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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 20-Jan-21 4:09 PM View:  | Medley Management Inc. (MDLY) | 19-Jan-21 | Conversion Duplicate | 450,000 | -- | -- | 100% 0 to 450.0K | |
| 29-Oct-19 4:13 PM View: | Medley Capital Corporation (PFX) | 28-Oct-19 | Sale Duplicate | 5,978,350 | -- | -- | (97%) 6.16M to 177.51K | |
| 29-Oct-19 4:13 PM View: | Medley Capital Corporation (PFX) | 25-Oct-19 | Sale Duplicate | 1,778,590 | -- | -- | (22%) 7.93M to 6.16M | |
| 12-Jul-17 5:03 PM View: | Medley Capital Corporation (PFX) | 10-Jul-17 | Market Purchase | 12,109 | $6.40 | $77,481.90 | < 1% 7.92M to 7.93M | (73%) |
| 07-Jul-17 7:43 PM View: | Medley Capital Corporation (PFX) | 07-Jul-17 | Market Purchase | 92,116 | $6.35 | $584,927.00 | 1% 7.83M to 7.92M | (73%) |
| 07-Jul-17 7:43 PM View: | Medley Capital Corporation (PFX) | 06-Jul-17 | Market Purchase | 105,932 | $6.38 | $676,100.00 | 1% 7.72M to 7.83M | (73%) |
| 07-Jul-17 7:43 PM View: | Medley Capital Corporation (PFX) | 05-Jul-17 | Market Purchase | 50,049 | $6.40 | $320,314.00 | < 1% 7.67M to 7.72M | (73%) |
| 03-Jul-17 5:14 PM View: | Medley Capital Corporation (PFX) | 03-Jul-17 | Market Purchase Duplicate | 14,999 | $6.40 | $95,993.60 | < 1% 7.66M to 7.67M | (73%) |
| 03-Jul-17 5:14 PM View: | Medley Capital Corporation (PFX) | 30-Jun-17 | Market Purchase Duplicate | 3,039 | $6.40 | $19,449.60 | < 1% 7.66M to 7.66M | (73%) |
| 03-Jul-17 5:14 PM View: | Medley Capital Corporation (PFX) | 29-Jun-17 | Market Purchase Duplicate | 33,114 | $6.40 | $211,900.00 | < 1% 7.62M to 7.66M | (73%) |
| 28-Jun-17 9:27 PM View: | Medley Capital Corporation (PFX) | 28-Jun-17 | Market Purchase | 102,152 | $6.36 | $649,973.00 | 1% 7.52M to 7.62M | (73%) |
| 28-Jun-17 9:27 PM View: | Medley Capital Corporation (PFX) | 27-Jun-17 | Market Purchase | 136,154 | $6.35 | $863,938.00 | 2% 7.38M to 7.52M | (73%) |
| 28-Jun-17 9:27 PM View: | Medley Capital Corporation (PFX) | 26-Jun-17 | Market Purchase | 38,287 | $6.39 | $244,608.00 | < 1% 7.35M to 7.38M | (73%) |
| 23-Jun-17 6:37 PM View: | Medley Capital Corporation (PFX) | 23-Jun-17 | Market Purchase Duplicate | 117,833 | $6.33 | $745,353.00 | 2% 7.23M to 7.35M | (73%) |
| 23-Jun-17 6:37 PM View: | Medley Capital Corporation (PFX) | 22-Jun-17 | Market Purchase Duplicate | 153,711 | $6.26 | $962,216.00 | 2% 7.07M to 7.23M | (73%) |
| 23-Jun-17 6:37 PM View: | Medley Capital Corporation (PFX) | 21-Jun-17 | Market Purchase Duplicate | 153,711 | $6.24 | $958,572.00 | 2% 6.92M to 7.07M | (72%) |
| 20-Jun-17 8:44 PM View: | Medley Capital Corporation (PFX) | 20-Jun-17 | Market Purchase | 153,711 | $6.34 | $974,712.00 | 2% 6.77M to 6.92M | (73%) |
| 20-Jun-17 8:44 PM View: | Medley Capital Corporation (PFX) | 19-Jun-17 | Market Purchase | 95,713 | $6.39 | $611,826.00 | 1% 6.67M to 6.77M | (73%) |
| 20-Jun-17 8:44 PM View: | Medley Capital Corporation (PFX) | 16-Jun-17 | Market Purchase | 162,212 | $6.32 | $1,025,410.00 | 2% 6.51M to 6.67M | (73%) |
| 15-Jun-17 8:10 PM View: | Medley Capital Corporation (PFX) | 15-Jun-17 | Market Purchase Duplicate | 162,212 | $6.26 | $1,014,860.00 | 3% 6.35M to 6.51M | (73%) |
| 15-Jun-17 8:10 PM View: | Medley Capital Corporation (PFX) | 14-Jun-17 | Market Purchase Duplicate | 143,497 | $6.24 | $895,579.00 | 2% 6.2M to 6.35M | (72%) |
| 15-Jun-17 8:10 PM View: | Medley Capital Corporation (PFX) | 13-Jun-17 | Market Purchase Duplicate | 162,212 | $6.26 | $1,014,730.00 | 3% 6.04M to 6.2M | (73%) |
| 12-Jun-17 9:44 PM View: | Medley Capital Corporation (PFX) | 12-Jun-17 | Market Purchase | 162,212 | $6.18 | $1,001,740.00 | 3% 5.88M to 6.04M | (72%) |
| 12-Jun-17 9:44 PM View: | Medley Capital Corporation (PFX) | 09-Jun-17 | Market Purchase | 194,967 | $6.14 | $1,196,590.00 | 3% 5.68M to 5.88M | (72%) |
| 12-Jun-17 9:44 PM View: | Medley Capital Corporation (PFX) | 08-Jun-17 | Market Purchase | 194,967 | $6.15 | $1,198,380.00 | 4% 5.49M to 5.68M | (72%) |
| 07-Jun-17 8:05 PM View: | Medley Capital Corporation (PFX) | 07-Jun-17 | Market Purchase Duplicate | 194,967 | $6.09 | $1,187,820.00 | 4% 5.29M to 5.49M | (72%) |
| 07-Jun-17 8:05 PM View: | Medley Capital Corporation (PFX) | 06-Jun-17 | Market Purchase Duplicate | 194,967 | $6.06 | $1,181,250.00 | 4% 5.1M to 5.29M | (72%) |
| 07-Jun-17 8:05 PM View: | Medley Capital Corporation (PFX) | 05-Jun-17 | Market Purchase Duplicate | 194,967 | $6.08 | $1,185,030.00 | 4% 4.9M to 5.1M | (72%) |
| 02-Jun-17 7:16 PM View: | Medley Capital Corporation (PFX) | 02-Jun-17 | Market Purchase | 169,029 | $6.12 | $1,035,240.00 | 4% 4.3M to 4.47M | (72%) |
| 02-Jun-17 7:16 PM View: | Medley Capital Corporation (PFX) | 01-Jun-17 | Market Purchase | 169,029 | $6.14 | $1,037,280.00 | 4% 4.13M to 4.3M | (72%) |
| 05-Jun-17 5:16 PM View: | Sierra Total Return Fund (SRNTX) | 01-Jun-17 | Purchase | 80,000 | $25.00 | $2,000,000.00 | 2000% 4.0K to 84.0K | |
| 02-Jun-17 7:16 PM View: | Medley Capital Corporation (PFX) | 31-May-17 | Market Purchase | 117,298 | $6.11 | $716,632.00 | 3% 4.01M to 4.13M | (72%) |
| 30-May-17 8:20 PM View: | Medley Capital Corporation (PFX) | 30-May-17 | Market Purchase Duplicate | 169,029 | $6.10 | $1,031,750.00 | 4% 4.28M to 4.45M | (72%) |
| 30-May-17 8:20 PM View: | Medley Capital Corporation (PFX) | 26-May-17 | Market Purchase Duplicate | 133,549 | $6.06 | $808,960.00 | 3% 4.15M to 4.28M | (72%) |
| 30-May-17 8:20 PM View: | Medley Capital Corporation (PFX) | 25-May-17 | Market Purchase Duplicate | 133,549 | $6.08 | $811,390.00 | 3% 4.01M to 4.15M | (72%) |
| 24-May-17 7:53 PM View: | Medley Capital Corporation (PFX) | 24-May-17 | Market Purchase | 133,549 | $6.11 | $815,450.00 | 3% 3.88M to 4.01M | (72%) |
| 24-May-17 7:53 PM View: | Medley Capital Corporation (PFX) | 23-May-17 | Market Purchase | 124,927 | $6.13 | $765,965.00 | 3% 3.75M to 3.88M | (72%) |
| 24-May-17 7:53 PM View: | Medley Capital Corporation (PFX) | 22-May-17 | Market Purchase | 133,549 | $6.15 | $821,086.00 | 4% 3.62M to 3.75M | (72%) |
| 19-May-17 8:22 PM View: | Medley Capital Corporation (PFX) | 19-May-17 | Market Purchase Duplicate | 101,376 | $6.22 | $630,123.00 | 3% 3.52M to 3.62M | (73%) |
| 19-May-17 8:22 PM View: | Medley Capital Corporation (PFX) | 18-May-17 | Market Purchase Duplicate | 101,376 | $6.23 | $632,069.00 | 3% 3.42M to 3.52M | (73%) |
| 19-May-17 8:22 PM View: | Medley Capital Corporation (PFX) | 17-May-17 | Market Purchase Duplicate | 101,376 | $6.15 | $623,645.00 | 3% 3.32M to 3.42M | (73%) |
| 16-May-17 9:18 PM View: | Medley Capital Corporation (PFX) | 16-May-17 | Market Purchase Duplicate | 94,986 | $6.16 | $585,351.00 | 3% 3.22M to 3.32M | (73%) |
| 16-May-17 9:18 PM View: | Medley Capital Corporation (PFX) | 15-May-17 | Market Purchase Duplicate | 55,151 | $6.14 | $338,853.00 | 2% 3.17M to 3.22M | (73%) |
| 16-May-17 9:18 PM View: | Medley Capital Corporation (PFX) | 12-May-17 | Market Purchase Duplicate | 80,000 | $6.18 | $494,000.00 | 3% 3.09M to 3.17M | (73%) |
| 11-May-17 6:49 PM View: | Medley Capital Corporation (PFX) | 11-May-17 | Market Purchase | 49,869 | $6.16 | $307,088.00 | 2% 3.04M to 3.09M | (73%) |
| 11-May-17 6:49 PM View: | Medley Capital Corporation (PFX) | 10-May-17 | Market Purchase | 49,869 | $6.19 | $308,749.00 | 2% 2.99M to 3.04M | (73%) |
| 11-May-17 6:49 PM View: | Medley Capital Corporation (PFX) | 09-May-17 | Market Purchase | 49,869 | $6.84 | $341,149.00 | 2% 2.94M to 2.99M | (76%) |
| 20-Mar-17 9:50 PM View: | Medley Capital Corporation (PFX) | 17-Mar-17 | Market Purchase Duplicate | 11,660 | $7.50 | $87,450.00 | < 1% 2.93M to 2.94M | (78%) |
| 20-Mar-17 9:50 PM View: | Medley Capital Corporation (PFX) | 16-Mar-17 | Market Purchase Duplicate | 400 | $7.50 | $3,000.00 | < 1% 2.93M to 2.93M | (78%) |
| 15-Mar-17 9:36 PM View: | Medley Capital Corporation (PFX) | 15-Mar-17 | Market Purchase | 42,800 | $7.50 | $321,000.00 | 1% 2.88M to 2.93M | (78%) |