Investor UBS Group AG
13D/G Filings

This page shows a list of all the recent 13D/G filings made by UBS Group AG . 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)
2025-07-29 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 708,768 682,857
2025-07-29 13G/A RPD / Rapid7, Inc. 3,345,168 0
2025-05-01 13G/A RPD / Rapid7, Inc. 3,941,537 3,345,168
2025-04-30 13G/A 0
2025-04-30 13G/A 0
2025-04-30 13G/A PAXS / PIMCO Access Income Fund 2,233,985 0
2025-04-30 13G/A ADD / Color Star Technology Co., Ltd. 37,162 0
2025-04-30 13G IGI / Western Asset Investment Grade Opportunity Trust Inc. 0 345,414
2025-04-30 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 750,319 708,768
2025-04-30 13G/A INFN / Infinera Corporation 14,484,028 0
2025-04-25 13G/A CLX / The Clorox Company 0
2025-04-25 13G CLX / The Clorox Company 10,084,448
2025-02-10 13G/A 15,943,270
2025-02-10 13G/A PAXS / PIMCO Access Income Fund 2,935,694 2,233,985
2025-02-10 13G 16,774,708
2025-02-10 13G/A LBRDK / Liberty Broadband Corporation 7,781,165
2025-02-10 13G/A AMRX / Amneal Pharmaceuticals, Inc. 21,491,881
2025-02-10 13G ADD / Color Star Technology Co., Ltd. 37,162
2024-11-06 13G INFN / Infinera Corporation 14,484,028
2024-11-04 13G RPD / Rapid7, Inc. 3,941,537
2024-11-01 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 729,772 750,319
2024-10-31 13G TBLD / Thornburg Income Builder Opportunities Trust 1,803,654
2024-10-30 13G LBRDK / Liberty Broadband Corporation 7,781,165
2024-10-30 13G/A LDP / Cohen & Steers Limited Duration Preferred and Income Fund, Inc. 1,474,839 0
2024-10-30 13G AMRX / Amneal Pharmaceuticals, Inc. 21,491,881
2024-08-08 13G/A SGHT / Sight Sciences, Inc. 2,879,863
2024-08-08 13G/A ASLN / ASLAN Pharmaceuticals Limited - Depositary Receipt (Common Stock) 16,917,600
2024-08-08 13G/A MCS / The Marcus Corporation 1,299,728
2024-06-28 13G/A GDV.PRK / The Gabelli Dividend & Income Trust - Preferred Stock 0
2024-06-28 13G/A GGT / The Gabelli Multimedia Trust Inc. 0
2024-06-28 13G/A GAB / The Gabelli Equity Trust Inc. 0
2024-06-07 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 648,944 729,772
2024-04-17 13G/A PML / PIMCO Municipal Income Fund II 9,288 0
2024-04-17 13G/A PNI / PIMCO New York Municipal Income Fund II 1,976 0
2024-04-17 13G/A PMX / PIMCO Municipal Income Fund III 5,123 0
2024-04-17 13G/A PNF / PIMCO New York Municipal Income Fund 1,286 0
2024-04-17 13G/A PTY / PIMCO Corporate & Income Opportunity Fund 3,242 0
2024-04-17 13G/A PYN / PIMCO New York Municipal Income Fund III 1,038 0
2024-04-17 13G/A PZC / PIMCO California Municipal Income Fund III 3,349 0
2024-04-17 13G/A PMF / PIMCO Municipal Income Fund 5,589 0
2024-04-17 13G/A PHK / PIMCO High Income Fund 1,637 0
2024-04-17 13G/A PFL / PIMCO Income Strategy Fund 355 0
2024-04-17 13G/A PFN / PIMCO Income Strategy Fund II 1,422 0
2024-04-17 13G/A PCK / PIMCO California Municipal Income Fund II 3,734 0
2024-04-17 13G/A PCN / PIMCO Corporate & Income Strategy Fund 475 0
2024-04-17 13G/A PCQ / PIMCO California Municipal Income Fund 4,369 0
2024-02-07 13G LDP / Cohen & Steers Limited Duration Preferred and Income Fund, Inc. 1,474,839
2024-02-07 13G PAXS / PIMCO Access Income Fund 2,935,694
2024-02-07 13G SGHT / Sight Sciences, Inc. 2,879,863
2024-02-06 13G MCS / The Marcus Corporation 1,299,728
2024-02-06 13G ASLN / ASLAN Pharmaceuticals Limited - Depositary Receipt (Common Stock) 16,917,600
2024-02-06 13G/A
2024-02-06 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 588,867 648,944
2024-02-05 13G/A VIPS / Vipshop Holdings Limited - Depositary Receipt (Common Stock) 16,115,439 16,049,322
2024-02-05 13G/A OPP.PRB / RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. - Preferred Stock 192,815 196,188
2024-02-05 13G/A BLNK / Blink Charging Co. 0
2024-02-05 13G/A ESRT / Empire State Realty Trust, Inc. 0
2024-02-02 13G/A ASGI / Abrdn Global Infrastructure Income Fund 466,228
2024-01-18 13G GAB.PRG / The Gabelli Equity Trust Inc. - Preferred Security
2023-11-09 13G/A APRN / Blue Apron Holdings Inc - Class A 0
2023-10-06 13G/A PZC / PIMCO California Municipal Income Fund III 3,349
2023-10-05 13G/A PYN / PIMCO New York Municipal Income Fund III 1,038 1,038
2023-10-05 13G/A PTY / PIMCO Corporate & Income Opportunity Fund 3,242
2023-10-05 13G/A PNI / PIMCO New York Municipal Income Fund II 1,976 1,976
2023-10-05 13G/A PNF / PIMCO New York Municipal Income Fund 1,286
2023-10-04 13G/A PMX / PIMCO Municipal Income Fund III 5,123 5,123
2023-10-04 13G/A PML / PIMCO Municipal Income Fund II 9,288
2023-10-04 13G/A PMF / PIMCO Municipal Income Fund 5,589 5,589
2023-10-04 13G/A PHK / PIMCO High Income Fund 1,637 1,637
2023-10-04 13G/A PFN / PIMCO Income Strategy Fund II 1,422
2023-10-03 13G/A PFL / PIMCO Income Strategy Fund 355 355
2023-10-03 13G/A PCN / PIMCO Corporate & Income Strategy Fund 475 475
2023-10-02 13G/A PCK / PIMCO California Municipal Income Fund II 3,734 3,734
2023-10-02 13G/A PCQ / PIMCO California Municipal Income Fund 4,369 4,369
2023-09-08 13G TGVC / TG Venture Acquisition Corp. 226,579
2023-07-14 13G/A DSM / BNY Mellon Strategic Municipal Bond Fund, Inc. 1,487 0
2023-07-14 13G/A LEO / BNY Mellon Strategic Municipals, Inc. 0
2023-07-14 13G/A DSM / BNY Mellon Strategic Municipal Bond Fund, Inc. 1,487 0
2023-07-14 13G/A DMF / BNY Mellon Municipal Income, Inc. 825 0
2023-07-10 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 496,215 588,867
2023-06-08 13G/A NPAB / New Providence Acquisition Corp. II 1,857,465
2023-06-08 13G
2023-05-31 13G/A PCK / PIMCO California Municipal Income Fund II 3,734
2023-05-31 13G/A PMF / PIMCO Municipal Income Fund 5,589
2023-05-31 13G/A PNI / PIMCO New York Municipal Income Fund II 1,976
2023-04-24 13G/A PYN / PIMCO New York Municipal Income Fund III 1,038
2023-04-24 13G/A PMX / PIMCO Municipal Income Fund III 5,123
2023-04-24 13G/A PCQ / PIMCO California Municipal Income Fund 4,369
2023-03-14 13G/A SBI / Western Asset Intermediate Muni Fund Inc. 0
2023-03-14 13G/A MNP / Western Asset Municipal Partners Fund Inc 0
2023-03-09 13G/A MMU / Western Asset Managed Municipals Fund Inc. 168 0
2023-03-09 13G/A MMU / Western Asset Managed Municipals Fund Inc. 168 979
2023-02-08 13G/A HUYA / HUYA Inc. - Depositary Receipt (Common Stock) 0
2023-02-08 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 490,687 496,215
2023-02-08 13G/A VIPS / Vipshop Holdings Limited - Depositary Receipt (Common Stock) 16,112,225 16,115,439
2023-02-08 13G ASGI / Abrdn Global Infrastructure Income Fund 466,228
2023-02-08 13G HUYA / HUYA Inc. - Depositary Receipt (Common Stock) 7,069,257
2023-02-08 13G OPP.PRB / RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. - Preferred Stock 192,815
2023-02-08 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 615,351 0
2023-02-03 13G/A PNF / PIMCO New York Municipal Income Fund
2023-02-03 13G/A PZC / PIMCO California Municipal Income Fund III
2023-02-03 13G/A PML / PIMCO Municipal Income Fund II
2023-02-02 13G/A MNP / Western Asset Municipal Partners Fund Inc
2023-02-02 13G/A SBI / Western Asset Intermediate Muni Fund Inc.
2023-02-02 13G/A MMU / Western Asset Managed Municipals Fund Inc. 168 168
2022-12-09 13G/A NCZ / Virtus Convertible & Income Fund II 5,636 0
2022-12-09 13G/A NCV.PRA / Virtus Convertible & Income Fund - Preferred Stock 0
2022-12-09 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 592,205 490,687
2022-05-10 13G VIPS / Vipshop Holdings Limited - Depositary Receipt (Common Stock) 16,112,225
2022-01-31 13G/A OPP.PRA / RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. - Preferred Stock 154,569 0
2022-01-31 13G/A STAR / iStar Inc 7,525,645 1,583,072
2022-01-28 13G/A MESA / Mesa Air Group, Inc. 2,351,652 29,748
2022-01-28 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 738,314 615,351
2022-01-28 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 544,495 592,205
2021-12-07 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 461,375 544,495
2021-08-05 13G/A ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 324,785 461,375
2021-06-09 13G ACP.PRA / Abrdn Income Credit Strategies Fund - Preferred Stock 324,785
2021-05-10 13G GDV / The Gabelli Dividend & Income Trust
2021-02-09 13G/A STAR / iStar Inc 7,237,370 7,525,645
2021-02-08 13G/A JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 812,924
2021-02-08 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 688,637 738,314
2021-02-08 13G/A STAR / iStar Inc 6,718,209 7,237,370
2021-02-08 13G/A EVGN / Evogene Ltd. 1,369,829
2021-02-08 13G/A MESA / Mesa Air Group, Inc. 2,235,629 2,351,652
2021-02-08 13G OPP.PRA / RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. - Preferred Stock 154,569
2020-06-09 13G/A US2243991054 / Crane Co. 3,160,304
2020-04-09 13G/A BBDC / Barings BDC, Inc. 2,618,691
2020-04-09 13G/A WTRH / Waitr Holdings Inc 5,112,036
2020-04-09 13G/A NYMT / New York Mortgage Trust, Inc. 17,118,545
2020-04-09 13G/A STAR / iStar Inc 6,607,801 6,718,209
2020-04-09 13G/A SAFE / Safehold Inc.
2020-04-09 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 668,735 688,637
2020-04-09 13G/A HGV / Hilton Grand Vacations Inc. 4,344,020
2020-04-09 13G/A JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 787,718 812,924
2020-04-09 13G/A BIT / BlackRock Multi-Sector Income Trust 2,132,325
2020-04-09 13G/A MESA / Mesa Air Group, Inc. 2,231,564 2,235,629
2020-04-09 13G/A BCSF / Bain Capital Specialty Finance, Inc. 2,899,320
2020-04-09 13G/A US2243991054 / Crane Co. 3,764,888 3,160,304
2020-04-09 13G/A AG / First Majestic Silver Corp. 11,295,133
2020-02-11 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 668,735
2020-02-11 13G/A KYN.PRF / Kayne Anderson MLP Investment Co., 3.50% Series F Redeemable Preferred Shares 263,615
2020-02-11 13G/A VIVE / Viveve Medical, Inc. 2,333,650
2020-02-11 13G/A ECPG / Encore Capital Group, Inc. 1,551,346
2020-02-11 13G/A CLRB / Cellectar Biosciences, Inc. 325,253
2020-02-11 13G/A ECF / Ellsworth Growth and Income Fund Ltd. 673,524
2020-02-11 13G/A WMC / Western Asset Mortgage Capital Corp 2,823,143
2020-02-11 13G/A CPSS / Consumer Portfolio Services, Inc. 1,989,848
2020-02-11 13G AG / First Majestic Silver Corp. 11,295,133
2020-02-11 13G/A ATRS / Antares Pharma Inc 13,137,018
2020-02-11 13G/A ACHV / Achieve Life Sciences, Inc. 453,012
2020-02-11 13G/A ALIM / Alimera Sciences, Inc. 4,900,534
2020-02-11 13G/A IPCI / Intellipharmaceutics International Inc. 6,997,678
2020-02-11 13G/A SAVA / Cassava Sciences, Inc.
2020-02-11 13G/A ISD / PGIM High Yield Bond Fund, Inc.
2020-02-11 13G/A PRQR / ProQR Therapeutics N.V. 2,079,315
2020-02-11 13G/A PRTK / Paratek Pharmaceuticals Inc. 2,119,933
2020-02-11 13G/A ISEE / IVERIC bio Inc
2020-02-11 13G/A VYGR / Voyager Therapeutics, Inc. 1,985,674
2020-02-11 13G/A ORBC / Orbcomm Inc 5,560,469
2020-02-11 13G/A MTW / The Manitowoc Company, Inc. 1,987,387
2020-02-11 13G/A TRUE / TrueCar, Inc. 11,665,236
2020-02-11 13G/A SBOW / SilverBow Resources, Inc. 1,012,542
2020-02-11 13G/A FLMN / Falcon Minerals Corp - Class A 4,924,080
2020-02-11 13G/A US95790J1025 / Western Asset Corporate Loan Fund Inc. 635,706
2020-02-11 13G/A ATEC / Alphatec Holdings, Inc. 2,965,156
2020-02-11 13G/A BBI / Brickell Biotech Inc
2020-02-11 13G/A WBT / Welbilt Inc 10,129,874
2020-02-11 13G/A STAR / iStar Inc 6,514,679 6,607,801
2020-02-11 13G NYMT / New York Mortgage Trust, Inc. 17,118,545
2020-02-11 13G WTRH / Waitr Holdings Inc 5,112,036
2020-02-11 13G/A US2243991054 / Crane Co. 4,715,335 3,764,888
2020-02-11 13G HGV / Hilton Grand Vacations Inc. 4,344,020
2020-02-11 13G JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 787,718
2020-02-11 13G BCSF / Bain Capital Specialty Finance, Inc. 2,899,320
2020-02-11 13G/A MESA / Mesa Air Group, Inc. 2,477,188 2,231,564
2020-02-11 13G/A BIT / BlackRock Multi-Sector Income Trust 2,768,190 2,132,325
2020-02-11 13G/A BBDC / Barings BDC, Inc. 2,719,618 2,618,691
2020-02-11 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 608,228 668,735
2020-02-11 13G/A EVGN / Evogene Ltd. 1,372,414 1,369,829
2020-01-08 13G/A SQFL / SQL Technologies Corp 1,959,730 2,532,921
2019-12-10 13G/A STAR / iStar Inc 5,706,966 6,514,679
2019-09-10 13G/A THC / Tenet Healthcare Corporation 12,496,825
2019-09-10 13G/A AYTU / Aytu BioPharma, Inc. 2,000,000
2019-09-10 13G/A VLRX / Valeritas, Inc.
2019-06-10 13G/A AKP / Alliance California Municipal Income Fund, Inc. 351 0
2019-06-10 13G/A NES / Nuverra Environmental Solutions Inc 6,930,051
2019-06-10 13G/A NWHM / New Home Company Inc (The) 1,969,378
2019-06-10 13G/A HFBC / HopFed Bancorp, Inc. 692,400
2019-06-10 13G/A DHX / DHI Group, Inc. 5,089,504
2019-04-10 13G/A SQFL / SQL Technologies Corp 1,959,730
2019-03-08 13G/A US28470R1023 / Eldorado Resorts, Inc. 5,146,301 1,312,840
2019-03-08 13G AYTU / Aytu BioPharma, Inc. 2,000,000
2019-03-08 13G/A HABK / Hamilton Bancorp, Inc. 342,236 530,519
2019-03-08 13G/A TRUE / TrueCar, Inc. 7,069,757 11,665,236
2019-03-08 13G/A MESA / Mesa Air Group, Inc. 2,220,359 2,477,188
2019-03-08 13G/A FLMN / Falcon Minerals Corp - Class A 4,252,812 4,924,080
2019-02-15 13G KYN.PRF / Kayne Anderson MLP Investment Co., 3.50% Series F Redeemable Preferred Shares 263,615 263,615
2019-02-15 13G/A BCV / Bancroft Fund Ltd.
2019-02-15 13G ECPG / Encore Capital Group, Inc. 1,551,346
2019-02-15 13G PRTK / Paratek Pharmaceuticals Inc. 2,119,933
2019-02-15 13G/A CYOU / Changyou.com, Ltd. 2,975,566
2019-02-15 13G/A SQFL / SQL Technologies Corp 1,574,672 1,795,304
2019-02-15 13G MESA / Mesa Air Group, Inc. 2,220,359
2019-02-15 13G DHX / DHI Group, Inc. 5,089,504
2019-02-15 13G/A TRUE / TrueCar, Inc. 5,147,504 7,069,757
2019-02-15 13G SBOW / SilverBow Resources, Inc. 1,012,542
2019-02-15 13G/A ECF / Ellsworth Growth and Income Fund Ltd. 835,718 673,524
2019-02-15 13G/A STAR / iStar Inc 5,484,783 5,706,966
2019-02-15 13G SHPG / Shire Plc. 84,229,093
2019-02-15 13G ATEC / Alphatec Holdings, Inc. 2,965,156
2019-02-15 13G/A HTD / John Hancock Tax-Advantaged Dividend Income Fund 1,984,797
2019-02-15 13G VYGR / Voyager Therapeutics, Inc. 1,985,674
2019-02-15 13G P / Pandora Media, Inc. 14,946,752
2019-02-15 13G ORBC / Orbcomm Inc 5,560,469
2019-02-15 13G US28470R1023 / Eldorado Resorts, Inc. 5,146,301
2019-02-15 13G/A AEGG / American Energy Group Ltd 3,780,483
2019-02-15 13G CLRB / Cellectar Biosciences, Inc. 325,253
2019-02-15 13G/A EDD / Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. 3,504,278
2019-02-15 13G PLRM / Pilgrim Bancshares, Inc. 223,494
2019-02-15 13G BBDC / Barings BDC, Inc. 2,719,618
2019-02-15 13G/A JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 714,243
2019-02-15 13G WMC / Western Asset Mortgage Capital Corp 2,823,143
2019-02-15 13G/A EVGN / Evogene Ltd. 1,330,174 1,372,414
2019-02-15 13G/A ZG / Zillow Group, Inc. 9,227,856
2019-02-15 13G/A US95790J1025 / Western Asset Corporate Loan Fund Inc. 555,216 635,706
2019-02-15 13G CPSS / Consumer Portfolio Services, Inc. 1,989,848
2019-02-15 13G/A STKL / SunOpta Inc. 6,500,572
2019-02-15 13G MTW / The Manitowoc Company, Inc. 1,987,387
2019-02-15 13G WBT / Welbilt Inc 10,129,874
2019-02-15 13G NWHM / New Home Company Inc (The) 1,969,378
2019-02-15 13G FLMN / Falcon Minerals Corp - Class A 4,252,812
2019-02-15 13G PRQR / ProQR Therapeutics N.V. 2,079,315
2019-02-15 13G/A US2243991054 / Crane Co. 4,885,264 4,715,335
2019-02-15 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 709,673 608,228
2019-02-14 13G ACHV / Achieve Life Sciences, Inc. 453,012
2019-02-14 13G VIVE / Viveve Medical, Inc. 2,333,650
2019-02-14 13G KYN.PRF / Kayne Anderson MLP Investment Co., 3.50% Series F Redeemable Preferred Shares 263,615
2019-02-14 13G/A BCV / Bancroft Fund Ltd. 318,831
2019-02-14 13G ACHV / Achieve Life Sciences, Inc. 453,012
2019-02-14 13G ALIM / Alimera Sciences, Inc. 4,900,534
2019-02-14 13G/A BIT / BlackRock Multi-Sector Income Trust 2,659,210 2,768,190
2019-02-14 13G ATRS / Antares Pharma Inc 13,137,018
2019-02-08 13G HFBC / HopFed Bancorp, Inc. 692,400
2019-01-23 13G THC / Tenet Healthcare Corporation 12,496,825
2019-01-11 13G BBI / Brickell Biotech Inc 2,320,987
2019-01-11 13G VLRX / Valeritas, Inc. 15,476,860
2019-01-11 13G NES / Nuverra Environmental Solutions Inc 6,930,051
2019-01-11 13G HABK / Hamilton Bancorp, Inc. 342,236
2019-01-10 13G/A AFB / AllianceBernstein National Municipal Income Fund, Inc. 0
2018-10-10 13G ANCB / Anchor Bancorp 268,333
2018-09-10 13G SAVA / Cassava Sciences, Inc. 2,186,540
2018-09-10 13G/A FTF / Franklin Limited Duration Income Trust 0
2018-06-11 13G IPCI / Intellipharmaceutics International Inc. 6,997,678
2018-06-11 13G ISEE / IVERIC bio Inc 3,681,736
2018-05-25 13G GGT / The Gabelli Multimedia Trust Inc.
2018-02-28 13G/A MAV / Pioneer Municipal High Income Advantage Fund, Inc. 0
2018-02-28 13G/A XPMAX / Pioneer Municipal High Income A 0
2018-02-28 13G/A MHI / Pioneer Municipal High Income Fund, Inc. 0
2018-02-14 13G AEGG / American Energy Group Ltd 3,780,483
2018-02-14 13G ZG / Zillow Group, Inc. 9,227,856
2018-02-13 13G US95790J1025 / Western Asset Corporate Loan Fund Inc. 555,216
2018-02-13 13G JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 714,243
2018-02-13 13G/A PACB / Pacific Biosciences of California, Inc. 5,825,792
2018-02-13 13G/A STKL / SunOpta Inc. 6,500,572
2018-02-13 13G HTD / John Hancock Tax-Advantaged Dividend Income Fund 1,984,797
2018-02-13 13G/A ESD / Western Asset Emerging Market Debt Fund, Inc. 1,612,861
2018-02-13 13G SQFL / SQL Technologies Corp 1,574,672
2018-02-13 13G/A BCV / Bancroft Fund Ltd. 310,518 318,831
2018-02-13 13G/A VGI / Virtus Global Multi-Sector Income Fund 639,329
2018-02-13 13G/A US2243991054 / Crane Co. 4,767,033 4,885,264
2018-02-13 13G/A CEQP / Crestwood Equity Partners LP - Unit 4,070,611
2018-02-13 13G/A ECF / Ellsworth Growth and Income Fund Ltd. 850,722 835,718
2018-02-13 13G/A PRXL / PAREXEL International Corp. 3,182,376
2018-02-13 13G/A ARDC / Ares Dynamic Credit Allocation Fund, Inc. 1,183,731
2018-02-13 13G BIT / BlackRock Multi-Sector Income Trust 2,659,210
2018-02-13 13G/A / BlackRock Municipal 2020 Term Trust 0
2018-02-13 13G/A CAR / Avis Budget Group, Inc. 5,753,365
2018-02-13 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 746,445 709,673
2018-02-13 13G/A TRUE / TrueCar, Inc. 6,800,844 5,147,504
2018-02-13 13G EVGN / Evogene Ltd. 1,330,174
2018-02-13 13G EDD / Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. 3,504,278
2018-02-09 13G CYOU / Changyou.com, Ltd. 2,975,566
2018-02-09 13G/A STAR / iStar Inc 3,801,783 5,484,783
2018-02-09 13G XISDX / Prudential Short Duration High 3,541,467
2017-12-05 13G/A / BlackRock Municipal 2020 Term Trust 553
2017-02-07 13G/A GID / GI DYNAMICS, INC.
2017-02-07 13G/A CLI / Mack-Cali Realty Corp.
2017-02-07 13G STKL / SunOpta Inc. 5,708,968
2017-02-07 13G STAR / iStar Inc 3,801,783
2017-02-07 13G/A CQP / Cheniere Energy Partners, L.P. - Limited Partnership
2017-02-07 13G PRXL / PAREXEL International Corp. 3,182,376
2017-02-07 13G PACB / Pacific Biosciences of California, Inc. 5,825,792
2017-02-07 13G CAR / Avis Budget Group, Inc. 5,753,365
2017-02-07 13G STKL / SunOpta Inc. 5,708,968
2017-02-07 13G CPPL / Columbia Pipeline Partners LP 2,951,711
2017-02-07 13G/A ECF / Ellsworth Growth and Income Fund Ltd. 788,245 850,722
2017-02-07 13G CEQP / Crestwood Equity Partners LP - Unit 4,070,611
2017-02-07 13G ARDC / Ares Dynamic Credit Allocation Fund, Inc. 1,183,731
2017-02-07 13G ESD / Western Asset Emerging Market Debt Fund, Inc. 1,612,861
2017-02-07 13G VGI / Virtus Global Multi-Sector Income Fund 639,329
2017-02-07 13G 45031U901 / iStar Financial Inc.
2017-02-07 13G/A TRUE / TrueCar, Inc. 6,593,147 6,800,844
2017-02-07 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 579,066 746,445
2017-02-07 13G/A APO / Apollo Global Management, Inc.
2017-02-07 13G/A US2243991054 / Crane Co. 3,728,396 4,767,033
2017-02-07 13G/A BCV / Bancroft Fund Ltd. 288,715 310,518
2017-02-07 13G/A US30053M1045 / Sanchez Midstream Partners LP 175,242
2017-02-07 13G/A 00B5T6W85 / GI Dynamics Inc 30,500,000
2017-02-07 13G/A MHY / Western Asset Managed High Income Fund. 2,383,473
2017-02-07 13G/A CNX / CNX Resources Corporation 12,172,220
2017-02-07 13G/A MTGE / American Capital Mortgage Investment Corp.
2017-02-07 13G/A / BlackRock Municipal 2020 Term Trust 920 553
2016-10-03 13G/A EVF / Eaton Vance Senior Income Trust 1,022
2016-10-03 13G/A EFR / Eaton Vance Senior Floating-Rate Trust 1,973
2016-10-03 13G/A XEFRX / Eaton Vance Senior Floating Rat 1,973
2016-10-03 13G/A EVF / Eaton Vance Senior Income Trust 619,167 1,022
2016-03-14 13G/A PFN / PIMCO Income Strategy Fund II
2016-03-14 13G SBI / Western Asset Intermediate Muni Fund Inc.
2016-03-14 13G MMU / Western Asset Managed Municipals Fund Inc. 168
2016-03-14 13G/A XPFNX / PIMCO Income Strategy Fund II 1
2016-03-14 13G/A PHK / PIMCO High Income Fund 1,637
2016-03-14 13G/A PCN / PIMCO Corporate & Income Strategy Fund 475
2016-03-10 13G/A PFL / PIMCO Income Strategy Fund 355
2016-03-10 13G/A XPFLX / PIMCO Income Strategy Fund 355 355
2016-03-09 13G/A CQP / Cheniere Energy Partners, L.P. - Limited Partnership 2,855,220
2016-03-09 13G/A MTGE / American Capital Mortgage Investment Corp. 2,581,408
2016-03-09 13G/A APO / Apollo Global Management, Inc. 10,226,989
2016-03-02 13G/A CEV / Eaton Vance California Municipal Income Trust 0
2016-03-02 13G/A EVJ / Eaton Vance New Jersey Municipal Income Trust 0
2016-03-02 13G/A MMV / MultiMetaVerse Holdings Limited 0
2016-03-02 13G/A EMI / Eaton Vance Michigan Municipal Income Trust 0
2016-03-02 13G/A EVP / Eaton Vance Pennsylvania Municipal Income Trust 0
2016-03-02 13G/A EVO / Evotec SE - Depositary Receipt (Common Stock) 0
2016-03-02 13G/A US27826W1045 / Eaton Vance New York Municipal Income Trust 0
2016-03-02 13G/A EOT / Eaton Vance National Municipal Opportunities Trust 0
2016-02-12 13G/A PFL / PIMCO Income Strategy Fund 355
2016-02-12 13G/A / BlackRock Municipal 2020 Term Trust 920
2016-02-12 13G/A XPFLX / PIMCO Income Strategy Fund 355
2016-02-12 13G/A PFN / PIMCO Income Strategy Fund II
2016-02-10 13G GID / GI DYNAMICS, INC. 30,500,000
2016-02-10 13G/A IGI / Western Asset Investment Grade Opportunity Trust Inc. 579,066
2016-02-10 13G 00B5T6W85 / GI Dynamics Inc 30,500,000
2016-02-09 13G CQP / Cheniere Energy Partners, L.P. - Limited Partnership 2,855,220
2016-02-09 13G US2243991054 / Crane Co. 3,728,396
2016-02-09 13G ECF / Ellsworth Growth and Income Fund Ltd. 788,245
2016-02-09 13G BCV / Bancroft Fund Ltd. 288,715
2016-02-09 13G US30053M1045 / Sanchez Midstream Partners LP 175,242
2016-02-09 13G MHY / Western Asset Managed High Income Fund. 2,383,473
2016-02-09 13G MTGE / American Capital Mortgage Investment Corp. 2,581,408
2016-02-09 13G APO / Apollo Global Management, Inc. 10,226,989
2016-02-09 13G TRUE / TrueCar, Inc. 6,593,147
2016-02-09 13G CNX / CNX Resources Corporation 12,172,220
2016-02-03 13G/A MWE / MarkWest Energy Partners, LP 0
2016-02-03 13G/A TOUR / Tuniu Corporation - Depositary Receipt (Common Stock) 3,323
2016-02-03 13G/A SUN / Sunoco LP - Limited Partnership
2016-02-03 13G/A VGI / Virtus Global Multi-Sector Income Fund
2016-02-03 13G/A ATHM / Autohome Inc. - Depositary Receipt (Common Stock) 119,269
2016-02-03 13G/A BTCM / BIT Mining Limited - Depositary Receipt (Common Stock)
2016-02-03 13G/A OFS / OFS Capital Corporation 191,537
2016-02-03 13G/A HLF / Herbalife Ltd. 145,035
2015-12-16 13G/A EIP / Eaton Vance Pennsylvania Municipal Bond Fund 0
2015-12-16 13G/A EIO / Eaton Vance Ohio Municipal Bond Fund 0
2015-12-16 13G/A NYH / Eaton Vance New York Municipal Bond Fund II 7,681 0
2015-12-16 13G/A EMJ / Eaton Vance New Jersey Municipal Bond Fund 5,140 0
2015-12-16 13G/A MIW / Eaton Vance Michigan Municipal Bond Fund 0
2015-12-16 13G/A MAB / Eaton Vance Massachusetts Municipal Bond Fund 0
2015-12-16 13G/A EIA / Eaton Vance California Municipal Bond Fund II 0
2015-12-16 13G/A EIV / Eaton Vance Municipal Bond Fund II 13,442 0
2015-12-07 13G/A AFB / AllianceBernstein National Municipal Income Fund, Inc.
2015-12-07 13G/A AKP / Alliance California Municipal Income Fund, Inc. 28,805 351
2015-09-02 13D/A OUBS / 3,768,288,084 3,858,408,466
2015-08-26 13G/A XAYNX / Alliance New York Municipal Inc 0
2015-06-10 13G/A PTY / Partway Group Plc 3,242
2015-05-28 13D/A OUBS / 3,753,957,042 3,768,288,084
2015-05-07 13D OUBS / 3,753,957,042
2015-04-10 13G MNP / Western Asset Municipal Partners Fund Inc
2015-01-23 13G/A BPK / BlackRock Municipal 2018 Term Trust
2015-01-21 13G TRLA / 2,650,728
2015-01-21 13G MWE / MarkWest Energy Partners, LP 11,287,051
2015-01-21 13G OFS / OFS Capital Corporation 524,176
2015-01-21 13G ZG / Zillow Group, Inc. 1,804,639
2015-01-21 13G SUN / Sunoco LP - Limited Partnership 1,287,456
2015-01-21 13G IGI / Western Asset Investment Grade Opportunity Trust Inc. 794,273
2015-01-21 13G ATHM / Autohome Inc. - Depositary Receipt (Common Stock) 3,597,363
2015-01-21 13G BTCM / BIT Mining Limited - Depositary Receipt (Common Stock)
2015-01-21 13G HLF / Herbalife Ltd. 5,871,468
2015-01-21 13G/A BOI / Brookfield Mortgage Opportunity Income Fund Inc. 1,116,050
2015-01-21 13G TOUR / Tuniu Corporation - Depositary Receipt (Common Stock)
2015-01-21 13G/A VGI / Virtus Global Multi-Sector Income Fund 978,898
2015-01-05 13G/A BPK / BlackRock Municipal 2018 Term Trust 0
2014-12-02 13G/A EIO / Eaton Vance Ohio Municipal Bond Fund 405
2014-12-02 13G/A MHI / Pioneer Municipal High Income Fund, Inc.
2014-12-02 13G/A PNF / PIMCO New York Municipal Income Fund
2014-12-02 13G/A EVF / Eaton Vance Senior Income Trust
2014-12-02 13G/A PNI / PIMCO New York Municipal Income Fund II
2014-12-02 13G/A MAV / Pioneer Municipal High Income Advantage Fund, Inc.
2014-12-02 13G/A EFR / Eaton Vance Senior Floating-Rate Trust
2014-12-02 13G/A EVO / Evotec SE - Depositary Receipt (Common Stock) 531
2014-12-02 13G/A EIP / Eaton Vance Pennsylvania Municipal Bond Fund 347
2014-12-02 13G/A EVP / Eaton Vance Pennsylvania Municipal Income Trust 235
2014-12-02 13G/A PYN / PIMCO New York Municipal Income Fund III
2014-12-02 13G/A PMX / PIMCO Municipal Income Fund III
2014-12-02 13G/A PMF / PIMCO Municipal Income Fund
2014-12-02 13G/A PHK / PIMCO High Income Fund
2014-12-02 13G/A PCN / PIMCO Corporate & Income Strategy Fund 475
2014-12-02 13G/A FTF / Franklin Limited Duration Income Trust 593
2014-12-02 13G/A PML / PIMCO Municipal Income Fund II
2014-12-02 13G/A PCK / PIMCO California Municipal Income Fund II
2014-12-02 13G/A PFL / PIMCO Income Strategy Fund 355
2014-12-02 13G/A PFN / PIMCO Income Strategy Fund II
2014-12-02 13G/A PZC / PIMCO California Municipal Income Fund III
2014-12-02 13G/A PTY / Partway Group Plc
2014-12-02 13G/A PCQ / PIMCO California Municipal Income Fund
2014-12-02 13G/A EIV / Eaton Vance Municipal Bond Fund II 918
2014-12-02 13G/A EVV / Eaton Vance Limited Duration Income Fund
2014-12-02 13G/A NYH / Eaton Vance New York Municipal Bond Fund II 201
2014-12-02 13G/A AKP / Alliance California Municipal Income Fund, Inc. 351
2014-12-02 13G/A EOT / Eaton Vance National Municipal Opportunities Trust
2014-12-02 13G/A EMJ / Eaton Vance New Jersey Municipal Bond Fund 446
2014-12-02 13G/A EVJ / Eaton Vance New Jersey Municipal Income Trust 554
2014-12-02 13G/A MIW / Eaton Vance Michigan Municipal Bond Fund 283
2014-12-02 13G/A MMV / MultiMetaVerse Holdings Limited 419
2014-12-02 13G/A DMF / BNY Mellon Municipal Income, Inc. 825
2014-12-02 13G/A NCZ / Virtus Convertible & Income Fund II 5,636
2014-12-02 13G/A / BlackRock Municipal 2020 Term Trust 1,078
2014-12-02 13G/A EMI / Eaton Vance Michigan Municipal Income Trust 257
2014-12-02 13G/A XAYNX / Alliance New York Municipal Inc
2014-12-02 13G/A EIA / Eaton Vance California Municipal Bond Fund II 586
2014-12-02 13G/A LEO / BNY Mellon Strategic Municipals, Inc.
2014-12-02 13G/A AFB / AllianceBernstein National Municipal Income Fund, Inc. 1,049
2014-12-02 13G/A BOI / Brookfield Mortgage Opportunity Income Fund Inc. 1,137,034
2014-12-02 13G/A VGI / Virtus Global Multi-Sector Income Fund 1,031,160
2014-12-02 13G/A BSL / Blackstone Senior Floating Rate 2027 Term Fund 239,079
2014-12-02 13G/A US27826W1045 / Eaton Vance New York Municipal Income Trust 461
2014-12-01 13G/A CEV / Eaton Vance California Municipal Income Trust 651
2014-12-01 13G/A DSM / BNY Mellon Strategic Municipal Bond Fund, Inc. 1,487
2014-12-01 13G/A NCV / Virtus Convertible & Income Fund 8,056
2014-12-01 13G/A MAB / Eaton Vance Massachusetts Municipal Bond Fund 399
2014-12-01 13G/A BPK / BlackRock Municipal 2018 Term Trust 184