Holdings derived from the most recent reported transactions. Not adjusted for stock splits or share-class conversions.
| Issuer | Shares | Source | Last tx | Detail |
|---|---|---|---|---|
| Sierra Total Return Fund | 80,000 | reported | 01 Jun 2017 | tx 1+80,000 |
| MEDLEY MANAGEMENT INC. | 49,999 | reported | 19 Jan 2021 | tx 6+949,999−1,449,999 |
| PhenixFIN Corp | 0 | reported | 28 Oct 2019 | tx 103+7,867,255−7,791,938 |
| Date | Type | Issuer | Qty | Price | Signals |
|---|---|---|---|---|---|
| 19 Jan 2021 | CONVERSION | MEDLEY MANAGEMENT INC. | 450,000 | — | |
| 18 Jan 2021 | OTHER | MEDLEY MANAGEMENT INC. | 499,999 | 0.00 USD | deriv |
| 17 Jan 2021 | OTHER | MEDLEY MANAGEMENT INC. | 90,909 | 0.00 USD | deriv |
| 17 Jan 2021 | OTHER | MEDLEY MANAGEMENT INC. | 818,181 | 0.00 USD | deriv |
| 17 Jan 2021 | OTHER | MEDLEY MANAGEMENT INC. | 90,909 | 0.00 USD | deriv |
| 19 Jan 2021 | CONVERSION | MEDLEY MANAGEMENT INC. | 450,000 | 0.00 USD | deriv |
| 25 Oct 2019 | SALE | PhenixFIN Corp | 1,778,588 | — | |
| 28 Oct 2019 | SALE | PhenixFIN Corp | 5,978,350 | — | |
| 10 Jul 2017 | PURCHASE | PhenixFIN Corp | 12,109 | 6.40 USD | |
| 06 Jul 2017 | PURCHASE | PhenixFIN Corp | 105,932 | 6.38 USD | |
| 05 Jul 2017 | PURCHASE | PhenixFIN Corp | 50,049 | 6.40 USD | |
| 07 Jul 2017 | PURCHASE | PhenixFIN Corp | 92,116 | 6.35 USD | |
| 29 Jun 2017 | PURCHASE | PhenixFIN Corp | 33,114 | 6.40 USD | |
| 03 Jul 2017 | PURCHASE | PhenixFIN Corp | 14,999 | 6.40 USD | |
| 30 Jun 2017 | PURCHASE | PhenixFIN Corp | 3,039 | 6.40 USD | anomaly |
| 28 Jun 2017 | PURCHASE | PhenixFIN Corp | 102,152 | 6.36 USD | |
| 26 Jun 2017 | PURCHASE | PhenixFIN Corp | 38,287 | 6.39 USD | |
| 27 Jun 2017 | PURCHASE | PhenixFIN Corp | 136,154 | 6.35 USD | |
| 21 Jun 2017 | PURCHASE | PhenixFIN Corp | 153,711 | 6.24 USD | |
| 22 Jun 2017 | PURCHASE | PhenixFIN Corp | 153,711 | 6.26 USD | |
| 23 Jun 2017 | PURCHASE | PhenixFIN Corp | 117,833 | 6.33 USD | |
| 19 Jun 2017 | PURCHASE | PhenixFIN Corp | 95,713 | 6.39 USD | |
| 16 Jun 2017 | PURCHASE | PhenixFIN Corp | 162,212 | 6.32 USD | |
| 20 Jun 2017 | PURCHASE | PhenixFIN Corp | 153,711 | 6.34 USD | |
| 15 Jun 2017 | PURCHASE | PhenixFIN Corp | 162,212 | 6.26 USD |
2 purchases reported after at least 12 months of silence — most recent on 12 Aug 2016.