 |
Symbol |
Name |
Weight |
Price |
Net +/- |
% +/- |
Open |
High |
Low |
Volume |
Last Trade |
|
SUNS |
SOLAR SENIOR CAPITAL L |
9.8523% |
$12.4 |
0 |
.0 % |
12.58 |
12.58 |
11.79 |
37,023 |
07/01 |
|
|
SOLAR SENIOR CAPITAL LTD () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
SLRC |
SOLAR CAPITAL LTD |
4.5099% |
$14.47 |
0 |
.0 % |
14.54 |
14.54 |
13.87 |
214,855 |
07/01 |
|
|
SOLAR CAPITAL LTD ( 3.06) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
TICC |
TICC CAPITAL |
2.8292% |
$9.77 |
|
% |
9.7625 |
9.87 |
9.72 |
404,987 |
09/12 6:18 PM |
|
|
  |
TICC CAPITAL ( 2.99) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
GAIN |
GLADSTONE INVESTMENT C |
1.5706% |
$10.35 |
0 |
.0 % |
10.59 |
10.6 |
10.12 |
201,597 |
07/01 |
|
|
GLADSTONE INVESTMENT CORPORATION ( 3.21) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
TCRD |
THL CREDIT INC |
1.3382% |
$3.15 |
0 |
.0 % |
3.17 |
3.2 |
3.02 |
53,274 |
07/01 |
|
|
THL CREDIT INC ( 3.03) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
PNNT |
PENNANTPARK INVESTMENT |
2.6553% |
$3.1 |
0 |
.0 % |
3.09 |
3.11 |
2.9 |
315,483 |
07/01 |
|
|
PENNANTPARK INVESTMENT CORPORATION () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
PSEC |
PROSPECT CAPITAL CORP |
1.5997% |
$3.98 |
0 |
.0 % |
4.07 |
4.09 |
3.96 |
1,754,747 |
07/01 |
|
|
  |
PROSPECT CAPITAL CORP ( 2.83) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
GBDC |
GOLUB CAPITAL BDC |
1.6282% |
$9.64 |
0 |
.0 % |
9.85 |
9.88 |
9.61 |
2,005,301 |
07/01 |
|
|
GOLUB CAPITAL BDC () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
TINY |
HARRIS & HARRIS GROUP |
2.9262% |
$3.02 |
|
% |
3.05 |
3.06 |
3.01 |
140,059 |
09/12 4:00 PM |
|
|
HARRIS & HARRIS GROUP () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
TAXI |
MEDALLION FINANCIAL |
6.2983% |
$14.28 |
|
% |
14.3599 |
14.3599 |
14.2 |
37,407 |
09/12 6:18 PM |
|
|
MEDALLION FINANCIAL ( 3.07) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
TCAP |
TRIANGLE CAPITAL CORPO |
1.2797% |
$29.06 |
|
% |
29.1 |
29.19 |
29 |
89,091 |
09/12 4:27 PM |
|
|
  |
TRIANGLE CAPITAL CORPORATION ( 2.72) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
HRZN |
HORIZON TECHNOLOGY FIN |
1.1826% |
$9.03 |
0 |
.0 % |
9.09 |
9.13 |
8.71 |
157,729 |
07/01 |
|
|
  |
HORIZON TECHNOLOGY FINANCE CORPORATION ( 2.96) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
HTGC |
HERCULES TECHNOLOGY GR |
3.958% |
$9.94 |
0 |
.0 % |
9.68 |
9.99 |
9.46 |
1,017,607 |
07/01 |
|
|
  |
HERCULES TECHNOLOGY GROWTH CAPITAL INC ( 2.78) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
ARCC |
ARES CAPITAL CORP |
10.1685% |
$12.41 |
0 |
.0 % |
12.07 |
12.43 |
11.93 |
3,506,609 |
07/01 |
|
|
  |
ARES CAPITAL CORP ( 2.85) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
FSC |
FIFTH STREET FINANCE C |
6.4722% |
$10.535 |
|
% |
10.62 |
10.65 |
10.52 |
789,587 |
09/12 6:18 PM |
|
|
FIFTH STREET FINANCE CORP ( 3.13) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
AINV |
APOLLO INVESTMENT CORP |
9.2829% |
$8.1 |
0 |
.0 % |
8.48 |
8.48 |
7.79 |
722,813 |
07/01 |
|
|
APOLLO INVESTMENT CORP ( 3.11) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
BKCC |
BLACKROCK KELSO CAPITA |
5.4774% |
$2.65 |
0 |
.0 % |
2.7 |
2.73 |
2.54 |
470,912 |
07/01 |
|
|
  |
BLACKROCK KELSO CAPITAL ( 2.96) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
ACAS |
AMERICAN CAPITAL |
10.2506% |
$13.07 |
|
% |
13.28 |
13.28 |
12.95 |
3,144,614 |
09/12 6:03 PM |
|
|
  |
AMERICAN CAPITAL ( 2.80) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
SLRC |
SOLAR CAPITAL LTD |
4.5099% |
$14.47 |
0 |
.0 % |
14.54 |
14.54 |
13.87 |
214,855 |
07/01 |
|
|
SOLAR CAPITAL LTD ( 3.06) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
TICC |
TICC CAPITAL |
2.8292% |
$9.77 |
|
% |
9.7625 |
9.87 |
9.72 |
404,987 |
09/12 6:18 PM |
|
|
  |
TICC CAPITAL ( 2.99) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
GAIN |
GLADSTONE INVESTMENT C |
1.5706% |
$10.35 |
0 |
.0 % |
10.59 |
10.6 |
10.12 |
201,597 |
07/01 |
|
|
GLADSTONE INVESTMENT CORPORATION ( 3.21) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
TCRD |
THL CREDIT INC |
1.3382% |
$3.15 |
0 |
.0 % |
3.17 |
3.2 |
3.02 |
53,274 |
07/01 |
|
|
THL CREDIT INC ( 3.03) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
MCC |
MEDLEY CAPITAL CORP |
3.8959% |
$.59 |
0 |
.0 % |
.56 |
.61 |
.56 |
59,393 |
07/01 |
|
|
MEDLEY CAPITAL CORP ( 3.50) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
PNNT |
PENNANTPARK INVESTMENT |
2.6553% |
$3.1 |
0 |
.0 % |
3.09 |
3.11 |
2.9 |
315,483 |
07/01 |
|
|
PENNANTPARK INVESTMENT CORPORATION () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
PSEC |
PROSPECT CAPITAL CORP |
1.5997% |
$3.98 |
0 |
.0 % |
4.07 |
4.09 |
3.96 |
1,754,747 |
07/01 |
|
|
  |
PROSPECT CAPITAL CORP ( 2.83) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
GBDC |
GOLUB CAPITAL BDC |
1.6282% |
$9.64 |
0 |
.0 % |
9.85 |
9.88 |
9.61 |
2,005,301 |
07/01 |
|
|
GOLUB CAPITAL BDC () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
TINY |
HARRIS & HARRIS GROUP |
2.9262% |
$3.02 |
|
% |
3.05 |
3.06 |
3.01 |
140,059 |
09/12 4:00 PM |
|
|
HARRIS & HARRIS GROUP () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
TAXI |
MEDALLION FINANCIAL |
6.2983% |
$14.28 |
|
% |
14.3599 |
14.3599 |
14.2 |
37,407 |
09/12 6:18 PM |
|
|
MEDALLION FINANCIAL ( 3.07) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
TCAP |
TRIANGLE CAPITAL CORPO |
1.2797% |
$29.06 |
|
% |
29.1 |
29.19 |
29 |
89,091 |
09/12 4:27 PM |
|
|
  |
TRIANGLE CAPITAL CORPORATION ( 2.72) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
HTGC |
HERCULES TECHNOLOGY GR |
3.958% |
$9.94 |
0 |
.0 % |
9.68 |
9.99 |
9.46 |
1,017,607 |
07/01 |
|
|
  |
HERCULES TECHNOLOGY GROWTH CAPITAL INC ( 2.78) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
MCGC |
MCG CAPITAL |
3.1552% |
$4.92 |
|
% |
4.88 |
4.93 |
4.88 |
163,500 |
09/12 6:18 PM |
|
|
MCG CAPITAL ( 3.32) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
ARCC |
ARES CAPITAL CORP |
10.1685% |
$12.41 |
0 |
.0 % |
12.07 |
12.43 |
11.93 |
3,506,609 |
07/01 |
|
|
  |
ARES CAPITAL CORP ( 2.85) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
FSC |
FIFTH STREET FINANCE C |
6.4722% |
$10.535 |
|
% |
10.62 |
10.65 |
10.52 |
789,587 |
09/12 6:18 PM |
|
|
FIFTH STREET FINANCE CORP ( 3.13) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
AINV |
APOLLO INVESTMENT CORP |
9.2829% |
$8.1 |
0 |
.0 % |
8.48 |
8.48 |
7.79 |
722,813 |
07/01 |
|
|
APOLLO INVESTMENT CORP ( 3.11) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
BKCC |
BLACKROCK KELSO CAPITA |
5.4774% |
$2.65 |
0 |
.0 % |
2.7 |
2.73 |
2.54 |
470,912 |
07/01 |
|
|
  |
BLACKROCK KELSO CAPITAL ( 2.96) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
ACAS |
AMERICAN CAPITAL |
10.2506% |
$13.07 |
|
% |
13.28 |
13.28 |
12.95 |
3,144,614 |
09/12 6:03 PM |
|
|
  |
AMERICAN CAPITAL ( 2.80) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
MCC |
MEDLEY CAPITAL CORP |
3.8959% |
$.59 |
0 |
.0 % |
.56 |
.61 |
.56 |
59,393 |
07/01 |
|
|
MEDLEY CAPITAL CORP ( 3.50) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
MCGC |
MCG CAPITAL |
3.1552% |
$4.92 |
|
% |
4.88 |
4.93 |
4.88 |
163,500 |
09/12 6:18 PM |
|
|
MCG CAPITAL ( 3.32) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
SUNS |
SOLAR SENIOR CAPITAL L |
9.8523% |
$12.4 |
0 |
.0 % |
12.58 |
12.58 |
11.79 |
37,023 |
07/01 |
|
|
SOLAR SENIOR CAPITAL LTD () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
HRZN |
HORIZON TECHNOLOGY FIN |
1.1826% |
$9.03 |
0 |
.0 % |
9.09 |
9.13 |
8.71 |
157,729 |
07/01 |
|
|
  |
HORIZON TECHNOLOGY FINANCE CORPORATION ( 2.96) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
TCRD |
THL CREDIT INC |
1.3382% |
$3.15 |
0 |
.0 % |
3.17 |
3.2 |
3.02 |
53,274 |
07/01 |
|
|
THL CREDIT INC ( 3.03) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
HTGC |
HERCULES TECHNOLOGY GR |
3.958% |
$9.94 |
0 |
.0 % |
9.68 |
9.99 |
9.46 |
1,017,607 |
07/01 |
|
|
  |
HERCULES TECHNOLOGY GROWTH CAPITAL INC ( 2.78) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
SUNS |
SOLAR SENIOR CAPITAL L |
9.8523% |
$12.4 |
0 |
.0 % |
12.58 |
12.58 |
11.79 |
37,023 |
07/01 |
|
|
SOLAR SENIOR CAPITAL LTD () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
SLRC |
SOLAR CAPITAL LTD |
4.5099% |
$14.47 |
0 |
.0 % |
14.54 |
14.54 |
13.87 |
214,855 |
07/01 |
|
|
SOLAR CAPITAL LTD ( 3.06) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
TICC |
TICC CAPITAL |
2.8292% |
$9.77 |
|
% |
9.7625 |
9.87 |
9.72 |
404,987 |
09/12 6:18 PM |
|
|
  |
TICC CAPITAL ( 2.99) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
GAIN |
GLADSTONE INVESTMENT C |
1.5706% |
$10.35 |
0 |
.0 % |
10.59 |
10.6 |
10.12 |
201,597 |
07/01 |
|
|
GLADSTONE INVESTMENT CORPORATION ( 3.21) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
MCC |
MEDLEY CAPITAL CORP |
3.8959% |
$.59 |
0 |
.0 % |
.56 |
.61 |
.56 |
59,393 |
07/01 |
|
|
MEDLEY CAPITAL CORP ( 3.50) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
PNNT |
PENNANTPARK INVESTMENT |
2.6553% |
$3.1 |
0 |
.0 % |
3.09 |
3.11 |
2.9 |
315,483 |
07/01 |
|
|
PENNANTPARK INVESTMENT CORPORATION () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
PSEC |
PROSPECT CAPITAL CORP |
1.5997% |
$3.98 |
0 |
.0 % |
4.07 |
4.09 |
3.96 |
1,754,747 |
07/01 |
|
|
  |
PROSPECT CAPITAL CORP ( 2.83) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
GBDC |
GOLUB CAPITAL BDC |
1.6282% |
$9.64 |
0 |
.0 % |
9.85 |
9.88 |
9.61 |
2,005,301 |
07/01 |
|
|
GOLUB CAPITAL BDC () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
TINY |
HARRIS & HARRIS GROUP |
2.9262% |
$3.02 |
|
% |
3.05 |
3.06 |
3.01 |
140,059 |
09/12 4:00 PM |
|
|
HARRIS & HARRIS GROUP () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
TAXI |
MEDALLION FINANCIAL |
6.2983% |
$14.28 |
|
% |
14.3599 |
14.3599 |
14.2 |
37,407 |
09/12 6:18 PM |
|
|
MEDALLION FINANCIAL ( 3.07) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
TCAP |
TRIANGLE CAPITAL CORPO |
1.2797% |
$29.06 |
|
% |
29.1 |
29.19 |
29 |
89,091 |
09/12 4:27 PM |
|
|
  |
TRIANGLE CAPITAL CORPORATION ( 2.72) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
HRZN |
HORIZON TECHNOLOGY FIN |
1.1826% |
$9.03 |
0 |
.0 % |
9.09 |
9.13 |
8.71 |
157,729 |
07/01 |
|
|
  |
HORIZON TECHNOLOGY FINANCE CORPORATION ( 2.96) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
MCGC |
MCG CAPITAL |
3.1552% |
$4.92 |
|
% |
4.88 |
4.93 |
4.88 |
163,500 |
09/12 6:18 PM |
|
|
MCG CAPITAL ( 3.32) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
ARCC |
ARES CAPITAL CORP |
10.1685% |
$12.41 |
0 |
.0 % |
12.07 |
12.43 |
11.93 |
3,506,609 |
07/01 |
|
|
  |
ARES CAPITAL CORP ( 2.85) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
FSC |
FIFTH STREET FINANCE C |
6.4722% |
$10.535 |
|
% |
10.62 |
10.65 |
10.52 |
789,587 |
09/12 6:18 PM |
|
|
FIFTH STREET FINANCE CORP ( 3.13) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
AINV |
APOLLO INVESTMENT CORP |
9.2829% |
$8.1 |
0 |
.0 % |
8.48 |
8.48 |
7.79 |
722,813 |
07/01 |
|
|
APOLLO INVESTMENT CORP ( 3.11) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
BKCC |
BLACKROCK KELSO CAPITA |
5.4774% |
$2.65 |
0 |
.0 % |
2.7 |
2.73 |
2.54 |
470,912 |
07/01 |
|
|
  |
BLACKROCK KELSO CAPITAL ( 2.96) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
ACAS |
AMERICAN CAPITAL |
10.2506% |
$13.07 |
|
% |
13.28 |
13.28 |
12.95 |
3,144,614 |
09/12 6:03 PM |
|
|
  |
AMERICAN CAPITAL ( 2.80) |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
MAIN |
MAIN STREET CAPITAL CO |
1.2321% |
$24.03 |
0 |
.0 % |
24.08 |
24.49 |
23.25 |
634,332 |
07/01 |
|
|
MAIN STREET CAPITAL CORPORATION ( 3.06) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
MAIN |
MAIN STREET CAPITAL CO |
1.2321% |
$24.03 |
0 |
.0 % |
24.08 |
24.49 |
23.25 |
634,332 |
07/01 |
|
|
MAIN STREET CAPITAL CORPORATION ( 3.06) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
MAIN |
MAIN STREET CAPITAL CO |
1.2321% |
$24.03 |
0 |
.0 % |
24.08 |
24.49 |
23.25 |
634,332 |
07/01 |
|
|
MAIN STREET CAPITAL CORPORATION ( 3.06) |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Financial Services ( 3.30) |
  |
|
|
|
CSWC |
CAPITAL SOUTHWEST |
2.6909% |
$11.86 |
0 |
.0 % |
12.45 |
12.48 |
11.58 |
134,364 |
07/01 |
|
|
CAPITAL SOUTHWEST () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
CSWC |
CAPITAL SOUTHWEST |
2.6909% |
$11.86 |
0 |
.0 % |
12.45 |
12.48 |
11.58 |
134,364 |
07/01 |
|
|
CAPITAL SOUTHWEST () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
CSWC |
CAPITAL SOUTHWEST |
2.6909% |
$11.86 |
0 |
.0 % |
12.45 |
12.48 |
11.58 |
134,364 |
07/01 |
|
|
CAPITAL SOUTHWEST () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
Investments ( 3.31) |
  |
|
|
|
GLAD |
GLADSTONE CAPITAL CORP |
1.9469% |
$6.35 |
0 |
.0 % |
6.46 |
6.54 |
6.18 |
303,305 |
07/01 |
|
|
GLADSTONE CAPITAL CORP () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
GLAD |
GLADSTONE CAPITAL CORP |
1.9469% |
$6.35 |
0 |
.0 % |
6.46 |
6.54 |
6.18 |
303,305 |
07/01 |
|
|
GLADSTONE CAPITAL CORP () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
GLAD |
GLADSTONE CAPITAL CORP |
1.9469% |
$6.35 |
0 |
.0 % |
6.46 |
6.54 |
6.18 |
303,305 |
07/01 |
|
|
GLADSTONE CAPITAL CORP () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
MVC |
MVC CAPITAL INC |
1.5104% |
$6.6 |
0 |
.0 % |
6.5 |
6.69 |
6.5 |
70,691 |
07/01 |
|
|
MVC CAPITAL INC () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
MVC |
MVC CAPITAL INC |
1.5104% |
$6.6 |
0 |
.0 % |
6.5 |
6.69 |
6.5 |
70,691 |
07/01 |
|
|
MVC CAPITAL INC () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|
|
MVC |
MVC CAPITAL INC |
1.5104% |
$6.6 |
0 |
.0 % |
6.5 |
6.69 |
6.5 |
70,691 |
07/01 |
|
|
MVC CAPITAL INC () |
  |
|
Buy |
1.0 |
|
|
|
|
|
|
|
|
|
2.0 |
|
|
|
|
|
|
|
|
|
3.0 |
|
|
|
|
|
|
|
|
|
4.0 |
|
|
|
|
|
|
|
|
|
5.0 |
Sell |
|
  |
Closed End Funds ( 2.88) |
|
|