Investment Advice Industry - Insider Stock Trading

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	Qty	oc	Own	H
11/22/24 20:08	11/21/24	PX	P10, Inc.	DE	Financ	InvAdv	Investment Advice	210 Capital, LLC	TX	TH	See Rema	P.d	137	13.65	10	0	2,339	M
11/13/24 16:31	11/11/24	HLNE	Hamilton Lane Inc	DE	Financ	InvAdv	Investment Advice	Delgado-Moreira Juan	PA	DOT	Co-CEO	P.d	106	201.81	1	0	1,287	I
11/6/24 16:30	11/4/24	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Porat Ruth	NY	D		P	37	169.38	0	0	45	M
9/13/24 16:44	9/11/24	BTSG	Brightspring Health Services, Inc.	E9	Financ	InvAdv	Investment Advice	Kkr Group Partnership L.P.	NY	T		P	129,331	11.13	11,620	14	92,960	I
9/13/24 12:36	9/11/24	BEN	Franklin Resources Inc	DE	Financ	InvAdv	Investment Advice	Johnson Charles B	CA	T		P	1,908	19.08	100	0	93,392	D
9/12/24 18:21	9/10/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Ilwaddi Holdings	NY	T		P	23	3.87	6	0	18,118	I
9/10/24 16:19	9/6/24	APO	Apollo Global Management, Inc.	DE	Financ	InvAdv	Investment Advice	O'Neill Mitra	NY	D		P	100	108.40	1	3	30	D
9/6/24 15:41	9/4/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Ilwaddi Holdings	NY	T		P.m	50	3.80	13	0	18,112	I
8/30/24 16:10	8/29/24	SELF	Global Self Storage, Inc.	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	14	5.22	3	7	40	D
8/30/24 13:28	8/29/24	BEN	Franklin Resources Inc	DE	Financ	InvAdv	Investment Advice	Johnson Charles B	CA	T		P	1,984	19.84	100	0	93,292	D
8/30/24 08:10	8/28/24	BEN	Franklin Resources Inc	DE	Financ	InvAdv	Investment Advice	Johnson Jennifer M	CA	DO	P,CEO	P	250	19.66	13	0	5,877	I
8/28/24 15:53	8/28/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	32	13.22	2	2	155	D
8/27/24 16:17	8/26/24	SELF	Global Self Storage, Inc.	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	25	5.18	5	14	38	D
8/27/24 15:46	8/26/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	184	13.20	14	10	152	D
8/26/24 14:31	8/23/24	BEN	Franklin Resources Inc	DE	Financ	InvAdv	Investment Advice	Johnson Jennifer M	CA	DO	P,CEO	P	396	20.95	19	0	5,865	I
8/23/24 16:58	8/22/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	17	13.15	1	1	138	D
8/23/24 16:32	8/22/24	SELF	Global Self Storage, Inc.	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	45	5.20	9	36	33	D
8/23/24 11:23	8/20/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Ilwaddi Holdings	NY	T		P	15	3.95	4	0	18,099	I
8/21/24 16:19	8/20/24	SELF	Global Self Storage, Inc.	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	37	5.10	7	44	24	D
8/20/24 16:00	8/19/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	38	13.14	3	2	137	D
8/20/24 14:23	8/16/24	ABIO	Arca Biopharma, Inc.	Y9	Financ	InvAdv	Investment Advice	Janus Henderson Group Plc	X0	T		P	17	2.93	6	0	2,117	I
8/19/24 16:24	8/16/24	SELF	Global Self Storage, Inc.	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	38	5.05	7	81	17	D
8/15/24 17:46	8/13/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Ilwaddi Holdings	NY	T		P.m	433	3.92	110	1	18,095	I
8/15/24 16:13	8/14/24	SELF	Global Self Storage, Inc.	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	21	4.97	4	83	9	D
8/14/24 15:55	8/13/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	26	12.88	2	1	134	D
8/12/24 17:01	8/9/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	40	12.87	3	2	132	D
8/8/24 16:25	8/7/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	80	12.63	6	5	129	D
8/7/24 16:28	8/6/24	APO	Apollo Global Management, Inc.	DE	Financ	InvAdv	Investment Advice	Richards Pauline	NY	D		P	247	104.92	2	3	86	D
8/7/24 16:17	8/5/24	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Porat Ruth	NY	D		P	35	129.85	0	1	45	M
8/6/24 16:06	8/5/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	226	12.29	18	18	123	D
8/2/24 11:30	8/1/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	335	13.13	26	32	104	D
7/31/24 15:39	7/30/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	84	13.30	6	9	79	D
7/29/24 16:02	7/26/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	153	13.16	12	19	73	D
7/26/24 10:50	7/24/24	ABIO	Arca Biopharma, Inc.	Y9	Financ	InvAdv	Investment Advice	Janus Henderson Group Plc	X0	T		P.m	699	3.18	220	12	2,111	I
7/25/24 16:16	7/24/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	172	13.26	13	27	61	D
7/19/24 15:32	7/19/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	10	13.10	1	2	48	D
7/18/24 15:37	7/17/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	283	13.34	21	82	47	D
7/16/24 16:15	7/16/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	13	13.12	1	4	26	D
7/12/24 19:38	7/3/24	ABIO	Arca Biopharma, Inc.	Y9	Financ	InvAdv	Investment Advice	Janus Henderson Group Plc	X0	T		P.m	1,427	3.49	409	28	1,891	I
7/12/24 15:51	7/12/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	56	12.90	4	21	25	D
7/11/24 15:23	7/10/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	1	12.53	0	0	21	D
7/9/24 16:10	7/8/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P.m	109	12.53	9	74	20	D
7/5/24 16:32	7/5/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	48	12.51	4	48	12	D
7/3/24 12:35	7/3/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	13	12.54	1	15	8	D
7/2/24 15:56	7/1/24	BXSY	Bexil Investment Trust	DE	Financ	InvAdv	Investment Advice	Winmill & Co. Inc	NY	H	See "Exp	P	87	12.52	7	New	7	D
7/1/24 10:22	6/27/24	DHIL	Diamond Hill Investment Group Inc	OH	Financ	InvAdv	Investment Advice	Quinif Jo Ann	OH	O	P of DHC	P	56	139.24	0	2	22	D
7/1/24 10:19	6/27/24	DHIL	Diamond Hill Investment Group Inc	OH	Financ	InvAdv	Investment Advice	Brilliant Heather E	OH	DO	CEO	P.m	77	139.72	1	1	47	D
6/25/24 19:21	6/21/24	PX	P10, Inc.	DE	Financ	InvAdv	Investment Advice	McCoy David M.	TX	H	See Rema	P	164	8.21	20	25	100	D
6/24/24 12:48	6/21/24	BEN	Franklin Resources Inc	DE	Financ	InvAdv	Investment Advice	Johnson Charles B	CA	T		P	4,559	22.80	200	0	92,787	D
6/20/24 07:43	6/18/24	BEN	Franklin Resources Inc	DE	Financ	InvAdv	Investment Advice	Johnson Charles B	CA	T		P	2,229	22.29	100	0	92,587	D
6/17/24 18:17	6/13/24	PX	P10, Inc.	DE	Financ	InvAdv	Investment Advice	Charles K. Huebner Trust	TX	H	See Rema	P	99	7.95	13	32	52	D
6/10/24 16:21	6/6/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Ilwaddi Holdings	NY	T		P	94	4.72	20	0	17,985	I
6/6/24 18:27	6/4/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Ilwaddi Holdings	NY	T		P.m	153	4.90	31	0	17,965	I
6/5/24 14:12	6/3/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Tiedemann Michael	NY	DO	CEO	P.d	230	4.86	47	8	623	D
6/4/24 09:24	6/3/24	DHIL	Diamond Hill Investment Group Inc	OH	Financ	InvAdv	Investment Advice	Cooley Richard Scott	OH	D		P	75	150.00	1	6	8	D
5/31/24 17:52	5/30/24	STEP	Stepstone Group Inc.		Financ	InvAdv	Investment Advice	Hoffmeister David F	NY	D		P	997	44.29	23	96	46	D
5/23/24 19:32	5/21/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Tiedemann Michael	NY	DO	CEO	P.m	281	4.44	63	12	596	D
5/20/24 20:22	5/16/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Tiedemann Michael	NY	DO	CEO	P.m	461	4.61	100	23	532	D
5/16/24 21:34	5/14/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Keaney Timothy F	NY	DO	P,Asset	P.m	384	4.56	84	642	97	D
5/13/24 17:04	5/9/24	ELDN	Eledon Pharmaceuticals, Inc.	DE	Financ	InvAdv	Investment Advice	Bvf Partners L P/il	CA	T		P.d	0	0.00	1,928		220	D
5/8/24 17:23	5/6/24	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Porat Ruth	NY	D		P	33	119.58	0	1	43	M
5/3/24 17:01	4/30/24	SAMG	Silvercrest Asset Management Group Inc.	DE	Financ	InvAdv	Investment Advice	Long Path Smaller Companies Fund, LP	CT	T		P.a	77	15.05	5	1	941	D
5/2/24 19:27	4/30/24	SAMG	Silvercrest Asset Management Group Inc.	DE	Financ	InvAdv	Investment Advice	Long Path Smaller Companies Fund, LP	CT	T		P	77	15.05	5	1	941	D
4/4/24 19:50	4/2/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Furlong Mark F	NY	D		P	136	5.43	25	New	25	D
4/4/24 16:15	4/2/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Ilwaddi Cayman Holdings	NY	T		P.m	203	5.07	40	0	17,933	I
3/28/24 18:23	3/27/24	PX	P10, Inc.	DE	Financ	InvAdv	Investment Advice	Jensen Richard J.	TX	O	EVP,Head	P	459	8.35	55	New	55	D
3/27/24 15:46	3/25/24	PX	P10, Inc.	DE	Financ	InvAdv	Investment Advice	McCoy David M.	TX	H	See Rema	P	81	8.12	10	14	80	D
3/14/24 16:30	3/13/24	SAMG	Silvercrest Asset Management Group Inc.	DE	Financ	InvAdv	Investment Advice	Gray John Allen	NY	O	MD	P	50	15.84	3	17	21	D
3/12/24 21:57	3/5/24	PX	P10, Inc.	DE	Financ	InvAdv	Investment Advice	Blatherwick Nell M.	TX	H	See Rema	P.d	100	7.98	13	3	430	D
2/21/24 17:05	2/21/24	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Brown Reginald J	NY	D		P	302	125.63	2	16	17	D
2/14/24 16:53	2/12/24	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Porat Ruth	NY	D		P	37	127.01	0	1	43	M
2/12/24 18:23	2/8/24	JSPR	Jasper Therapeutics, Inc.	DE	Financ	InvAdv	Investment Advice	Carlyle Group Inc.	DC	H	Former 1	P	2,461	12.95	190	22	1,066	I
12/26/23 16:12	12/18/23	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Neil J	CA	DOT	CEO	P	4	6.50	1	0	2,079	I
12/20/23 16:04	12/19/23	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Neil J	CA	DOT	CEO	P	1	6.50	0	0	2,049	I
12/19/23 17:00	12/15/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Kelleher Thomas J /Adv	CA	O	Co-CEO	P	404	20.22	20	2	1,037	I
12/18/23 17:23	12/15/23	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Neil J	CA	DOT	CEO	P.m	10	6.50	2	0	2,099	I
12/13/23 18:06	12/12/23	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Neil J	CA	DOT	CEO	P	47	6.50	7	0	2,097	I
12/12/23 18:52	8/10/21	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Brian A	CA	D		P.m	39	10.06	4	1	288	I
12/12/23 18:49	3/7/17	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Pomilia Susan Weber	CA	D		P	42	18.29	2	2	117	I
11/28/23 17:10	11/14/23	PX	P10, Inc.	DE	Financ	InvAdv	Investment Advice	McCoy David M.	TX	DTH	See Rema	P.m	136	9.73	14	55	39	D
11/22/23 14:09	11/21/23	OAK.P	Oaktree Capital Group, LLC	DE	Financ	InvAdv	Investment Advice	Perry Mansco III	CA	D		P	21	20.70	1	New	1	D
11/20/23 18:57	11/16/23	ABL	Abacus Life, Inc.	DE	Financ	InvAdv	Investment Advice	Gusky Adam Samuel	FL	D		P.m	74	6.10	12	116	23	D
11/20/23 18:15	11/16/23	ABL	Abacus Life, Inc.	DE	Financ	InvAdv	Investment Advice	McNealy Sean	FL	DOT	Co-Found	P	2	6.17	0	0	12,594	D
11/17/23 16:54	11/15/23	RPTX	Repare Therapeutics Inc.	DE	Financ	InvAdv	Investment Advice	Bvf Partners L P/il	CA	T		P.m	6,250	5.09	1,227		549	D
11/17/23 11:34	11/17/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	D Agostino Robert P	CA	D		P	106	21.23	5	3	161	D
11/17/23 11:33	11/17/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Paulson Randall E	CA	D		P	212	21.23	10	3	319	D
11/17/23 11:31	11/17/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	637	21.23	30	0	7,173	D
11/16/23 09:43	11/14/23	SNCR	Synchronoss Technologies Inc	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P	33	0.4500	74	1	13,648	I
11/16/23 09:23	11/14/23	BW	Babcock & Wilcox Enterprises, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P	183	1.16	158	1	28,177	I
11/14/23 12:19	11/10/23	SNCR	Synchronoss Technologies Inc	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.m	254	0.4460	570	4	13,574	I
11/13/23 15:07	11/10/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Labran Renee E	CA	D		P.m	20	22.63	1	16	7	D
11/13/23 08:00	11/10/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Antin Robert L	CA	D		P	644	25.75	25	6	470	D
11/13/23 08:00	11/9/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Brandt Tamara Sue	CA	D		P	50	30.64	2	36	6	D
11/7/23 17:09	11/6/23	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Porat Ruth	NY	D		P	31	100.59	0	1	42	M
11/7/23 16:30	11/3/23	APO	Apollo Global Management, Inc.	DE	Financ	InvAdv	Investment Advice	Krongard A B	NY	D		P	87	85.95	1	0	441	D
11/6/23 18:07	11/2/23	KYMR	Kymera Therapeutics, Inc.	DE	Financ	InvAdv	Investment Advice	Bvf Partners L P/Il	CA	DH	See Rema	P.dm	5,301	12.80	414		295	D
11/3/23 17:37	11/2/23	RPTX	Repare Therapeutics Inc.	DE	Financ	InvAdv	Investment Advice	Bvf Partners L P/il	CA	T		P	2,821	3.60	784		485	D
11/3/23 15:25	11/2/23	DHIL	Diamond Hill Investment Group Inc	OH	Financ	InvAdv	Investment Advice	Brilliant Heather E	OH	DO	CEO	P	49	149.48	0	1	42	D
10/20/23 18:27	10/18/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	2,839	18.93	150	0	38,913	I
10/4/23 16:28	10/2/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	2,219	14.80	150	0	38,763	I
9/25/23 19:59	9/21/23	CART	Maplebear Inc.	DE	Financ	InvAdv	Investment Advice	Gcm Grosvenor Inc.	IL	H	See Expl	P.d	1,800	30.00	60	1	9,005	I
9/22/23 19:00	9/21/23	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Brown Reginald J	NY	D		P	205	111.24	2	14	15	D
9/21/23 21:21	9/19/23	CART	Maplebear Inc.	DE	Financ	InvAdv	Investment Advice	Grosvenor Capital Management, L.P.	IL	H	See Expl	P	190	30.00	6		0	I
9/19/23 16:24	9/15/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	1,479	14.79	100	0	38,613	I
9/14/23 16:25	9/12/23	OLMA	Olema Pharmaceuticals, Inc.	DE	Financ	InvAdv	Investment Advice	Bvf Partners L P/il	CA	DT		P.d	14,818	9.84	1,506		624	M
9/14/23 16:05	9/12/23	CCIF	Carlyle Credit Income Fund	DE	Financ	InvAdv	Investment Advice	Cg Subsidiary Holdings L.L.C.	DC	T		P	10,816	8.52	1,270	36	4,786	D
9/13/23 16:03	9/11/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	2,177	14.52	150	0	38,513	I
8/30/23 21:52	8/28/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	111	14.94	7	0	38,363	I
8/30/23 17:33	8/28/23	CCIF	Carlyle Credit Income Fund	DE	Financ	InvAdv	Investment Advice	Cg Subsidiary Holdings L.L.C.	DC	T		P.d	29,184	8.30	3,516	New	3,516	M
8/28/23 16:04	8/24/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	574	15.27	38	0	38,355	I
8/24/23 19:05	8/22/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P.m	3,223	15.17	212	1	38,318	I
8/24/23 16:04	8/23/23	ABL	Abacus Life, Inc.	DE	Financ	InvAdv	Investment Advice	Schulte Mary Beth	FL	D		P	101	7.73	13	New	13	I
8/22/23 09:30	8/21/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	1,183	47.31	25	0	7,141	D
8/17/23 20:27	8/15/23	ARES	Ares Management Corp	DE	Financ	InvAdv	Investment Advice	Bhutani Ashish	CA	D		P	981	98.08	10	577	12	D
8/9/23 17:47	8/7/23	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Porat Ruth	NY	D		P.m	31	103.51	0	1	42	M
7/27/23 17:00	7/26/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P.a	4,000	55.00	73	1	6,724	D
7/27/23 17:00	7/26/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Paulson Randall E	CA	D		P.a	275	55.00	5	2	309	D
7/27/23 17:00	7/26/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Moore Andrew	CA	O	CEO B. R	P.a	275	55.00	5	1	380	D
7/27/23 08:55	7/26/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Kelleher Thomas J /Adv	CA	O	Co-CEO	P	500	55.00	9	1	983	M
7/26/23 12:04	7/25/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	4,000	55.00	73	1	7,116	D
7/26/23 12:01	7/25/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Paulson Randall E	CA	D		P	275	55.00	5	2	309	D
7/26/23 11:58	7/25/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Moore Andrew	CA	O	CEO B. R	P	275	55.00	5	1	380	D
7/25/23 16:28	7/21/23	TGAN	Transphorm, Inc.	E9	Financ	InvAdv	Investment Advice	Kkr Phorm Investors L.P.	NY	T		P	5,729	3.30	1,736	8	24,412	I
6/27/23 12:09	6/26/23	BW	Babcock & Wilcox Enterprises, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.m	578	5.78	100	0	28,019	D
6/23/23 21:30	6/21/23	AREN	Arena Group Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.dm	888	3.62	245	3	7,265	M
6/23/23 17:58	6/22/23	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Neil J	CA	DOT	CEO	P.m	13	7.09	2	0	2,078	D
6/21/23 17:26	6/20/23	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Neil J	CA	DOT	CEO	P.m	13	7.10	2	0	2,076	D
6/20/23 21:30	6/15/23	AREN	Arena Group Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.dm	83	3.50	24	0	7,020	I
6/16/23 16:26	6/14/23	AMPS	Altus Power, Inc.	DE	Financ	InvAdv	Investment Advice	Gso Altus Holdings LP	NY	T		P	246	5.47	45	0	21,116	I
6/15/23 09:00	6/13/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	235	37.91	6	0	7,043	D
6/12/23 18:04	6/8/23	AMPS	Altus Power, Inc.	DE	Financ	InvAdv	Investment Advice	Gso Altus Holdings LP	NY	T		P	299	5.25	57	0	21,071	I
6/8/23 18:18	6/6/23	AMPS	Altus Power, Inc.	DE	Financ	InvAdv	Investment Advice	Gso Altus Holdings LP	NY	T		P.m	1,315	5.50	239	1	21,014	I
6/7/23 09:00	6/6/23	BW	Babcock & Wilcox Enterprises, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P	221	5.51	40	0	27,919	M
6/5/23 18:27	6/1/23	STEP	Stepstone Group Inc.		Financ	InvAdv	Investment Advice	McCabe Michael I	NY	DOH	Head of	P.m	2,214	23.31	95	3	3,775	D
6/2/23 12:05	6/2/23	BW	Babcock & Wilcox Enterprises, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P	86	5.05	17	0	27,879	M
5/31/23 21:30	5/26/23	AREN	Arena Group Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.d	70	3.45	20	0	6,997	D
5/31/23 18:46	5/30/23	STEP	Stepstone Group Inc.		Financ	InvAdv	Investment Advice	McCabe Michael I	NY	DOH	Head of	P.m	1,718	21.47	80	2	3,680	D
5/30/23 16:04	5/25/23	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Neil J	CA	DO	CEO	P.m	21	6.89	3	0	2,075	D
5/24/23 21:30	5/22/23	AREN	Arena Group Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.d	9	3.45	3	0	6,976	D
5/24/23 18:04	5/23/23	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Neil J	CA	DOT	CEO	P.m	51	6.85	8	0	2,072	D
5/23/23 11:19	5/19/23	HNNA	Hennessy Advisors Inc		Financ	InvAdv	Investment Advice	Hennessy Neil J	CA	DOT	CEO	P.m	83	6.90	12	1	2,064	D
5/19/23 21:30	5/17/23	AREN	Arena Group Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.dm	29	3.45	8	0	6,974	D
5/17/23 20:18	5/16/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P.a	659	32.95	20	0	6,666	D
5/17/23 10:56	5/16/23	AREN	Arena Group Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.d	179	3.57	50	1	6,965	D
5/16/23 20:46	5/12/23	ARES	Ares Management Corp	DE	Financ	InvAdv	Investment Advice	Bush Antoinette Cook	CA	D		P	101	81.69	1	7	18	D
5/16/23 15:20	5/16/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	659	32.95	20	0	7,030	D
5/16/23 09:00	5/12/23	BW	Babcock & Wilcox Enterprises, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.m	578	5.44	106	0	27,862	M
5/10/23 16:53	5/8/23	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Porat Ruth	NY	D		P	30	82.74	0	1	39	M
5/9/23 20:25	5/5/23	ELDN	Eledon Pharmaceuticals, Inc.	DE	Financ	InvAdv	Investment Advice	Bvf Partners L P/il	CA	T		P.d	0	0.00	1,979		145	D
5/8/23 16:02	5/4/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P.m	7,579	21.00	361	1	38,105	I
5/8/23 12:50	5/8/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	866	34.66	25	0	7,010	D
5/2/23 18:53	4/28/23	FBSPX	Franklin Bsp Private Credit Fund	DE	Financ	InvAdv	Investment Advice	Franklin Resources Inc	CA	TH	Affiliat	P	25,000	10.14	2,465	99	4,965	I
4/27/23 16:02	4/25/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	5,389	21.56	250	1	37,745	I
4/24/23 16:08	4/20/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	4,169	20.85	200	1	37,495	I
4/18/23 18:29	4/14/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	4,288	21.44	200	1	37,295	I
4/17/23 13:41	4/13/23	ALTG	Alta Equipment Group Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.m	1,156	13.76	84	1	6,769	I
4/13/23 11:55	4/11/23	AREN	Arena Group Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.d	76	3.93	19	0	6,915	D
4/6/23 21:30	4/5/23	AREN	Arena Group Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.d	33	3.48	9	0	6,896	D
4/6/23 21:30	4/4/23	ALTG	Alta Equipment Group Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.m	752	13.67	55	1	6,685	I
4/4/23 17:35	3/31/23	FOA	Finance of America Companies Inc.	DE	Financ	InvAdv	Investment Advice	Blackstone Holdings III L.P.	NY	T		P.d	15,000	1.38	10,870	80	24,387	I
4/4/23 17:03	3/31/23	CQP	Cheniere Energy Partners, L.P.	DE	Financ	InvAdv	Investment Advice	Blackstone Holdings III L.P.	NY	T		P.m	1,311	47.32	28	0	203,365	I
3/31/23 18:14	3/29/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	2,943	21.09	140	0	37,095	I
3/31/23 16:30	3/29/23	CQP	Cheniere Energy Partners, L.P.	DE	Financ	InvAdv	Investment Advice	Blackstone Holdings III L.P.	NY	T		P.m	4,547	47.13	96	0	203,357	I
3/31/23 09:19	3/31/23	AREN	Arena Group Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	B. Riley Financial, Inc.	CA	T		P.d	3,915	3.88	1,009	17	6,887	M
3/29/23 19:37	3/27/23	CQP	Cheniere Energy Partners, L.P.	DE	Financ	InvAdv	Investment Advice	Blackstone Holdings III L.P.	NY	T		P.m	3,490	46.07	76	0	203,330	I
3/29/23 16:05	3/27/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P.m	26,407	21.13	1,250	4	36,955	I
3/20/23 08:59	3/17/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Paulson Randall E	CA	D		P	299	29.90	10	3	302	D
3/20/23 08:55	3/17/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	747	29.90	25	0	7,007	D
3/20/23 08:36	3/16/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Antin Robert L	CA	D		P.m	544	30.22	18	4	443	D
3/17/23 16:23	3/15/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P.m	7,882	23.80	331	1	35,705	I
3/17/23 13:06	3/17/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Young Kenneth M	CA	O	P	P	78	31.46	2	1	274	I
3/17/23 11:05	3/16/23	DHIL	Diamond Hill Investment Group Inc	OH	Financ	InvAdv	Investment Advice	Cooley Richard Scott	OH	D		P	79	158.00	1	8	6	D
3/17/23 07:58	3/16/23	AMG	Affiliated Managers Group, Inc.	DE	Financ	InvAdv	Investment Advice	Jeffery Reuben III	FL	D		P	501	137.21	4	13	32	D
3/16/23 10:30	3/15/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	387	29.87	13	0	6,982	D
3/16/23 10:30	3/15/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Kelleher Thomas J /adv	CA	O	Co-CEO	P	311	31.13	10	1	996	I
3/16/23 10:30	3/15/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Paulson Randall E	CA	D		P	155	30.93	5	2	292	D
3/15/23 18:03	3/13/23	FYBR	Frontier Communications Parent, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P.m	4,012	23.77	169	0	35,374	I
3/14/23 13:34	3/10/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Moore Andrew	CA	O	CEO B. R	P	166	33.25	5	1	385	D
3/10/23 17:20	3/9/23	JHG	Janus Henderson Group Plc	Y9	Financ	InvAdv	Investment Advice	Sheehan Anne	CO	D		P	9	27.11	0	New	0	D
3/7/23 13:58	3/7/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	770	40.53	19	0	6,969	M
2/27/23 17:32	2/23/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Paulson Randall E	CA	D		P	368	36.85	10	4	287	D
2/27/23 17:31	2/24/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Moore Andrew	CA	O	CEO B. R	P	368	36.78	10	3	355	D
2/15/23 17:34	2/13/23	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Porat Ruth	NY	D		P	33	92.43	0	1	39	M
2/9/23 15:31	2/9/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Labran Renee E	CA	D		P	10	39.97	0	7	4	D
2/9/23 13:06	2/9/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	D Agostino Robert P	CA	D		P	507	40.59	13	9	154	D
2/9/23 10:19	2/8/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Riley Bryant R	CA	DOT	CB,Co-CE	P	5,461	40.18	136	2	6,750	D
2/8/23 14:36	2/8/23	RILY	B. Riley Financial, Inc.	DE	Financ	InvAdv	Investment Advice	Moore Andrew	CA	O	CEO B. R	P	775	38.75	20	8	281	D
2/2/23 09:28	1/30/23	CCO	Clear Channel Outdoor Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	897	1.79	500	1	55,829	I
1/31/23 17:24	1/27/23	JSPR	Jasper Therapeutics, Inc.	DE	Financ	InvAdv	Investment Advice	Carlyle Group Inc.	DC	T		P	4,700	1.50	3,133	56	8,762	I
1/30/23 20:11	1/26/23	CCO	Clear Channel Outdoor Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P.m	1,982	1.76	1,123	2	55,329	I
1/26/23 21:30	1/20/23	ALTI	Alvarium Tiedemann Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Yu Peter	NY	DT		P.a	250	10.00	25	0	6,414	I
1/26/23 18:16	1/24/23	CCO	Clear Channel Outdoor Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P.m	2,553	1.60	1,596	3	54,206	I
1/24/23 19:24	1/20/23	CCO	Clear Channel Outdoor Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P.m	1,927	1.57	1,230	2	53,632	I
1/23/23 20:30	1/23/23	ALTI	Alvarium Tiedemann Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Yu Peter	NY	DT		P	238	9.50	25	0	6,437	I
1/20/23 16:29	1/18/23	CCO	Clear Channel Outdoor Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P.m	1,357	1.36	1,000	2	52,402	I
1/19/23 20:02	1/17/23	CCO	Clear Channel Outdoor Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	544	1.36	400	1	51,402	I
1/18/23 17:51	1/13/23	ALTI	Alvarium Tiedemann Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Yu Peter	NY	DT		P	270	10.00	27	0	6,770	I
1/17/23 18:33	1/13/23	CCO	Clear Channel Outdoor Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Ares Management LLC	CA	T		P	460	1.39	330	1	51,002	I
1/13/23 17:08	1/11/23	KYMR	Kymera Therapeutics, Inc.	DE	Financ	InvAdv	Investment Advice	Bvf Partners L P/Il	CA	DH	See Rema	P.dm	1,251	30.51	41	2	2,146	D
1/12/23 21:00	1/10/23	ALTI	Alvarium Tiedemann Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Yu Peter	NY	DT		P.m	1,447	9.48	153	2	6,782	I

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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