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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 20-Jan-21 4:06 PM View:  | Medley Management Inc. (MDLY) | 19-Jan-21 | Conversion Duplicate | 999,999 | -- | -- | 100% 0 to 1000.0K | |
| 29-Oct-19 4:10 PM View: | Medley Capital Corporation (PFX) | 28-Oct-19 | Sale | 5,978,350 | -- | -- | (97%) 6.17M to 190.0K | |
| 29-Oct-19 4:10 PM View: | Medley Capital Corporation (PFX) | 25-Oct-19 | Sale | 1,778,590 | -- | -- | (22%) 7.95M to 6.17M | |
| 12-Jul-17 5:05 PM View: | Medley Capital Corporation (PFX) | 10-Jul-17 | Market Purchase Duplicate | 12,109 | $6.40 | $77,481.90 | < 1% 7.93M to 7.95M | (73%) |
| 07-Jul-17 7:45 PM View: | Medley Capital Corporation (PFX) | 07-Jul-17 | Market Purchase Duplicate | 92,116 | $6.35 | $584,927.00 | 1% 7.84M to 7.93M | (73%) |
| 07-Jul-17 7:45 PM View: | Medley Capital Corporation (PFX) | 06-Jul-17 | Market Purchase Duplicate | 105,932 | $6.38 | $676,100.00 | 1% 7.74M to 7.84M | (73%) |
| 07-Jul-17 7:45 PM View: | Medley Capital Corporation (PFX) | 05-Jul-17 | Market Purchase Duplicate | 50,049 | $6.40 | $320,314.00 | < 1% 7.69M to 7.74M | (73%) |
| 03-Jul-17 5:13 PM View: | Medley Capital Corporation (PFX) | 03-Jul-17 | Market Purchase | 14,999 | $6.40 | $95,993.60 | < 1% 7.67M to 7.69M | (73%) |
| 03-Jul-17 5:13 PM View: | Medley Capital Corporation (PFX) | 30-Jun-17 | Market Purchase | 3,039 | $6.40 | $19,449.60 | < 1% 7.67M to 7.67M | (73%) |
| 03-Jul-17 5:13 PM View: | Medley Capital Corporation (PFX) | 29-Jun-17 | Market Purchase | 33,114 | $6.40 | $211,900.00 | < 1% 7.64M to 7.67M | (73%) |
| 28-Jun-17 9:29 PM View: | Medley Capital Corporation (PFX) | 28-Jun-17 | Market Purchase Duplicate | 102,152 | $6.36 | $649,973.00 | 1% 7.53M to 7.64M | (73%) |
| 28-Jun-17 9:29 PM View: | Medley Capital Corporation (PFX) | 27-Jun-17 | Market Purchase Duplicate | 136,154 | $6.35 | $863,938.00 | 2% 7.4M to 7.53M | (73%) |
| 28-Jun-17 9:29 PM View: | Medley Capital Corporation (PFX) | 26-Jun-17 | Market Purchase Duplicate | 38,287 | $6.39 | $244,608.00 | < 1% 7.36M to 7.4M | (73%) |
| 23-Jun-17 6:37 PM View: | Medley Capital Corporation (PFX) | 23-Jun-17 | Market Purchase | 117,833 | $6.33 | $745,353.00 | 2% 7.24M to 7.36M | (73%) |
| 23-Jun-17 6:37 PM View: | Medley Capital Corporation (PFX) | 22-Jun-17 | Market Purchase | 153,711 | $6.26 | $962,216.00 | 2% 7.09M to 7.24M | (73%) |
| 23-Jun-17 6:37 PM View: | Medley Capital Corporation (PFX) | 21-Jun-17 | Market Purchase | 153,711 | $6.24 | $958,572.00 | 2% 6.93M to 7.09M | (72%) |
| 20-Jun-17 8:44 PM View: | Medley Capital Corporation (PFX) | 20-Jun-17 | Market Purchase Duplicate | 153,711 | $6.34 | $974,712.00 | 2% 6.78M to 6.93M | (73%) |
| 20-Jun-17 8:44 PM View: | Medley Capital Corporation (PFX) | 19-Jun-17 | Market Purchase Duplicate | 95,713 | $6.39 | $611,826.00 | 1% 6.68M to 6.78M | (73%) |
| 20-Jun-17 8:44 PM View: | Medley Capital Corporation (PFX) | 16-Jun-17 | Market Purchase Duplicate | 162,212 | $6.32 | $1,025,410.00 | 2% 6.52M to 6.68M | (73%) |
| 15-Jun-17 8:10 PM View: | Medley Capital Corporation (PFX) | 15-Jun-17 | Market Purchase | 162,212 | $6.26 | $1,014,860.00 | 3% 6.36M to 6.52M | (73%) |
| 15-Jun-17 8:10 PM View: | Medley Capital Corporation (PFX) | 14-Jun-17 | Market Purchase | 143,497 | $6.24 | $895,579.00 | 2% 6.22M to 6.36M | (72%) |
| 15-Jun-17 8:10 PM View: | Medley Capital Corporation (PFX) | 13-Jun-17 | Market Purchase | 162,212 | $6.26 | $1,014,730.00 | 3% 6.05M to 6.22M | (73%) |
| 12-Jun-17 9:45 PM View: | Medley Capital Corporation (PFX) | 12-Jun-17 | Market Purchase Duplicate | 162,212 | $6.18 | $1,001,740.00 | 3% 5.89M to 6.05M | (72%) |
| 12-Jun-17 9:45 PM View: | Medley Capital Corporation (PFX) | 09-Jun-17 | Market Purchase Duplicate | 194,967 | $6.14 | $1,196,590.00 | 3% 5.7M to 5.89M | (72%) |
| 12-Jun-17 9:45 PM View: | Medley Capital Corporation (PFX) | 08-Jun-17 | Market Purchase Duplicate | 194,967 | $6.15 | $1,198,380.00 | 4% 5.5M to 5.7M | (72%) |
| 07-Jun-17 8:04 PM View: | Medley Capital Corporation (PFX) | 07-Jun-17 | Market Purchase | 194,967 | $6.09 | $1,187,820.00 | 4% 5.31M to 5.5M | (72%) |
| 07-Jun-17 8:04 PM View: | Medley Capital Corporation (PFX) | 06-Jun-17 | Market Purchase | 194,967 | $6.06 | $1,181,250.00 | 4% 5.11M to 5.31M | (72%) |
| 07-Jun-17 8:04 PM View: | Medley Capital Corporation (PFX) | 05-Jun-17 | Market Purchase | 194,967 | $6.08 | $1,185,030.00 | 4% 4.92M to 5.11M | (72%) |
| 02-Jun-17 7:17 PM View: | Medley Capital Corporation (PFX) | 02-Jun-17 | Market Purchase Duplicate | 169,029 | $6.12 | $1,035,240.00 | 4% 4.31M to 4.48M | (72%) |
| 02-Jun-17 7:17 PM View: | Medley Capital Corporation (PFX) | 01-Jun-17 | Market Purchase Duplicate | 169,029 | $6.14 | $1,037,280.00 | 4% 4.14M to 4.31M | (72%) |
| 05-Jun-17 5:17 PM View: | Sierra Total Return Fund (SRNTX) | 01-Jun-17 | Purchase Duplicate | 80,000 | $25.00 | $2,000,000.00 | 2000% 4.0K to 84.0K | |
| 02-Jun-17 7:17 PM View: | Medley Capital Corporation (PFX) | 31-May-17 | Market Purchase Duplicate | 117,298 | $6.11 | $716,632.00 | 3% 4.03M to 4.14M | (72%) |
| 30-May-17 8:20 PM View: | Medley Capital Corporation (PFX) | 30-May-17 | Market Purchase | 169,029 | $6.10 | $1,031,750.00 | 4% 4.29M to 4.46M | (72%) |
| 30-May-17 8:20 PM View: | Medley Capital Corporation (PFX) | 26-May-17 | Market Purchase | 133,549 | $6.06 | $808,960.00 | 3% 4.16M to 4.29M | (72%) |
| 30-May-17 8:20 PM View: | Medley Capital Corporation (PFX) | 25-May-17 | Market Purchase | 133,549 | $6.08 | $811,390.00 | 3% 4.03M to 4.16M | (72%) |
| 24-May-17 7:54 PM View: | Medley Capital Corporation (PFX) | 24-May-17 | Market Purchase Duplicate | 133,549 | $6.11 | $815,450.00 | 3% 3.89M to 4.03M | (72%) |
| 24-May-17 7:54 PM View: | Medley Capital Corporation (PFX) | 23-May-17 | Market Purchase Duplicate | 124,927 | $6.13 | $765,965.00 | 3% 3.77M to 3.89M | (72%) |
| 24-May-17 7:54 PM View: | Medley Capital Corporation (PFX) | 22-May-17 | Market Purchase Duplicate | 133,549 | $6.15 | $821,086.00 | 4% 3.63M to 3.77M | (72%) |
| 19-May-17 8:21 PM View: | Medley Capital Corporation (PFX) | 19-May-17 | Market Purchase | 101,376 | $6.22 | $630,123.00 | 3% 3.53M to 3.63M | (73%) |
| 19-May-17 8:21 PM View: | Medley Capital Corporation (PFX) | 18-May-17 | Market Purchase | 101,376 | $6.23 | $632,069.00 | 3% 3.43M to 3.53M | (73%) |
| 19-May-17 8:21 PM View: | Medley Capital Corporation (PFX) | 17-May-17 | Market Purchase | 101,376 | $6.15 | $623,645.00 | 3% 3.33M to 3.43M | (73%) |
| 16-May-17 9:17 PM View: | Medley Capital Corporation (PFX) | 16-May-17 | Market Purchase | 94,986 | $6.16 | $585,351.00 | 3% 3.23M to 3.33M | (73%) |
| 16-May-17 9:17 PM View: | Medley Capital Corporation (PFX) | 15-May-17 | Market Purchase | 55,151 | $6.14 | $338,853.00 | 2% 3.18M to 3.23M | (73%) |
| 16-May-17 9:17 PM View: | Medley Capital Corporation (PFX) | 12-May-17 | Market Purchase | 80,000 | $6.18 | $494,000.00 | 3% 3.1M to 3.18M | (73%) |
| 11-May-17 6:49 PM View: | Medley Capital Corporation (PFX) | 11-May-17 | Market Purchase Duplicate | 49,869 | $6.16 | $307,088.00 | 2% 3.05M to 3.1M | (73%) |
| 11-May-17 6:49 PM View: | Medley Capital Corporation (PFX) | 10-May-17 | Market Purchase Duplicate | 49,869 | $6.19 | $308,749.00 | 2% 3.0M to 3.05M | (73%) |
| 11-May-17 6:49 PM View: | Medley Capital Corporation (PFX) | 09-May-17 | Market Purchase Duplicate | 49,869 | $6.84 | $341,149.00 | 2% 2.95M to 3.0M | (76%) |
| 20-Mar-17 9:49 PM View: | Medley Capital Corporation (PFX) | 17-Mar-17 | Market Purchase | 11,660 | $7.50 | $87,450.00 | < 1% 2.94M to 2.95M | (78%) |
| 20-Mar-17 9:49 PM View: | Medley Capital Corporation (PFX) | 16-Mar-17 | Market Purchase | 400 | $7.50 | $3,000.00 | < 1% 2.94M to 2.94M | (78%) |
| 15-Mar-17 9:37 PM View: | Medley Capital Corporation (PFX) | 15-Mar-17 | Market Purchase Duplicate | 42,800 | $7.50 | $321,000.00 | 1% 2.89M to 2.94M | (78%) |