Investor Bulldog Investors, LLP
Manager Phillip Goldstein, Andrew Dakos And Steven Samuels
13D/G Filings

This page shows a list of all the recent 13D/G filings made by Bulldog Investors, LLP . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

Date Form Target Prev
Shares
Current
Shares
Change
(Percent)
Ownership
(Percent)
Change
(Percent)
2025-08-28 13D/A CMU / MFS High Yield Municipal Trust 3,076,451 3,342,968
2025-08-12 13D/A PGZ / Principal Real Estate Income Fund 420,848 333,261
2025-07-16 13D/A CMU / MFS High Yield Municipal Trust 2,876,902 3,076,451
2025-04-24 13G DSM / BNY Mellon Strategic Municipal Bond Fund, Inc. 2,536,527
2025-04-24 13G/A CXH / MFS Investment Grade Municipal Trust 844,434 1,008,884
2025-04-07 13G/A HERZ / Herzfeld Credit Income Fund, Inc. 789,820 6,720
2025-04-03 13G/A LRFC / Logan Ridge Finance Corporation 226,208 280,269
2025-02-14 13D/A CMU / MFS High Yield Municipal Trust 2,399,169 2,876,902
2025-02-07 13G HERZ / Herzfeld Credit Income Fund, Inc. 789,820
2024-10-28 13G/A IHTA / Invesco High Income 2024 Target Term Fund 667,740 557,706
2024-10-15 13G/A KSM / DWS Strategic Municipal Income Trust 588,014 790,524
2024-10-15 13G/A IHTA / Invesco High Income 2024 Target Term Fund 458,258 667,740
2024-10-15 13G/A BOWN / Bowen Acquisition Corp 466,240 330,647
2024-09-26 13G/A CXH / MFS Investment Grade Municipal Trust 611,408 844,434
2024-09-10 13D/A NDP / Tortoise Energy Independence Fund, Inc. 155,801 135,961
2024-09-10 13D/A PGZ / Principal Real Estate Income Fund 493,274 420,848
2024-05-01 13D/A KTF / DWS Municipal Income Trust 2,584,230 1,894,741
2024-03-19 13D KTF / DWS Municipal Income Trust 1,992,456 2,584,230
2024-03-05 13D DMF / BNY Mellon Municipal Income, Inc. 1,557,985 1,689,435
2024-02-28 13D/A CMU / MFS High Yield Municipal Trust 2,100,594 2,399,169
2024-02-12 13D/A CCIF / Carlyle Credit Income Fund 441,414 270,980
2024-02-08 13D/A NXG / NXG NextGen Infrastructure Income Fund 141,871 111,368
2024-02-01 13G/A LRFC / Logan Ridge Finance Corporation 175,829 226,208
2024-02-01 13G NNAG / 99 Acquisition Group Inc. 427,400
2024-02-01 13G BOWN / Bowen Acquisition Corp 466,240
2024-02-01 13G IHTA / Invesco High Income 2024 Target Term Fund 458,258
2024-01-31 13G KTF / DWS Municipal Income Trust 1,992,456
2024-01-31 13G KSM / DWS Strategic Municipal Income Trust 588,014
2024-01-30 13G CXH / MFS Investment Grade Municipal Trust 611,408
2024-01-30 13G DMF / BNY Mellon Municipal Income, Inc. 1,557,985
2024-01-26 13G DMA / Destra Multi-Alternative Fund 453,840
2024-01-22 13D TPL / Texas Pacific Land Corporation 4,502
2024-01-22 13D/A NDP / Tortoise Energy Independence Fund, Inc. 150,576 155,801
2024-01-22 13D TPZ / Tortoise Essential Energy Fund 219,363 364,678
2024-01-08 13D/A NXG / NXG NextGen Infrastructure Income Fund 169,626 141,871
2024-01-02 13D/A CMU / MFS High Yield Municipal Trust 1,701,749 2,100,594
2023-12-22 13D/A PGZ / Principal Real Estate Income Fund 398,838 493,274
2023-11-28 13D/A NDP / Tortoise Energy Independence Fund, Inc. 127,134 150,576
2023-11-17 13D/A CMU / MFS High Yield Municipal Trust 2,195,410 1,701,749
2023-10-20 13D/A PGZ / Principal Real Estate Income Fund 374,020 398,838
2023-10-16 13D PGZ / Principal Real Estate Income Fund 374,020
2023-09-19 13G TGVC / TG Venture Acquisition Corp. 309,207
2023-08-31 13D/A CCIF / Carlyle Credit Income Fund 441,414
2023-08-25 13D/A CMU / MFS High Yield Municipal Trust 2,078,960 2,195,410
2023-07-19 13D/A NDP / Tortoise Energy Independence Fund, Inc. 108,090 127,134
2023-07-17 13D CMU / MFS High Yield Municipal Trust 2,078,960
2023-06-23 13D/A NDP / Tortoise Energy Independence Fund, Inc. 88,776 108,090
2023-06-12 13D/A NXG / NXG NextGen Infrastructure Income Fund 140,552 169,626
2023-05-31 13D NDP / Tortoise Energy Independence Fund, Inc. 82,679 88,776
2023-05-08 13D NXG / NXG NextGen Infrastructure Income Fund 140,552
2023-04-12 13D/A FDEU / First Trust Dynamic Europe Equity Income Fund 1,190,005 1,191,505
2023-04-04 13D/A JSD / Nuveen Short Duration Credit Opportunities Fund 567,191 615,541
2023-03-13 13D/A FDEU / First Trust Dynamic Europe Equity Income Fund 1,190,005 1,190,005
2023-03-06 13D/A FDEU / First Trust Dynamic Europe Equity Income Fund 1,018,409 1,190,005
2023-02-13 13G SRV / NXG Cushing Midstream Energy Fund 120,623
2023-02-13 13G LRFC / Logan Ridge Finance Corporation 175,829
2023-02-13 13G CEN / Center Coast Brookfield MLP & Energy Infrastructure Fund 259,043
2023-02-13 13G/A MXE / Mexico Equity & Income Fund Inc. 355,816 184,414
2023-02-08 13D/A DEX / Delaware Enhanced Global Dividend & Income Fund 689,199 526,306
2023-02-06 13D JSD / Nuveen Short Duration Credit Opportunities Fund 567,191
2023-01-30 13D/A 954,462 848,687
2023-01-19 13D/A DEX / Delaware Enhanced Global Dividend & Income Fund 810,103 689,199
2023-01-11 13D/A DEX / Delaware Enhanced Global Dividend & Income Fund 939,363 810,103
2022-12-06 13D/A FDEU / First Trust Dynamic Europe Equity Income Fund 1,017,509 1,018,409
2022-12-05 13D/A DEX / Delaware Enhanced Global Dividend & Income Fund 868,785 939,363
2022-12-02 13D/A 939,363
2022-11-14 13D FDEU / First Trust Dynamic Europe Equity Income Fund 1,017,509
2022-10-17 13D/A TPZ / Tortoise Essential Energy Fund 328,998 219,363
2022-10-13 13D/A DEX / Delaware Enhanced Global Dividend & Income Fund 832,769 868,785
2022-09-20 13D/A DEX / Delaware Enhanced Global Dividend & Income Fund 589,875 832,769
2022-08-22 13D DEX / Delaware Enhanced Global Dividend & Income Fund 789,758 589,875
2022-07-13 13D/A TWN / The Taiwan Fund, Inc. 327,977 327,977
2022-07-06 13D TWN / The Taiwan Fund, Inc. 425,044 327,977
2022-05-16 13D/A NDP / Tortoise Energy Independence Fund, Inc. 99,997 82,679
2022-05-05 13D/A NDP / Tortoise Energy Independence Fund, Inc. 128,032 99,997
2022-04-14 13D/A TPZ / Tortoise Essential Energy Fund 395,376 328,998
2022-04-14 13D/A NDP / Tortoise Energy Independence Fund, Inc. 148,157 128,032
2022-03-22 13D/A NDP / Tortoise Energy Independence Fund, Inc. 177,496 148,157
2022-03-21 13D/A 952,162 954,462
2022-03-09 13D/A NDP / Tortoise Energy Independence Fund, Inc. 199,678 177,496
2022-03-04 13D/A TPZ / Tortoise Essential Energy Fund 522,337 395,376
2022-03-03 13D/A NDP / Tortoise Energy Independence Fund, Inc. 235,729 199,678
2022-01-31 13G MXE / Mexico Equity & Income Fund Inc. 355,816
2022-01-19 13D/A 1,014,420 952,162
2021-12-28 13D/A TPZ / Tortoise Essential Energy Fund 521,052 522,337
2021-12-10 13D TPZ / Tortoise Essential Energy Fund 521,052
2021-08-05 13D/A IRL / New Ireland Fund Inc 494,056 173,738
2021-07-12 13D/A NDP / Tortoise Energy Independence Fund, Inc. 195,487 235,729
2021-05-10 13D NDP / Tortoise Energy Independence Fund, Inc. 195,487
2021-04-05 13D/A IRL / New Ireland Fund Inc 494,056 494,056
2021-03-23 13D/A IRL / New Ireland Fund Inc 485,173 494,056
2021-02-12 13G/A 278284104 / EATON VANCE FLOATING-RATE INCO Common Shares of Beneficial Interest, $0.01 par value 470,962 631,906
2021-01-07 13D IRL / New Ireland Fund Inc 485,173
2020-09-21 13D/A BWG / Legg Mason BW Global Income Opportunities Fund Inc. 1,478,534 915,400
2020-07-08 13D/A BWG / Legg Mason BW Global Income Opportunities Fund Inc. 1,478,534
2020-05-27 13D US9576671088 / Western Asset Variable Rate Strategic Fund Inc. 309,915
2020-05-19 13D/A 980,647 1,014,420
2020-03-05 13D/A US95790J1025 / Western Asset Corporate Loan Fund Inc. 1,097,102 1,209,488
2020-02-14 13G 278284104 / EATON VANCE FLOATING-RATE INCO Common Shares of Beneficial Interest, $0.01 par value 470,962
2020-02-14 13G US3665541039 / Garrison Capital Inc. 831,395
2020-02-03 13D/A 595,428 595,428
2020-01-21 13D 595,428
2019-12-23 13D US95790J1025 / Western Asset Corporate Loan Fund Inc. 1,097,102 1,097,102
2019-12-23 13D/A BWG / Legg Mason BW Global Income Opportunities Fund Inc. 1,263,129 1,416,129
2019-12-10 13G US95790J1025 / Western Asset Corporate Loan Fund Inc. 1,097,102
2019-11-06 13D/A NTC / Nuveen Connecticut Premium Income Municipal Fund, Inc. 809,500 614,007
2019-10-18 13D/A 930,447 980,647
2019-10-07 13D/A NTC / Nuveen Connecticut Premium Income Municipal Fund, Inc. 796,077 809,500
2019-09-30 13D BWG / Legg Mason BW Global Income Opportunities Fund Inc. 1,263,129
2019-08-21 13D/A 785,894 930,447
2019-07-29 13D 785,894
2019-06-10 13D NTC / Nuveen Connecticut Premium Income Municipal Fund, Inc. 796,077
2019-05-08 13D/A LOR / Lazard World Dividend & Income Fund, Inc. 407,141 331,882
2019-04-22 13D/A AKP / Alliance California Municipal Income Fund, Inc. 1,063,951 325,709
2019-03-07 13D/A LOR / Lazard World Dividend & Income Fund, Inc. 508,356 407,141
2019-03-01 13D/A LOR / Lazard World Dividend & Income Fund, Inc. 611,230 508,356
2019-02-20 13D LOR / Lazard World Dividend & Income Fund, Inc. 611,230
2019-02-14 13G XLORX / Lazard World Dividend & Income 520,955
2019-02-14 13G TWN / The Taiwan Fund, Inc. 425,044
2019-02-11 13D/A HIL / Hill International Inc 2,863,316 2,261,895
2018-12-17 13D/A HIL / Hill International Inc 3,428,626 2,863,316
2018-11-23 13D/A SWZ / Total Return Securities, Inc. 2,131,302 168,673
2018-11-09 13D/A AKP / Alliance California Municipal Income Fund, Inc. 1,063,951 1,063,951
2018-11-08 13D/A AKP / Alliance California Municipal Income Fund, Inc. 1,061,436 1,063,951
2018-10-10 13D/A AKP / Alliance California Municipal Income Fund, Inc. 951,097 1,061,436
2018-10-05 13D/A JEQ / Abrdn Japan Equity Fund Inc 691,025 552,666
2018-09-28 13D/A JEQ / Abrdn Japan Equity Fund Inc 888,790 691,025
2018-09-10 13D/A JEQ / Abrdn Japan Equity Fund Inc 1,036,770 888,790
2018-08-24 13D/A AKP / Alliance California Municipal Income Fund, Inc. 857,914 951,097
2018-08-20 13D AKP / Alliance California Municipal Income Fund, Inc. 857,914
2018-07-24 13G/A 048206106 / Atlantic Acquisition Corp. 297,750 291,069
2018-06-29 13D/A PCF / High Income Securities Fund 1,988,604 1,988,616
2018-05-17 13D/A AEF / abrdn Emerging Markets ex-China Fund, Inc. 1,264,571 4,180,891
2018-05-15 13D/A JEQ / Abrdn Japan Equity Fund Inc 915,318 1,036,770
2018-05-15 13G/A DEX / Delaware Enhanced Global Dividend & Income Fund 926,540 789,758
2018-04-20 13D JEQ / Abrdn Japan Equity Fund Inc 915,318
2018-04-18 13G/A GRR / Asia Tigers Fund, Inc. (THE) 179,943 169,642
2018-03-13 13G/A CNLM / CB Pharma Acquisition Corp. 281,402 50,161
2018-03-09 13D/A SGF / Aberdeen Singapore Fund, Inc. 377,856 474,510
2018-03-06 13D/A SWZ / Total Return Securities, Inc. 2,104,962 2,131,302
2018-03-02 13G/A MACQ / MCAP Acquisition Corp - Class A 403,435 253,435
2018-02-09 13G/A PHUN / Phunware, Inc. 679,400 686,558
2018-02-09 13G/A PHUN / Phunware, Inc. 679,400 686,558
2018-02-08 13G/A MACQ / MCAP Acquisition Corp - Class A 403,435
2018-02-08 13G 048206106 / Atlantic Acquisition Corp. 297,750
2018-02-08 13G/A DEX / Delaware Enhanced Global Dividend & Income Fund 926,540
2018-02-08 13G CNLM / CB Pharma Acquisition Corp. 281,402
2018-02-08 13G GRR / Asia Tigers Fund, Inc. (THE) 179,943 179,943
2018-02-07 13G ISL / Aberdeen Israel Fund, Inc. 283,996
2018-02-07 13G GRR / Asia Tigers Fund, Inc. (THE) 179,943
2018-02-07 13D/A PCF / High Income Securities Fund 1,909,827 1,988,604
2018-02-07 13G KST / Deutsche Strategic Income Trust 238,668
2018-01-24 13D/A US29102N1054 / Emergent Capital, Inc. 8,837,537 7,782,988
2018-01-18 13D/A PCF / High Income Securities Fund 1,601,473 1,909,827
2017-11-29 13D/A US29102N1054 / Emergent Capital, Inc. 9,860,753 8,837,537
2017-11-17 13D/A NYRT / New York REIT, Inc. 2,478,293 4,744,257
2017-10-27 13D/A PCF / High Income Securities Fund 1,497,930 1,601,473
2017-10-10 13D/A TKF / Turkish Investment Fund, Inc. 293,366 341,405
2017-10-04 13D/A LGI / Lazard Global Total Return and Income Fund, Inc. 509,999 472,610
2017-09-29 13D/A LGI / Lazard Global Total Return and Income Fund, Inc. 619,562 509,999
2017-09-21 13D/A LGI / Lazard Global Total Return and Income Fund, Inc. 733,508 619,562
2017-09-11 13D/A GLQ / Clough Global Equity Fund 941,575 879,837
2017-09-01 13D/A LGI / Lazard Global Total Return and Income Fund, Inc. 850,176 733,508
2017-08-29 13D/A GLQ / Clough Global Equity Fund 1,118,385 941,575
2017-08-29 13D/A TKF / Turkish Investment Fund, Inc. 248,516 293,366
2017-08-24 13G/A US5538291023 / MVC Capital, Inc. 1,450,279 838,601
2017-08-21 13D TKF / Turkish Investment Fund, Inc. 248,516
2017-08-21 13D/A PMM / Putnam Managed Municipal Income Trust 148 0
2017-08-21 13D/A PMO / Putnam Municipal Opportunities Trust 734 0
2017-08-14 13D AEF / abrdn Emerging Markets ex-China Fund, Inc. 1,264,571
2017-08-09 13D/A US29102N1054 / Emergent Capital, Inc. 4,479,437 9,860,753
2017-08-07 13D/A SGF / Aberdeen Singapore Fund, Inc. 377,856
2017-07-11 13D GLQ / Clough Global Equity Fund 1,104,979 1,118,385
2017-06-22 13D/A LCM / Advent Claymore Convertible Securities and Income Fund II 787,963 623,363
2017-06-22 13D/A PHF / Pacholder High Yield Fund, Inc. 1,429,254 1,701,707
2017-06-22 13D/A 50063B104 / Korea Equity Fund, Inc. 1,627,674 1,726,574
2017-06-20 13D/A LCM / Advent Claymore Convertible Securities and Income Fund II 955,278 787,963
2017-06-09 13D/A LCM / Advent Claymore Convertible Securities and Income Fund II 1,103,138 955,278
2017-06-08 13D/A 50063B104 / Korea Equity Fund, Inc. 1,377,674 1,627,674
2017-06-07 13D/A 50063B104 / Korea Equity Fund, Inc. 1,186,884 1,377,674
2017-05-31 13D/A LCM / Advent Claymore Convertible Securities and Income Fund II 1,256,136 1,103,138
2017-05-26 13D/A PMO / Putnam Municipal Opportunities Trust 734 734
2017-05-26 13D/A PMM / Putnam Managed Municipal Income Trust 148 148
2017-05-24 13G/A SZC / Cushing NextGen Infrastructure Income Fund 631,774 301,908
2017-05-22 13D/A HIL / Hill International Inc 3,428,626
2017-05-18 13D/A LCM / Advent Claymore Convertible Securities and Income Fund II 1,452,170 1,256,136
2017-05-10 13D/A NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 2,409,357 2,326,369
2017-05-05 13D/A NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 2,896,520 2,409,357
2017-03-30 13D/A NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 3,370,673 2,896,520
2017-03-30 13D/A 50063B104 / Korea Equity Fund, Inc. 821,156 1,186,884
2017-03-23 13D/A DCA / Virtus Total Return Fund 5,056,908 1,875,136
2017-03-22 13G/A JCHAX / JPMorgan China Region Fund 338,205 669,042
2017-03-20 13D PMM / Putnam Managed Municipal Income Trust 148
2017-03-20 13D PMO / Putnam Municipal Opportunities Trust 734
2017-03-14 13D/A SWZ / Total Return Securities, Inc. 2,068,962 2,104,962
2017-03-08 13D/A 50063B104 / Korea Equity Fund, Inc. 746,067 821,156
2017-03-06 13D/A SWZ / Total Return Securities, Inc. 2,028,443 2,068,962
2017-02-28 13D/A SGF / Aberdeen Singapore Fund, Inc.
2017-02-28 13D/A SWZ / Total Return Securities, Inc. 2,017,198 2,028,443
2017-02-27 13D/A PCF / High Income Securities Fund 1,430,820 1,497,930
2017-02-23 13D/A 50063B104 / Korea Equity Fund, Inc. 655,587 746,067
2017-02-16 13D/A SWZ / Total Return Securities, Inc. 1,728,971 2,017,198
2017-02-14 13D/A 50063B104 / Korea Equity Fund, Inc. 580,017 655,587
2017-02-13 13G SZC / Cushing NextGen Infrastructure Income Fund 631,774 631,774
2017-02-08 13D/A 50063B104 / Korea Equity Fund, Inc. 580,017
2017-02-06 13D/A 50063B104 / Korea Equity Fund, Inc. 763,471
2017-02-06 13G GLQ / Clough Global Equity Fund 886,136 1,104,979
2017-02-03 13D PCF / High Income Securities Fund 1,430,820
2017-01-31 13G/A STLRU / Stellaris Growth Acquisition Corp - Units (1 Ord Class A, 1 War) 679,400
2017-01-31 13G/A US5538291023 / MVC Capital, Inc. 1,460,293 1,450,279
2017-01-31 13D/A 50063B104 / Korea Equity Fund, Inc. 655,917 763,471
2017-01-31 13G/A US5538291023 / MVC Capital, Inc. 1,460,293 1,450,279
2017-01-31 13G/A STLRU / Stellaris Growth Acquisition Corp - Units (1 Ord Class A, 1 War) 679,400
2017-01-31 13G/A MACQU / MCAP Acquisition Corp - Units (1 Ord Share Class A & 1/3 War) 390,000
2017-01-24 13D/A SCZ / iShares Trust - iShares MSCI EAFE Small-Cap ETF 631,774
2017-01-24 13D/A SZC / Cushing NextGen Infrastructure Income Fund 604,191 631,774
2017-01-24 13D/A PHF / Pacholder High Yield Fund, Inc. 1,330,837 1,429,254
2017-01-18 13D/A NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 5,716,186 3,370,673
2016-12-30 13G JCHAX / JPMorgan China Region Fund 338,205
2016-12-22 13D/A SWZ / Total Return Securities, Inc. 1,690,788 1,728,971
2016-12-19 13D/A SWZ / Total Return Securities, Inc. 1,735,473 1,690,788
2016-12-13 13D/A WHLR / Wheeler Real Estate Investment Trust, Inc. 3,378,893
2016-12-13 13D/A WHLR / Wheeler Real Estate Investment Trust, Inc. 3,696,411 3,378,893
2016-12-13 13D/A WHLRW / Wheeler Real Estate Investment Trust, Inc., Warrants 3,696,411 3,378,893
2016-12-09 13D/A 50063B104 / Korea Equity Fund, Inc. 555,167 655,917
2016-11-28 13D CTF / Nuveen Long/Short Commodity Total Return Fund 1,353,221 1,787,888
2016-11-25 13D/A PHF / Pacholder High Yield Fund, Inc. 1,298,702 1,330,837
2016-11-25 13D/A LGI / Lazard Global Total Return and Income Fund, Inc. 955,669 850,176
2016-11-14 13D/A WHLR / Wheeler Real Estate Investment Trust, Inc. 3,696,411
2016-11-14 13D/A WHLR / Wheeler Real Estate Investment Trust, Inc. 4,298,173 3,696,411
2016-11-14 13D/A WHLRW / Wheeler Real Estate Investment Trust, Inc., Warrants 3,696,411
2016-11-01 13D/A PHF / Pacholder High Yield Fund, Inc. 1,382,622 1,298,702
2016-11-01 13D/A SWZ / Total Return Securities, Inc. 1,724,832 1,735,473
2016-10-25 13D/A SWZ / Total Return Securities, Inc. 1,658,628 1,724,832
2016-10-24 13D LGI / Lazard Global Total Return and Income Fund, Inc. 955,669
2016-10-07 13D NYRT / New York REIT, Inc. 2,478,293
2016-10-03 13D 50063B104 / Korea Equity Fund, Inc. 555,167
2016-09-28 13D/A DCA / Virtus Total Return Fund 4,946,132 5,056,908
2016-09-26 13D/A FAV / First Trust Dividend and Income Fund 2,044,734 2,149,940
2016-09-23 13D/A SWZ / Total Return Securities, Inc. 1,658,628
2016-09-22 13D/A FAV / First Trust Dividend and Income Fund 1,940,113 2,044,734
2016-09-20 13D/A HIL / Hill International Inc 3,949,438
2016-09-19 13D/A JGV / Nuveen Global Equity Income Fund 2,486,577 2,683,107
2016-09-09 13D/A DCA / Virtus Total Return Fund 4,738,309 4,946,132
2016-09-01 13D/A DHG / Deutsche High Income Opportunities Fund, Inc.
2016-08-30 13D/A FAV / First Trust Dividend and Income Fund 1,848,984 1,940,113
2016-08-23 13D/A JGV / Nuveen Global Equity Income Fund 2,298,703 2,486,577
2016-08-16 13D/A HIL / Hill International Inc 3,928,831 3,949,438
2016-08-10 13D/A DCA / Virtus Total Return Fund 4,432,839 4,738,309
2016-08-09 13D/A FAV / First Trust Dividend and Income Fund 1,728,930 1,848,984
2016-08-09 13G SZC / Cushing NextGen Infrastructure Income Fund 604,191
2016-08-04 13D/A NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 5,527,380 5,716,186
2016-07-27 13D/A PHF / Pacholder High Yield Fund, Inc. 1,517,193 1,382,622
2016-07-21 13D/A JGV / Nuveen Global Equity Income Fund 2,100,374 2,298,703
2016-07-19 13D/A DHG / Deutsche High Income Opportunities Fund, Inc. 1,336,460
2016-07-15 13D/A FAV / First Trust Dividend and Income Fund 1,644,551 1,728,930
2016-06-23 13D/A STC / Stewart Information Services Corporation 1,132,200
2016-06-15 13D/A JGV / Nuveen Global Equity Income Fund 1,903,522 2,100,374
2016-06-13 13D/A LBF / Deutsche Global High Income Fund, Inc. 350,232 317,082
2016-06-08 13D PHF / Pacholder High Yield Fund, Inc. 1,512,193 1,517,193
2016-06-08 13D/A LBF / Deutsche Global High Income Fund, Inc. 422,685 350,232
2016-06-07 13G PHF / Pacholder High Yield Fund, Inc. 1,512,193
2016-06-07 13D/A RIT / LMP Real Estate Income Fund, Inc. 2,600,751 2,732,834
2016-05-31 13D/A LBF / Deutsche Global High Income Fund, Inc. 569,198 422,685
2016-05-24 13D/A LBF / Deutsche Global High Income Fund, Inc. 633,954 569,198
2016-05-23 13D/A DCA / Virtus Total Return Fund 4,372,339 4,432,839
2016-05-19 13D/A SVVC / Firsthand Technology Value Fund, Inc. 402,116 383,946
2016-05-18 13D/A DCA / Virtus Total Return Fund 4,070,257 4,372,339
2016-05-17 13D/A JGV / Nuveen Global Equity Income Fund 1,875,968 1,903,522
2016-05-05 13D/A LBF / Deutsche Global High Income Fund, Inc. 711,412 633,954
2016-05-04 13D/A DCA / Virtus Total Return Fund 3,776,247 4,070,257
2016-05-03 13D/A SVVC / Firsthand Technology Value Fund, Inc. 480,418 402,116
2016-05-02 13D/A NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 5,342,361 5,527,380
2016-04-27 13D/A LBF / Deutsche Global High Income Fund, Inc. 780,911 711,412
2016-04-26 13D/A RIT / LMP Real Estate Income Fund, Inc. 2,442,176 2,600,751
2016-04-21 13D/A FAV / First Trust Dividend and Income Fund 1,558,262 1,644,551
2016-04-08 13D/A NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 4,752,349 5,342,361
2016-04-05 13D/A DCA / Virtus Total Return Fund 3,426,604 3,776,247
2016-03-30 13D/A HIL / Hill International Inc 3,928,831 3,928,831
2016-03-29 13D/A JGV / Nuveen Global Equity Income Fund 1,708,660 1,875,968
2016-03-29 13D/A HIL / Hill International Inc 3,928,831 3,928,831
2016-03-28 13D/A SVVC / Firsthand Technology Value Fund, Inc. 566,703 480,418
2016-03-23 13D/A DCA / Virtus Total Return Fund 3,128,830 3,426,604
2016-03-21 13D/A FAV / First Trust Dividend and Income Fund 1,493,003 1,558,262
2016-03-17 13D/A DCA / Virtus Total Return Fund 1,465,004 3,128,830
2016-03-14 13D/A HIL / Hill International Inc 3,928,831 3,928,831
2016-03-10 13D HIL / Hill International Inc 3,943,831 3,928,831
2016-03-07 13D/A DCA / Virtus Total Return Fund 2,675,546 1,465,004
2016-03-03 13D/A FAV / First Trust Dividend and Income Fund 1,407,999 1,493,003
2016-03-01 13D/A DCA / Virtus Total Return Fund 2,398,675 2,675,546
2016-02-25 13D/A FAV / First Trust Dividend and Income Fund 1,302,265 1,407,999
2016-02-23 13D/A JGV / Nuveen Global Equity Income Fund 1,517,868 1,708,660
2016-02-19 13D DCA / Virtus Total Return Fund 2,398,675
2016-02-17 13D/A HIL / Hill International Inc 3,937,873 3,943,831
2016-02-16 13D/A FAV / First Trust Dividend and Income Fund 1,199,286 1,302,265
2016-02-04 13D/A FAV / First Trust Dividend and Income Fund 1,101,809 1,199,286
2016-02-04 13G/A CFD / Nuveen Diversified Commodity Fund 467,107 288,690
2016-02-04 13D/A RIT / LMP Real Estate Income Fund, Inc. 2,285,113 2,442,176
2016-02-04 13G/A HYF / Managed High Yield Plus Fund, Inc. 3,124,276 3,489,947
2016-02-03 13G/A FUR / Winthrop Realty Trust, Inc. 2,455,528
2016-02-03 13G/A CTF / Nuveen Long/Short Commodity Total Return Fund 838,286 1,353,221
2016-02-02 13G/A US5538291023 / MVC Capital, Inc. 1,460,293
2016-02-02 13G/A US5538291023 / MVC Capital, Inc. 1,460,293
2016-01-28 13D/A FAV / First Trust Dividend and Income Fund 998,771 1,101,809
2016-01-26 13D/A HIL / Hill International Inc 3,937,873 3,937,873
2016-01-25 13D/A JGV / Nuveen Global Equity Income Fund 1,322,064 1,517,868
2016-01-19 13D/A FAV / First Trust Dividend and Income Fund 880,148 998,771
2016-01-05 13D/A / Global High Income Dollar Fund, Inc. 1,711,463 1,950,723
2016-01-05 13D/A XGHIX / Global High Income Fund, Inc 1,711,463 1,950,723
2016-01-04 13D/A JGV / Nuveen Global Equity Income Fund 1,166,700 1,322,064
2015-12-24 13G HYF / Managed High Yield Plus Fund, Inc. 3,124,276
2015-12-21 13D/A HIL / Hill International Inc 3,932,873 3,937,873
2015-12-16 13D/A FAV / First Trust Dividend and Income Fund 737,600 880,148
2015-12-14 13D JGV / Nuveen Global Equity Income Fund 1,166,700
2015-12-10 13D/A FAV / First Trust Dividend and Income Fund 637,343 737,600
2015-12-07 13D/A HIL / Hill International Inc 3,330,610 3,932,873
2015-12-03 13D/A SVVC / Firsthand Technology Value Fund, Inc. 657,778 566,703
2015-11-24 13D/A RIT / LMP Real Estate Income Fund, Inc. 2,049,305 2,285,113
2015-11-12 13G/A DRA / Diversified Real Asset Income Fund 998,067
2015-11-05 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,933,442 2,049,305
2015-11-05 13D/A FAV / First Trust Dividend and Income Fund 727,296 637,343
2015-11-03 13D/A FULL / Full Circle Capital Corp. 1,561,657 1,760,015
2015-10-21 13D/A GLQ / Clough Global Equity Fund 923,697 886,136
2015-10-16 13D/A SVVC / Firsthand Technology Value Fund, Inc. 746,424 657,778
2015-10-16 13D/A GLQ / Clough Global Equity Fund 1,125,118 923,697
2015-10-15 13G/A GYRO / Gyrodyne, LLC 103,707 71,707
2015-10-14 13D/A / Global High Income Dollar Fund, Inc. 1,694,907 1,711,463
2015-10-14 13D/A XGHIX / Global High Income Fund, Inc 1,711,463
2015-10-08 13D/A NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 3,902,692 4,752,349
2015-10-06 13D/A FAV / First Trust Dividend and Income Fund 642,618 727,296
2015-10-05 13D NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 3,902,692
2015-10-05 13G GYRO / Gyrodyne, LLC 76,510
2015-10-01 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,868,679 1,933,442
2015-09-25 13D FAV / First Trust Dividend and Income Fund 642,618
2015-09-18 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,752,934 1,868,679
2015-09-16 13G CLDC / China Lending Corporation 508,950
2015-09-10 13D/A LCM / Advent Claymore Convertible Securities and Income Fund II 979,448 1,452,170
2015-08-31 13D/A / Global High Income Dollar Fund, Inc. 1,493,512 1,694,907
2015-08-26 13D/A GLQ / Clough Global Equity Fund 1,311,035 1,125,118
2015-08-24 13G CTF / Nuveen Long/Short Commodity Total Return Fund 838,286
2015-07-30 13D/A HIL / Hill International Inc 3,330,610 3,330,610
2015-07-30 13D / Global High Income Dollar Fund, Inc. 1,493,512
2015-07-27 13D WHLR / Wheeler Real Estate Investment Trust, Inc. 4,298,173
2015-07-27 13D/A HIL / Hill International Inc 2,785,391 3,330,610
2015-07-27 13D WHLR / Wheeler Real Estate Investment Trust, Inc. 4,298,173
2015-07-24 13D/A XRDC / Crossroads Capital, Inc. 1,140,917
2015-07-23 13D/A EQS / Equus Total Return, Inc. 566,998
2015-07-23 13D/A XCMKX / MFS Intermarket Income Trust I 1,236,304 1,831,604
2015-07-23 13D/A FULL / Full Circle Capital Corp. 1,322,147 1,561,657
2015-07-21 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,617,729 1,752,934
2015-07-20 13G CFD / Nuveen Diversified Commodity Fund 467,107
2015-07-17 13D/A XAYNX / Alliance New York Municipal Inc 588,927 723,198
2015-07-17 13D/A XCMKX / MFS Intermarket Income Trust I 1,236,304 1,236,304
2015-07-16 13D/A LCM / Advent Claymore Convertible Securities and Income Fund II 738,723 979,448
2015-07-16 13D/A XCMKX / MFS Intermarket Income Trust I 1,110,542 1,236,304
2015-07-14 13D/A LBF / Deutsche Global High Income Fund, Inc. 780,911 780,911
2015-07-14 13D/A DHG / Deutsche High Income Opportunities Fund, Inc. 1,378,660 1,336,460
2015-07-13 13D/A DHG / Deutsche High Income Opportunities Fund, Inc. 1,369,434 1,378,660
2015-07-13 13D/A LBF / Deutsche Global High Income Fund, Inc. 735,928 780,911
2015-07-10 13D LCM / Advent Claymore Convertible Securities and Income Fund II 738,723
2015-07-07 13D/A GLQ / Clough Global Equity Fund 1,311,035 1,311,035
2015-07-07 13D/A XCMKX / MFS Intermarket Income Trust I 1,060,568 1,110,542
2015-07-01 13G/A STGG / STG Group, Inc. 349,900
2015-07-01 13D/A GLQ / Clough Global Equity Fund 1,275,594 1,311,035
2015-06-30 13D/A GLQ / Clough Global Equity Fund 1,171,843 1,275,594
2015-06-26 13D/A US29102N1054 / Emergent Capital, Inc. 4,479,437
2015-06-26 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,503,275 1,617,729
2015-06-11 13D/A XRDC / Crossroads Capital, Inc.
2015-06-05 13D/A FULL / Full Circle Capital Corp. 1,322,147 1,322,147
2015-06-04 13D FULL / Full Circle Capital Corp. 1,322,147
2015-06-01 13D/A LBF / Deutsche Global High Income Fund, Inc. 666,355 735,928
2015-05-27 13D/A DHG / Deutsche High Income Opportunities Fund, Inc. 1,363,333 1,369,434
2015-05-27 13D/A LBF / Deutsche Global High Income Fund, Inc. 620,722 666,355
2015-05-15 13D HIL / Hill International Inc 2,785,391
2015-05-12 13D/A SVVC / Firsthand Technology Value Fund, Inc. 746,424
2015-05-04 13D/A XRDC / Crossroads Capital, Inc.
2015-04-24 13D XCMKX / MFS Intermarket Income Trust I 1,060,568
2015-04-20 13D/A GLQ / Clough Global Equity Fund 1,171,843
2015-04-20 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,461,936 1,503,275
2015-04-13 13D/A XRDC / Crossroads Capital, Inc. 895,609
2015-04-13 13D/A DHG / Deutsche High Income Opportunities Fund, Inc. 1,348,966 1,363,333
2015-04-13 13D/A LBF / Deutsche Global High Income Fund, Inc. 620,722 620,722
2015-04-06 13D/A XAYNX / Alliance New York Municipal Inc 588,927
2015-04-06 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,332,895 1,461,936
2015-04-02 13G/A WHLR / Wheeler Real Estate Investment Trust, Inc. 401,021
2015-03-30 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,301,595 1,332,895
2015-03-26 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,144,539 1,301,595
2015-03-25 13D/A LBF / Deutsche Global High Income Fund, Inc. 491,936 620,722
2015-03-23 13D XRDC / Crossroads Capital, Inc. 895,609
2015-03-16 13D LBF / Deutsche Global High Income Fund, Inc. 491,936
2015-03-16 13D/A DHG / Deutsche High Income Opportunities Fund, Inc. 1,348,966
2015-03-13 13D/A RIT / LMP Real Estate Income Fund, Inc. 1,144,539
2015-03-10 13G/A RNE / Morgan Stanley Eastern European Fund, Inc. 379,893 670,038
2015-03-09 13G RNE / Morgan Stanley Eastern European Fund, Inc. 379,893
2015-03-04 13G/A JGH / Nuveen Global High Income Fund 1,153,243
2015-03-02 13G FUR / Winthrop Realty Trust, Inc. 2,016,984
2015-02-27 13D/A XAYNX / Alliance New York Municipal Inc 539,095
2015-02-26 13D STC / Stewart Information Services Corporation 1,154,289
2015-02-24 13D/A RIT / LMP Real Estate Income Fund, Inc. 990,137
2015-02-17 13G/A XCMKX / MFS Intermarket Income Trust I 899,262
2015-02-13 13G DRA / Diversified Real Asset Income Fund 1,848,023
2015-02-12 13G/A US5538291023 / MVC Capital, Inc. 1,484,152
2015-02-10 13G/A XRDC / Crossroads Capital, Inc. 661,666
2015-02-10 13G/A LBF / Deutsche Global High Income Fund, Inc. 463,813
2015-02-04 13D/A RIT / LMP Real Estate Income Fund, Inc. 831,148
2015-02-02 13D/A DHG / Deutsche High Income Opportunities Fund, Inc. 1,308,220
2015-01-29 13D/A GLQ / Clough Global Equity Fund 1,123,920
2015-01-22 13D/A SVVC / Firsthand Technology Value Fund, Inc. 975,574
2015-01-22 13D MNP / Western Asset Municipal Partners Fund Inc 109
2015-01-20 13D/A GLQ / Clough Global Equity Fund 1,123,920
2015-01-15 13D RIT / LMP Real Estate Income Fund, Inc. 687,128
2015-01-13 13D/A XAYNX / Alliance New York Municipal Inc 488,913
2014-12-29 13G XRDC / Crossroads Capital, Inc. 584,278
2014-12-29 13D XAYNX / Alliance New York Municipal Inc 439,831
2014-12-22 13G XCMKX / MFS Intermarket Income Trust I 581,332
2014-12-08 13D/A SWZ / Total Return Securities, Inc. 1,162,270
2014-12-05 13G JGH / Nuveen Global High Income Fund 2,784,756
2014-12-05 13D/A SVVC / Firsthand Technology Value Fund, Inc. 1,085,590
2014-12-01 13G LBF / Deutsche Global High Income Fund, Inc. 392,064
2014-11-21 13D GLQ / Clough Global Equity Fund 934,067
2014-11-17 13D XAYNX / Alliance New York Municipal Inc 848
2014-11-17 13D/A DHG / Deutsche High Income Opportunities Fund, Inc. 1,092,375
2014-11-12 13G/A MMU / Western Asset Managed Municipals Fund Inc. 600
2014-11-10 13G MMU / Western Asset Managed Municipals Fund Inc. 600
2014-11-10 13G MNP / Western Asset Municipal Partners Fund Inc 109
2014-11-06 13G/A DCA / Virtus Total Return Fund 1,365,797
2014-09-30 13D/A RIT / LMP Real Estate Income Fund, Inc. 546,211
2014-09-25 13G WHLR / Wheeler Real Estate Investment Trust, Inc. 669,053
2014-09-22 13D RIT / LMP Real Estate Income Fund, Inc. 634,079
2014-09-15 13G DRA / Diversified Real Asset Income Fund 1,810,981
2014-08-07 13D/A 266,364
2014-07-30 13D/A 363,686
2014-07-25 13D/A 491,025
2014-07-18 13D/A 565,677
2014-07-10 13D DHG / Deutsche High Income Opportunities Fund, Inc. 919,900
2014-07-01 13D/A 644,819
2014-06-30 13D/A 897,289
2014-06-20 13D/A 782,380
2014-06-20 13D/A 725,261
2014-06-09 13D JGT / 2,702,117
2014-05-27 13D 673,574
2014-05-21 13D/A SWZ / Total Return Securities, Inc. 1,745,210
2014-05-16 13D/A / Madison Strategic Sector Premium Fund 283,636
2014-05-15 13D/A / Madison Strategic Sector Premium Fund 292,536
2014-04-21 13D / Madison Strategic Sector Premium Fund 352,072
2014-04-09 13D/A ETJ / Eaton Vance Risk-Managed Diversified Equity Income Fund 3,280,668
2014-04-01 13D/A 1,161,451
2014-03-10 13G DCA / Virtus Total Return Fund 1,436,076
2014-02-19 13D/A ETJ / Eaton Vance Risk-Managed Diversified Equity Income Fund 4,179,215
2014-02-14 13D/A SVVC / Firsthand Technology Value Fund, Inc. 1,277,934
2014-02-10 13G/A US5538291023 / MVC Capital, Inc. 1,360,251
2014-02-07 13D/A IMF / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Managed Futures Strategy ETF 1,021,957
2014-02-03 13D/A SVVC / Firsthand Technology Value Fund, Inc. 1,175,529
2014-01-14 13D/A SVVC / Firsthand Technology Value Fund, Inc. 1,084,474
2014-01-13 13D/A SVVC / Firsthand Technology Value Fund, Inc. 1,057,623
2014-01-13 13D/A IMF / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Managed Futures Strategy ETF 928,859
2014-01-10 13D/A SVVC / Firsthand Technology Value Fund, Inc. 1,057,623
2014-01-02 13D/A SVVC / Firsthand Technology Value Fund, Inc. 1,015,376
2013-12-31 13D/A SVVC / Firsthand Technology Value Fund, Inc. 1,002,845
2013-12-18 13D/A IMF / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Managed Futures Strategy ETF 845,076
2013-12-18 13D/A JMI / Javelin Mortgage Investment Corp. 367,612
2013-12-12 13D/A 785,724
2013-12-11 13D/A ETJ / Eaton Vance Risk-Managed Diversified Equity Income Fund 4,886,760
2013-12-11 13D/A 568,025
2013-12-11 13D/A SVVC / Firsthand Technology Value Fund, Inc. 907,168
2013-12-02 13D/A SVVC / Firsthand Technology Value Fund, Inc. 797,171
2013-11-29 13D/A IMF / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Managed Futures Strategy ETF 764,601
2013-11-27 13D/A IMF / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Managed Futures Strategy ETF 678,243
2013-11-22 13D SVVC / Firsthand Technology Value Fund, Inc. 673,740
2013-11-22 13D IMF / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Managed Futures Strategy ETF 593,675
2013-11-22 13D/A JMI / Javelin Mortgage Investment Corp. 1,032,303
2013-11-08 13G 700,000
2013-11-04 13D/A ZAIS / ZAIS Group Holdings, Inc. 1,413,351
2013-11-04 13G STGG / STG Group, Inc. 549,900
2013-10-28 13D/A SVVC / Firsthand Technology Value Fund, Inc. 426,531
2013-10-21 13D/A SVVC / Firsthand Technology Value Fund, Inc. 448,743
2013-10-18 13D/A 460,321
2013-10-15 13D/A SVVC / Firsthand Technology Value Fund, Inc. 547,184
2013-10-08 13D/A SVVC / Firsthand Technology Value Fund, Inc. 632,668
2013-09-30 13D 396,094
2013-09-30 13D/A JMI / Javelin Mortgage Investment Corp. 945,457
2013-09-26 13D/A SVVC / Firsthand Technology Value Fund, Inc. 726,356
2013-08-29 13G US5538291023 / MVC Capital, Inc. 1,168,216
2013-08-19 13D/A 895,609
2013-08-16 13D JMI / Javelin Mortgage Investment Corp. 740,346
2013-08-08 13D SWZ / Total Return Securities, Inc. 1,703,177
2013-07-26 13D/A 895,609
2013-04-29 13D/A ZAIS / ZAIS Group Holdings, Inc. 1,575,940
2013-04-02 13D ZAIS / ZAIS Group Holdings, Inc. 1,350,000