | | | | | | | | | |
1/18/24 09:49 | 8/29/23 | TY | Tri-Continental Corp | MD | Fund | CEF | Closed-End Funds | Carrig Janet | MA | D | | S | -1 | 27.71 | 0 | 0 | -27 | 0 | D | | | | | | | | | | | | | | |
1/16/24 17:26 | 1/12/24 | HIE | Miller/howard High Income Equity Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -817 | 10.61 | 0 | -77 | -4 | 2,060 | I | | | | | | | | | | | | | | |
1/12/24 16:36 | 1/12/24 | NEA | Nuveen Amt-Free Quality Municipal Income Fund | | Fund | CEF | Closed-End Funds | Brennan Paul L | IL | O | VP,Portf | S | -4 | 11.01 | 0 | 0 | -100 | 0 | D | | | | | | | | | | | | | | |
1/12/24 13:43 | 1/10/24 | HIE | Miller/howard High Income Equity Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -423 | 10.60 | 0 | -40 | -2 | 2,137 | I | | | | | | | | | | | | | | |
1/12/24 11:55 | 10/20/23 | MEGI | Mainstay Cbre Global Infrastructure Megatrends Term Fund | | Fund | CEF | Closed-End Funds | Perold Jacques P | NY | D | | S | -54 | 10.81 | 0 | -5 | -100 | 0 | D | | | | | | | | | | | | | | |
1/10/24 14:28 | 6/30/23 | FTPCX | First Trust Private Credit Fund | | Fund | CEF | Closed-End Funds | First Trust Capital Partners LLC | IL | T | | S | -251 | 10.21 | 0 | -25 | -5 | 475 | D | | | | | | | | | | | | | | |
1/10/24 14:21 | 6/30/23 | FTPCX | First Trust Private Credit Fund | | Fund | CEF | Closed-End Funds | Bowen James A | IL | T | | S | -251 | 10.21 | 0 | -25 | -5 | 475 | I | | | | | | | | | | | | | | |
1/10/24 13:08 | 1/9/24 | VTN | Invesco Trust For Investment Grade New York Municipals | MA | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -92 | 10.47 | 0 | -9 | 0 | 2,692 | I | | | | | | | | | | | | | | |
1/10/24 12:58 | 1/8/24 | HIE | Miller/howard High Income Equity Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -51 | 10.63 | 0 | -5 | 0 | 2,177 | I | | | | | | | | | | | | | | |
1/5/24 16:20 | 1/5/24 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -272 | 13.60 | 0 | -20 | -56 | 16 | D | | | | | | | | | | | | | | |
1/3/24 18:31 | 12/29/23 | FTPCX | First Trust Private Credit Fund | | Fund | CEF | Closed-End Funds | First Trust Capital Management L.P. | IL | H | Adviser | S.a | -114 | 10.33 | 0 | -11 | -99 | 0 | D | | | | | | | | | | | | | | |
1/3/24 17:50 | 12/29/23 | FTPCX | First Trust Private Credit Fund | | Fund | CEF | Closed-End Funds | Chad Eisenberg | IL | O | Treasure | S | -114 | 10.33 | 0 | -11 | -99 | 0 | I | | | | | | | | | | | | | | |
1/3/24 11:49 | 12/29/23 | FTPCX | First Trust Private Credit Fund | | Fund | CEF | Closed-End Funds | First Trust Capital Management L.P. | IL | T | | S | -114 | 10.33 | 0 | -11 | -99 | 0 | D | | | | | | | | | | | | | | |
1/3/24 10:46 | 12/29/23 | FTPCX | First Trust Private Credit Fund | | Fund | CEF | Closed-End Funds | Peck Michael D | IL | O | P | S | -114 | 10.33 | 0 | -11 | -99 | 0 | I | | | | | | | | | | | | | | |
1/3/24 09:21 | 1/1/24 | FSK | Fs Kkr Capital Corp | | Fund | CEF | Closed-End Funds | Forman Michael C. | PA | DO | CEO | S | 0 | 0.00 | 0 | -10 | -32 | 22 | I | | | | | | | | | | | | | | |
1/2/24 15:11 | 1/2/24 | XDSCX | Cross Shore Discovery Fund | | Fund | CEF | Closed-End Funds | Linell Victor Stewart | NY | H | Affiliat | S | 0 | 0.00 | 0 | -4 | -6 | 67 | D | | | | | | | | | | | | | | |
1/2/24 14:49 | 12/28/23 | BCV | Bancroft Fund Ltd | DE | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -28 | 16.26 | 0 | -2 | -1 | 174 | D | | | | | | | | | | | | | | |
12/26/23 12:28 | 12/1/23 | LCPMX | Lind Capital Partners Municipal Credit Income Fund | | Fund | CEF | Closed-End Funds | Adler Richard H | CO | D | | S | -181 | 8.69 | 0 | -21 | -100 | 0 | I | | | | | | | | | | | | | | |
12/22/23 11:56 | 12/20/23 | AVK | Advent Convertible & Income Fund | | Fund | CEF | Closed-End Funds | Maitland Tracy V | NY | DOH | CB,P,CEO | S | -80 | 11.17 | 0 | -7 | -17 | 34 | D | | | | | | | | | | | | | | |
12/21/23 12:55 | 12/19/23 | JPC | Nuveen Preferred & Income Opportunities Fund | | Fund | CEF | Closed-End Funds | Evans Jack | IA | H | other | S | -29 | 6.75 | 0 | -4 | -100 | 0 | D | | | | | | | | | | | | | | |
12/20/23 12:27 | 12/20/23 | CPZ | Calamos Long/short Equity & Dynamic Income Trust | | Fund | CEF | Closed-End Funds | Koudounis John S. | IL | O | VP | S | -81 | 14.92 | 0 | -5 | -18 | 25 | I | | | | | | | | | | | | | | |
12/19/23 15:37 | 12/15/23 | GIM | Templeton Global Income Fund | FL | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -477 | 3.82 | 0 | -125 | -1 | 8,792 | I | | | | | | | | | | | | | | |
12/19/23 12:49 | 12/19/23 | JPI | Nuveen Preferred & Income Term Fund | | Fund | CEF | Closed-End Funds | Evans Jack | IL | H | Trustee | S | -18 | 18.19 | 0 | -1 | -100 | 0 | D | | | | | | | | | | | | | | |
12/18/23 13:28 | 12/11/23 | EEA | European Equity Fund, Inc / Md | | Fund | CEF | Closed-End Funds | Pleister Christopher | NY | D | | S | -12 | 8.35 | 0 | -1 | -100 | 0 | D | | | | | | | | | | | | | | |
12/18/23 13:24 | 12/11/23 | CEE | Central & Eastern Europe Fund, Inc. | MD | Fund | CEF | Closed-End Funds | Pleister Christopher | NY | D | | S | -4 | 9.08 | 0 | 0 | -100 | 0 | D | | | | | | | | | | | | | | |
12/18/23 13:18 | 12/11/23 | GF | New Germany Fund Inc | MD | Fund | CEF | Closed-End Funds | Pleister Christopher | NY | D | | S | -11 | 8.38 | 0 | -1 | -100 | 0 | D | | | | | | | | | | | | | | |
12/14/23 17:42 | 12/13/23 | GIM | Templeton Global Income Fund | FL | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -4,607 | 3.95 | 0 | -1,167 | -12 | 8,917 | I | | | | | | | | | | | | | | |
12/13/23 16:14 | 12/11/23 | GDL | Gdl Fund | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DTH | Control | S | -16 | 8.01 | 0 | -2 | 0 | 4,954 | D | | | | | | | | | | | | | | |
12/13/23 15:27 | 12/11/23 | GGT | Gabelli Multimedia Trust Inc. | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -26 | 5.79 | 0 | -5 | 0 | 2,549 | D | | | | | | | | | | | | | | |
12/13/23 12:15 | 12/13/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -82 | 13.67 | 0 | -6 | -14 | 36 | D | | | | | | | | | | | | | | |
12/13/23 11:47 | 12/11/23 | GIM | Templeton Global Income Fund | FL | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -1,125 | 3.92 | 0 | -287 | -3 | 10,084 | I | | | | | | | | | | | | | | |
12/11/23 17:39 | 12/7/23 | GCV | Gabelli Convertible & Income Securities Fund Inc | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | H | Control | S | -14 | 3.47 | 0 | -4 | 0 | 1,935 | I | | | | | | | | | | | | | | |
12/11/23 15:22 | 12/7/23 | GIM | Templeton Global Income Fund | FL | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -1,596 | 3.90 | 0 | -409 | -4 | 10,485 | I | | | | | | | | | | | | | | |
12/11/23 14:23 | 12/8/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -28 | 13.86 | 0 | -2 | -5 | 42 | D | | | | | | | | | | | | | | |
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 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 | | | | | | | | | | | | | | |
12/7/23 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 14:55 | 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 | | | | | | | | | | | | | | |
12/6/23 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 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 | | | | | | | | | | | | | | |
12/4/23 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 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 | | | | | | | | | | | | | | |
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 10:31 | 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 | | | | | | | | | | | | | | |
11/28/23 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 | | | | | | | | | | | | | | |
11/27/23 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 | | | | | | | | | | | | | | |
11/22/23 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 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 | | | | | | | | | | | | | | |
11/20/23 14:18 | 11/17/23 | NZF | Nuveen Municipal Credit Income Fund | | Fund | CEF | Closed-End Funds | Robert Young L | IL | H | Trustee | S | -168 | 11.18 | 0 | -15 | -100 | 0 | D | | | | | | | | | | | | | | |
11/17/23 18:26 | 11/17/23 | NZF | Nuveen Municipal Credit Income Fund | | Fund | CEF | Closed-End Funds | Toth Terence J | IL | H | Trustee | S | -39 | 11.20 | 0 | -3 | -100 | 0 | D | | | | | | | | | | | | | | |
11/17/23 17:40 | 11/15/23 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Partners LP | NY | T | | S.m | -872 | 17.08 | 0 | -51 | -5 | 908 | I | | | | | | | | | | | | | | |
11/17/23 11:32 | 11/14/23 | TREIX | Thirdline Real Estate Income Fund | | Fund | CEF | Closed-End Funds | Eiben Lawrence Scott | VA | DO | CFO | S | -153 | 10.17 | 0 | -15 | -3 | 492 | I | | | | | | | | | | | | | | |
11/14/23 18:54 | 11/10/23 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Partners LP | NY | T | | S.m | -2,132 | 17.39 | 0 | -123 | -11 | 959 | I | | | | | | | | | | | | | | |
11/13/23 16:23 | 11/8/23 | MAV | Pioneer Municipal High Income Advantage Fund, Inc. | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -104 | 6.95 | 0 | -15 | -1 | 2,428 | I | | | | | | | | | | | | | | |
11/13/23 16:07 | 11/8/23 | BHK | Blackrock Core Bond Trust | | Fund | CEF | Closed-End Funds | Maclellan Scott | NY | H | Portfoli | S | -13 | 9.72 | 0 | -1 | -100 | 0 | D | | | | | | | | | | | | | | |
11/13/23 16:03 | 11/8/23 | ECAT | Blackrock Esg Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Rieder Richard M | NY | H | Portfoli | S | -299 | 14.94 | 0 | -20 | -17 | 99 | D | | | | | | | | | | | | | | |
11/8/23 17:42 | 11/7/23 | GGT | Gabelli Multimedia Trust Inc. | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -21 | 4.77 | 0 | -4 | 0 | 2,554 | I | | | | | | | | | | | | | | |
11/7/23 14:22 | 6/12/23 | BCV | Bancroft Fund Ltd | DE | Fund | CEF | Closed-End Funds | Vanekris Anthonie C | NY | D | | S | -6 | 16.98 | 0 | 0 | -14 | 2 | I | | | | | | | | | | | | | | |
11/7/23 13:47 | 3/28/23 | ECF | Ellsworth Growth & Income Fund Ltd | DE | Fund | CEF | Closed-End Funds | Vanekris Anthonie C | NY | D | | S | -5 | 7.95 | 0 | -1 | -12 | 5 | I | | | | | | | | | | | | | | |
11/6/23 12:39 | 11/2/23 | FMN | Federated Hermes Premier Municipal Income Fund | | Fund | CEF | Closed-End Funds | Donahue J Christopher | PA | DO | Trustee, | S | -63 | 9.45 | 0 | -7 | -50 | 7 | D | | | | | | | | | | | | | | |
11/6/23 10:58 | 11/3/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Barnes Randall C | IL | DH | Trustee | S | -134 | 13.46 | 0 | -10 | -8 | 109 | I | | | | | | | | | | | | | | |
11/1/23 14:23 | 11/1/23 | CGO | Calamos Global Total Return Fund | | Fund | CEF | Closed-End Funds | Neal John E | X1 | D | | S | -58 | 8.20 | 0 | -7 | -100 | 0 | D | | | | | | | | | | | | | | |
10/30/23 16:23 | 10/30/23 | RMMZ | Rivernorth Managed Duration Municipal Income Fund Ii, Inc. | | Fund | CEF | Closed-End Funds | Raio Jerry | FL | D | | S | -4 | 13.10 | 0 | 0 | -8 | 4 | D | | | | | | | | | | | | | | |
10/30/23 13:39 | 10/26/23 | BIT | Blackrock Multi-Sector Income Trust | | Fund | CEF | Closed-End Funds | Maclellan Scott | NY | H | Portfoli | S | -7 | 13.74 | 0 | 0 | -100 | 0 | D | | | | | | | | | | | | | | |
10/27/23 16:58 | 10/25/23 | LASAX | Lord Abbett Special Situations Income Fund | | Fund | CEF | Closed-End Funds | Lord, Abbett & Co. LLC | NJ | H | Investme | S | -3,000 | 8.99 | 0 | -334 | -33 | 666 | D | | | | | | | | | | | | | | |
10/27/23 15:33 | 10/25/23 | BIT | Blackrock Multi-Sector Income Trust | | Fund | CEF | Closed-End Funds | Maclellan Scott | NY | H | Portfoli | S | 0 | 13.70 | 0 | 0 | 0 | 0 | D | | | | | | | | | | | | | | |
10/27/23 15:10 | 10/26/23 | BCV | Bancroft Fund Ltd | DE | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -57 | 14.22 | 0 | -4 | -2 | 177 | I | | | | | | | | | | | | | | |
10/26/23 18:17 | 10/26/23 | JFR | Nuveen Floating Rate Income Fund | | Fund | CEF | Closed-End Funds | Jones Nathaniel T. | IL | O | VP,Treas | S | -11 | 7.67 | 0 | -1 | -82 | 0 | D | | | | | | | | | | | | | | |
10/26/23 17:46 | 10/26/23 | NAD | Nuveen Quality Municipal Income Fund | | Fund | CEF | Closed-End Funds | Jones Nathaniel T. | IL | O | VP,Treas | S | -8 | 9.62 | 0 | -1 | -100 | 0 | D | | | | | | | | | | | | | | |
10/26/23 17:42 | 10/24/23 | BIT | Blackrock Multi-Sector Income Trust | | Fund | CEF | Closed-End Funds | Maclellan Scott | NY | H | Portfoli | S | -9 | 13.83 | 0 | -1 | -57 | 0 | D | | | | | | | | | | | | | | |
10/25/23 17:45 | 10/24/23 | CXH | Mfs Investment Grade Municipal Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -5 | 6.59 | 0 | -1 | 0 | 908 | I | | | | | | | | | | | | | | |
10/25/23 13:43 | 10/25/23 | NMZ | Nuveen Municipal High Income Opportunity Fund | | Fund | CEF | Closed-End Funds | Toth Terence J | | O | Trustee | S | -36 | 8.50 | 0 | -4 | -100 | 0 | D | | | | | | | | | | | | | | |
10/24/23 11:35 | 10/23/23 | UTG | Reaves Utility Income Fund | | Fund | CEF | Closed-End Funds | Grimes Thomas Michael | NJ | H | Officer | S | -360 | 23.62 | 0 | -15 | -100 | 0 | D | | | | | | | | | | | | | | |
10/12/23 16:50 | 10/12/23 | GOF | Guggenheim Strategic Opportunities Fund | | Fund | CEF | Closed-End Funds | Brock-Kyle Angela | IL | DH | Trustee | S | -1 | 13.70 | 0 | 0 | -8 | 1 | I | | | | | | | | | | | | | | |
10/11/23 18:01 | 10/9/23 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Partners LP | NY | T | | S | -44 | 19.15 | 0 | -2 | 0 | 1,082 | I | | | | | | | | | | | | | | |
10/10/23 15:59 | 10/6/23 | CMU | Mfs High Yield Municipal Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -17 | 3.05 | 0 | -5 | 0 | 3,319 | I | | | | | | | | | | | | | | |
10/6/23 17:56 | 10/4/23 | CMU | Mfs High Yield Municipal Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -65 | 3.09 | 0 | -21 | -1 | 3,324 | I | | | | | | | | | | | | | | |
10/4/23 14:44 | 10/3/23 | JQC | Nuveen Credit Strategies Income Fund | | Fund | CEF | Closed-End Funds | Caraher Scott C. | IL | H | Portfoli | S | -74 | 4.92 | 0 | -15 | -71 | 6 | D | | | | | | | | | | | | | | |
10/4/23 14:41 | 10/3/23 | JFR | Nuveen Floating Rate Income Fund | | Fund | CEF | Closed-End Funds | Caraher Scott C. | IL | H | Portfoli | S | -233 | 7.90 | 0 | -30 | -39 | 47 | D | | | | | | | | | | | | | | |
10/3/23 18:46 | 10/3/23 | CXH | Mfs Investment Grade Municipal Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -30 | 7.02 | 0 | -4 | 0 | 909 | I | | | | | | | | | | | | | | |
10/3/23 18:44 | 10/3/23 | CMU | Mfs High Yield Municipal Trust | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -20 | 3.10 | 0 | -6 | 0 | 3,345 | I | | | | | | | | | | | | | | |
9/29/23 17:06 | 9/19/23 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Master Fund LP | CA | T | | S.dm | -1,810 | 19.35 | 0 | -94 | -8 | 1,084 | D | | | | | | | | | | | | | | |
9/29/23 10:41 | 9/27/23 | JFR | Nuveen Floating Rate Income Fund | | Fund | CEF | Closed-End Funds | Caraher Scott C. | IL | H | Portfoli | S | -284 | 8.11 | 0 | -35 | -31 | 77 | D | | | | | | | | | | | | | | |
9/27/23 09:40 | 9/26/23 | JFR | Nuveen Floating Rate Income Fund | | Fund | CEF | Closed-End Funds | Caraher Scott C. | IL | H | Portfoli | S | -203 | 8.13 | 0 | -25 | -18 | 112 | D | | | | | | | | | | | | | | |
9/21/23 15:27 | 9/21/23 | NVG | Nuveen Amt-Free Municipal Credit Income Fund | MA | Fund | CEF | Closed-End Funds | Toth Terence J | IL | H | Trustee | S | -14 | 10.75 | 0 | -1 | -100 | 0 | D | | | | | | | | | | | | | | |
9/21/23 14:47 | 9/19/23 | BSTZ | Blackrock Science & Technology Term Trust | | Fund | CEF | Closed-End Funds | Kim Tony | NY | H | Portfoli | S | -378 | 16.67 | 0 | -23 | -13 | 152 | D | | | | | | | | | | | | | | |
9/21/23 14:46 | 9/19/23 | BST | Blackrock Science & Technology Trust | | Fund | CEF | Closed-End Funds | Kim Tony | NY | H | Portfoli | S | -190 | 31.69 | 0 | -6 | -45 | 7 | D | | | | | | | | | | | | | | |
9/18/23 16:15 | 8/15/23 | NRSAX | Nexpoint Real Estate Strategies Fund | | Fund | CEF | Closed-End Funds | Dondero James D | TX | OT | See Rema | S | -9,397 | 18.79 | 0 | -500 | -85 | 87 | I | | | | | | | | | | | | | | |
9/15/23 14:20 | 9/15/23 | GLU.B | Gabelli Global Utility & Income Trust | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | TH | Control | S | -3,013 | 50.31 | 0 | -60 | -30 | 138 | M | | | | | | | | | | | | | | |
9/13/23 12:03 | 9/11/23 | GLU.B | Gabelli Global Utility & Income Trust | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | TH | Control | S.m | -287 | 50.30 | 0 | -6 | -4 | 138 | I | | | | | | | | | | | | | | |
8/30/23 19:05 | 8/28/23 | OCCI | Ofs Credit Company, Inc. | | Fund | CEF | Closed-End Funds | Eagle Point Credit Management LLC | CT | T | | S | -6 | 22.98 | 0 | 0 | 0 | 352 | I | | | | | | | | | | | | | | |
8/30/23 17:01 | 7/28/23 | GLU.B | Gabelli Global Utility & Income Trust | | Fund | CEF | Closed-End Funds | Melarkey Michael J | NY | D | | S | -54 | 49.74 | 0 | -1 | -100 | 0 | I | | | | | | | | | | | | | | |
8/30/23 16:51 | 8/29/23 | RFMZ | Rivernorth Flexible Municipal Income Fund Ii, Inc. | | Fund | CEF | Closed-End Funds | Sprauer Scott | NY | H | Portfoli | S | -27 | 13.52 | 0 | -2 | -50 | 2 | D | | | | | | | | | | | | | | |
8/30/23 16:49 | 8/29/23 | RMMZ | Rivernorth Managed Duration Municipal Income Fund Ii, Inc. | | Fund | CEF | Closed-End Funds | Sprauer Scott | NY | H | Portfoli | S | -15 | 15.30 | 0 | -1 | -100 | 0 | D | | | | | | | | | | | | | | |
8/30/23 15:38 | 8/28/23 | GRF | Eagle Capital Growth Fund, Inc. | | Fund | CEF | Closed-End Funds | Sims Luke E | WI | DO | P,CEO | S | -44 | 8.88 | 0 | -5 | -2 | 292 | D | | | | | | | | | | | | | | |
8/30/23 12:25 | 8/1/23 | NPCT | Nuveen Core Plus Impact Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -605 | 9.97 | 0 | -61 | -2 | 2,839 | I | | | | | | | | | | | | | | |
8/23/23 14:39 | 8/21/23 | BST | Blackrock Science & Technology Trust | | Fund | CEF | Closed-End Funds | Kim Tony | NY | H | Portfoli | S | -112 | 32.14 | 0 | -4 | -21 | 13 | D | | | | | | | | | | | | | | |
8/21/23 13:34 | 8/18/23 | MMD | Mainstay Mackay Definedterm Municipal Opportunities Fund | | Fund | CEF | Closed-End Funds | Denlinger Michael | NY | H | Portfoli | S | 0 | 16.67 | 0 | 0 | -100 | 0 | D | | | | | | | | | | | | | | |
8/18/23 17:16 | 8/16/23 | ARDC | Ares Dynamic Credit Allocation Fund, Inc. | | Fund | CEF | Closed-End Funds | Shaw John Joseph | CA | D | | S.m | -385 | 12.82 | 0 | -30 | -50 | 30 | I | | | | | | | | | | | | | | |
8/17/23 18:50 | 8/16/23 | FUND | Sprott Focus Trust Inc. | MD | Fund | CEF | Closed-End Funds | George W Whitney | CA | DTH | Senior P | S.m | -179 | 7.98 | 0 | -22 | 0 | 14,130 | I | | | | | | | | | | | | | | |
8/15/23 12:32 | 8/14/23 | HIE | Miller/howard High Income Equity Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -5,568 | 10.25 | 0 | -543 | -19 | 2,350 | I | | | | | | | | | | | | | | |
8/15/23 12:24 | 8/14/23 | GIM | Templeton Global Income Fund | FL | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -16,725 | 4.17 | 0 | -4,011 | -10 | 34,587 | I | | | | | | | | | | | | | | |
8/14/23 18:47 | 8/10/23 | FUND | Sprott Focus Trust Inc. | MD | Fund | CEF | Closed-End Funds | George W Whitney | CA | DTH | Senior P | S | -25 | 8.15 | 0 | -3 | 0 | 14,141 | I | | | | | | | | | | | | | | |
8/14/23 17:21 | 8/10/23 | BGFLX | Blackstone Floating Rate Enhanced Income Fund | | Fund | CEF | Closed-End Funds | McKemie Gordon | NY | H | Portfoli | S | -10 | 21.51 | 0 | 0 | -100 | 0 | D | | | | | | | | | | | | | | |
8/10/23 17:24 | 8/8/23 | CRF | Cornerstone Total Return Fund Inc | | Fund | CEF | Closed-End Funds | Morris Matthew | TX | D | | S | -337 | 8.43 | 0 | -40 | -48 | 44 | D | | | | | | | | | | | | | | |
8/10/23 17:23 | 8/8/23 | CLM | Cornerstone Strategic Value Fund Inc | MD | Fund | CEF | Closed-End Funds | Morris Matthew | TX | D | | S | -349 | 8.72 | 0 | -40 | -49 | 42 | D | | | | | | | | | | | | | | |
8/8/23 08:54 | 8/7/23 | MMD | Mainstay Mackay Definedterm Municipal Opportunities Fund | | Fund | CEF | Closed-End Funds | Denlinger Michael | NY | H | Portfoli | S | -77 | 16.86 | 0 | -5 | -100 | 0 | D | | | | | | | | | | | | | | |
8/4/23 17:00 | 7/27/23 | NMFC | New Mountain Finance Corp | | Fund | CEF | Closed-End Funds | Hamwee Robert | NY | D | | S | 0 | 12.86 | 0 | 0 | 0 | 561 | D | | | | | | | | | | | | | | |
8/3/23 17:04 | 7/13/23 | TSI | Tcw Strategic Income Fund Inc | | Fund | CEF | Closed-End Funds | Flack Mitch | CA | O | Portfoli | S | -215 | 4.65 | 0 | -46 | -53 | 40 | I | | | | | | | | | | | | | | |
8/2/23 13:19 | 7/31/23 | NPCT | Nuveen Core Plus Impact Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -297 | 10.06 | 0 | -30 | -1 | 2,899 | I | | | | | | | | | | | | | | |
8/1/23 12:57 | 7/28/23 | GCV | Gabelli Convertible & Income Securities Fund Inc | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | H | Control | S | -43 | 4.26 | 0 | -10 | -1 | 1,944 | I | | | | | | | | | | | | | | |
7/31/23 11:26 | 7/28/23 | NPCT | Nuveen Core Plus Impact Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -68 | 10.07 | 0 | -7 | 0 | 2,929 | I | | | | | | | | | | | | | | |
7/26/23 18:13 | 7/25/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -912 | 20.47 | 0 | -45 | -6 | 713 | I | | | | | | | | | | | | | | |
7/25/23 15:04 | 7/21/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -264 | 20.33 | 0 | -13 | -2 | 758 | I | | | | | | | | | | | | | | |
7/21/23 09:25 | 7/19/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -609 | 20.28 | 0 | -30 | -4 | 771 | I | | | | | | | | | | | | | | |
7/20/23 17:01 | 7/18/23 | FECOF | First Eagle Credit Opportunities Fund | | Fund | CEF | Closed-End Funds | Kelly William M. | NY | D | | S | -58 | 23.46 | 0 | -2 | -100 | 0 | D | | | | | | | | | | | | | | |
7/19/23 12:10 | 7/18/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -55 | 20.24 | 0 | -3 | 0 | 801 | I | | | | | | | | | | | | | | |
7/18/23 16:50 | 7/14/23 | AVK | Advent Convertible & Income Fund | | Fund | CEF | Closed-End Funds | Maitland Tracy V | NY | DOH | CB,P,CEO | S.m | -690 | 11.69 | 0 | -59 | -37 | 102 | M | | | | | | | | | | | | | | |
7/18/23 16:47 | 7/14/23 | AVK | Advent Convertible & Income Fund | | Fund | CEF | Closed-End Funds | Advent Capital Management /De/ | NY | H | INVESTME | S.m | -690 | 11.69 | 0 | -59 | -100 | 0 | D | | | | | | | | | | | | | | |
7/11/23 11:47 | 7/10/23 | MMD | Mainstay Mackay Definedterm Municipal Opportunities Fund | | Fund | CEF | Closed-End Funds | Denlinger Michael | NY | H | Portfoli | S | -73 | 16.95 | 0 | -4 | -49 | 5 | D | | | | | | | | | | | | | | |
7/7/23 17:39 | 7/5/23 | BCAT | Blackrock Capital Allocation Term Trust | | Fund | CEF | Closed-End Funds | Rieder Richard M | NY | H | Portfoli | S | -293 | 15.36 | 0 | -19 | -9 | 187 | D | | | | | | | | | | | | | | |
7/3/23 12:53 | 6/29/23 | BLE | Blackrock Municipal Income Trust II | | Fund | CEF | Closed-End Funds | Hayes Peter | NY | H | Officer | S | -37 | 10.36 | 0 | -4 | -100 | 0 | D | | | | | | | | | | | | | | |
7/3/23 12:45 | 6/29/23 | MQT | Blackrock Muniyield Quality Fund Ii, Inc. | NJ | Fund | CEF | Closed-End Funds | Hayes Peter | NY | H | Officer | S | -151 | 10.04 | 0 | -15 | -100 | 0 | D | | | | | | | | | | | | | | |
7/3/23 12:45 | 6/29/23 | MUI | Blackrock Municipal Income Fund, Inc. | | Fund | CEF | Closed-End Funds | Hayes Peter | NY | H | Officer | S | -214 | 11.39 | 0 | -19 | -100 | 0 | D | | | | | | | | | | | | | | |
6/26/23 18:00 | 6/22/23 | BGX | Blackstone Long-Short Credit Income Fund | | Fund | CEF | Closed-End Funds | McKemie Gordon | NY | H | Portfoli | S | -4 | 11.00 | 0 | 0 | -100 | 0 | D | | | | | | | | | | | | | | |
6/22/23 20:46 | 6/20/23 | GGT | Gabelli Multimedia Trust Inc. | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -41 | 6.27 | 0 | -7 | 0 | 2,558 | I | | | | | | | | | | | | | | |
6/21/23 15:29 | 6/8/23 | GDV | Gabelli Dividend & Income Trust | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -84 | 20.92 | 0 | -4 | -1 | 765 | I | | | | | | | | | | | | | | |
6/12/23 16:55 | 6/8/23 | BCV | Bancroft Fund Ltd | DE | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -51 | 16.98 | 0 | -3 | -2 | 181 | I | | | | | | | | | | | | | | |
6/7/23 12:21 | 6/6/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -1,498 | 19.02 | 0 | -79 | -9 | 803 | I | | | | | | | | | | | | | | |
6/1/23 17:28 | 5/30/23 | GLU | Gabelli Global Utility & Income Trust | | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | H | Control | S | -25 | 13.21 | 0 | -2 | 0 | 570 | I | | | | | | | | | | | | | | |
6/1/23 12:02 | 5/31/23 | CCD | Calamos Dynamic Convertible & Income Fund | | Fund | CEF | Closed-End Funds | Mickey Mark | IL | O | chief co | S | -11 | 22.95 | 0 | -1 | -100 | 0 | D | | | | | | | | | | | | | | |
5/30/23 14:34 | 5/25/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -2,500 | 18.21 | 0 | -137 | -13 | 882 | I | | | | | | | | | | | | | | |
5/26/23 16:46 | 5/26/23 | USA | Liberty All Star Equity Fund | | Fund | CEF | Closed-End Funds | Parmentier William R Jr | CO | H | Access P | S.a | -209 | 5.98 | 0 | -35 | -53 | 31 | D | | | | | | | | | | | | | | |
5/26/23 10:56 | 5/24/23 | GAM | General American Investors Co Inc | DE | Fund | CEF | Closed-End Funds | Siri Von Reis 2012 Family Trust | NY | DH | Chairman | S | 0 | 25.71 | 0 | 0 | 0 | 11 | D | | | | | | | | | | | | | | |
5/25/23 17:00 | 5/24/23 | GAM | General American Investors Co Inc | DE | Fund | CEF | Closed-End Funds | Davidson Spencer | NY | DH | Chairman | S | 0 | 25.71 | 0 | 0 | 0 | 1,591 | I | | | | | | | | | | | | | | |
5/25/23 16:18 | 5/24/23 | HTGC | Hercules Capital, Inc. | | Fund | CEF | Closed-End Funds | Follmann Christian | CA | O | COO | S | -6 | 13.72 | 0 | 0 | -1 | 72 | D | | | | | | | | | | | | | | |
5/25/23 11:07 | 5/23/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -60 | 18.60 | 0 | -3 | 0 | 1,019 | I | | | | | | | | | | | | | | |
5/24/23 16:05 | 11/16/22 | SLRC | Slr Investment Corp. | | Fund | CEF | Closed-End Funds | Hochberg Steven | NY | D | | S.a | -42 | 14.01 | 0 | -3 | -52 | 3 | D | | | | | | | | | | | | | | |
5/23/23 12:52 | 5/22/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -116 | 18.65 | 0 | -6 | -1 | 1,023 | I | | | | | | | | | | | | | | |
5/12/23 13:27 | 5/10/23 | GRF | Eagle Capital Growth Fund, Inc. | | Fund | CEF | Closed-End Funds | Sims Luke E | WI | DO | P,CEO | S.a | -43 | 8.50 | 0 | -5 | -2 | 297 | D | | | | | | | | | | | | | | |
5/12/23 12:42 | 5/10/23 | GRF | Eagle Capital Growth Fund, Inc. | | Fund | CEF | Closed-End Funds | Sims Luke E | WI | DO | P,CEO | S | -2,425 | 8.50 | 0 | -285 | -49 | 297 | D | | | | | | | | | | | | | | |
5/8/23 16:28 | 5/8/23 | BBDC | Barings Bdc, Inc. | | Fund | CEF | Closed-End Funds | Chillag Jeffrey | NC | OH | Dir of F | S | -4 | 7.23 | 0 | -1 | -6 | 8 | D | | | | | | | | | | | | | | |
5/3/23 15:01 | 5/1/23 | BCV | Bancroft Fund Ltd | DE | Fund | CEF | Closed-End Funds | Gabelli Mario J | NY | DH | Control | S | -33 | 16.36 | 0 | -2 | -1 | 184 | I | | | | | | | | | | | | | | |
5/3/23 11:27 | 4/26/23 | TSI | Tcw Strategic Income Fund Inc | | Fund | CEF | Closed-End Funds | Landmann Laird | CA | O | Portfoli | S | -36 | 4.70 | 0 | -8 | -15 | 43 | D | | | | | | | | | | | | | | |
5/3/23 08:29 | 5/1/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S | -180 | 18.80 | 0 | -10 | -1 | 1,029 | I | | | | | | | | | | | | | | |
5/2/23 18:48 | 1/17/23 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Master Fund LP | CA | T | | S.dm | -362 | 22.68 | 0 | -16 | -1 | 1,162 | D | | | | | | | | | | | | | | |
5/2/23 18:47 | 1/3/23 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Master Fund LP | CA | T | | S.m | -415 | 22.54 | 0 | -18 | -2 | 1,175 | D | | | | | | | | | | | | | | |
5/2/23 18:46 | 12/1/22 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Master Fund LP | CA | T | | S.dm | -508 | 22.22 | 0 | -23 | -2 | 1,140 | D | | | | | | | | | | | | | | |
5/2/23 18:46 | 11/1/22 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Master Fund LP | CA | T | | S.m | -1,804 | 22.18 | 0 | -81 | -7 | 1,103 | D | | | | | | | | | | | | | | |
5/2/23 18:45 | 10/24/22 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Master Fund LP | CA | T | | S.m | -231 | 20.48 | 0 | -11 | -1 | 1,174 | D | | | | | | | | | | | | | | |
5/2/23 18:45 | 7/21/22 | PTMN | Portman Ridge Finance Corp | | Fund | CEF | Closed-End Funds | Repertoire Master Fund LP | CA | T | | S.m | -361 | 23.70 | 0 | -15 | -1 | 1,155 | D | | | | | | | | | | | | | | |
5/1/23 09:18 | 4/27/23 | CEN | Center Coast Brookfield Mlp & Energy Infrastructure Fund | | Fund | CEF | Closed-End Funds | Saba Capital Management, L.P. | NY | T | | S.m | -449 | 18.78 | 0 | -24 | -2 | 1,038 | I | | | | | | | | | | | | | | |
4/28/23 15:31 | 4/26/23 | LCRDX | Lord Abbett Credit Opportunities Fund | | Fund | CEF | Closed-End Funds | Lapin Jeffrey D. | NJ | H | Portfoli | S | -163 | 8.85 | 0 | -18 | -100 | 0 | D | | | | | | | | | | | | | | |
4/25/23 16:26 | 4/24/23 | DMB | Bny Mellon Municipal Bond Infrastructure Fund, Inc. | | Fund | CEF | Closed-End Funds | Cardona John C Jr | NY | D | | S | -64 | 10.96 | 0 | -6 | -100 | 0 | D | | | | | | | | | | | | | | |