| Stock | Role | Class | Num Shares | Value | Price $ | Report Date | Ownership |
|---|---|---|---|---|---|---|---|
| BNY Mellon Alcentra Global Credit Income 2024 Target Term Fund, Inc. | Co-CIO of Sub-Adviser | Common Stock, Par Value $0.001 Per Share | 0 | 01 Sep 2021 | Direct | ||
| BNY Mellon Alcentra Global Multi-Strategy Credit Fund, Inc. | Co-CIO of Sub-Adviser | Common Stock, Par Value $0.001 Per Share | 0 | 01 Sep 2021 | Direct | ||
| BNY Mellon Alcentra Opportunistic Global Credit Income Fund | Co-CIO of Sub-Adviser | Institutional Shares of Beneficial Interest | 0 | 06 Oct 2021 | Direct | ||
| FIRST TRUST HIGH INCOME LONG/SHORT FUND | Officer-Investment Advisor | Common Shares | 0 | 31 Oct 2020 | Direct |
| Symbol | Company | Period | Transactions | Value $ | Form Type | Role | Filing Time |
|---|---|---|---|---|---|---|---|
| NONE | BNY Mellon Alcentra Opportunistic Global Credit Income Fund | 06 Oct 2021 | 0 | $0 | 3 | Co-CIO of Sub-Adviser | 06 Oct 2021, 15:57 |
| NONE | BNY Mellon Alcentra Global Multi-Strategy Credit Fund, Inc. | 01 Sep 2021 | 0 | $0 | 3 | Co-CIO of Sub-Adviser | 04 Oct 2021, 14:33 |
| DCF | BNY Mellon Alcentra Global Credit Income 2024 Target Term Fund, Inc. | 01 Sep 2021 | 0 | $0 | 3 | Co-CIO of Sub-Adviser | 04 Oct 2021, 14:30 |
| FSD | FIRST TRUST HIGH INCOME LONG/SHORT FUND | 31 Oct 2020 | 0 | $0 | 5/A | Officer-Investment Advisor | 29 Sep 2021, 10:25 |