| Jan 18, 2022 | NBW | Neuberger Berman California Municipal Fund Inc. | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 8.7% | 485K |
| Jan 18, 2022 | FDEU | — | Allspring Global Investments Holdings, LLC (b) Tax ID 36-4863445 | 13G/A | 21.0% | 3.6M |
| Jan 18, 2022 | MMU | Western Asset Managed Municipals Fund Inc. | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G | 5.9% | 2.5M |
| Jan 18, 2022 | MHI | Pioneer Municipal High Income Fund, Inc. | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 14.3% | 3.3M |
| Jan 18, 2022 | JHS | John Hancock Income Securities Trust | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 11.7% | 1.4M |
| Jan 18, 2022 | ABMD | — | Baillie Gifford & Co (Scottish partnership) | 13G/A | 8.4% | 3.8M |
| Jan 18, 2022 | JHI | John Hancock Investors Trust | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G | 7.8% | 677K |
| Jan 18, 2022 | ZUMZ | Zumiez Inc. | Thomas D. Campion | 13G/A | 4.4% | 1.0M |
| Jan 18, 2022 | ZUMZ | Zumiez Inc. | Richard M. Brooks | 13G/A | 11.2% | 2.6M |
| Jan 18, 2022 | INSI | Insight Select Income Fund | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 18.6% | 2.0M |
| Jan 18, 2022 | FRA | BlackRock Floating Rate Income Strategies Fund, Inc. | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 7.0% | 2.5M |
| Jan 18, 2022 | FMN | Federated Hermes Premier Municipal Income Fund | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 17.1% | 2.0M |
| Jan 18, 2022 | EVM | Eaton Vance California Municipal Bond Fund | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 14.1% | 3.5M |
| Jan 18, 2022 | ERC | Allspring Multi-Sector Income Fund | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 7.3% | 2.1M |
| Jan 18, 2022 | ENX | Eaton Vance New York Municipal Bond Fund | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 8.9% | 1.6M |
| Jan 18, 2022 | EFR | Eaton Vance Senior Floating-Rate Trust | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G/A | 5.9% | 1.7M |
| Jan 18, 2022 | BNY | BlackRock New York Municipal Income Trust | , I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451 | 13G | 5.1% | 1.3M |
| Jan 18, 2022 | CPA | — | Baillie Gifford & Co (Scottish partnership) | 13G/A | 15.0% | 4.7M |
| Jan 18, 2022 | CEE | — | Allspring Global Investments Holdings, LLC (b) Tax ID 36-4863445 | 13G/A | 11.5% | 713K |
| Jan 18, 2022 | RDUS | Radius Health, Inc. | BB Biotech AG | 13D/A | 17.4% | 8.3M |
| Jan 18, 2022 | FOXWU | FoxWayne Enterprises Acquisition Corp. | THE K2 Principal Fund, L.P. | 13G/A | 0.0% | 0 |
| Jan 18, 2022 | QUOT | Quotient Technology Inc. | Engaged Capital Flagship Master Fund, LP | 13D/A | 6.0% | 5.6M |
| Jan 18, 2022 | RCOR | Renovacor fka Chardan Healthcare Acquisition 2 Corp. | THE K2 Principal Fund, L.P. | 13G/A | 0.0% | 0 |
| Jan 18, 2022 | TSEM | Under the Securities Exchange Act of 1934 TOWER SEMICONDUCTOR LTD. | Clal Insurance Enterprises Holdings Ltd. | 13G | 5.2% | 5.6M |
| Jan 18, 2022 | N/AMay be a private fund, SPAC, or unlisted security | LATAM AIRLINES GROUP S.A. | Qatar Airways Group Q.C.S.C. | 13D/A | 10.0% | 60.6M |
| Jan 18, 2022 | AMSC | American Superconductor Corporation | Baillie Gifford & Co (Scottish partnership) | 13G | 5.3% | 1.5M |
| Jan 18, 2022 | BIRD | — | Baillie Gifford & Co (Scottish partnership) | 13G/A | 12.2% | 3.1M |
| Jan 18, 2022 | ALNY | — | Baillie Gifford & Co (Scottish partnership) | 13G/A | 8.9% | 10.6M |
| Jan 18, 2022 | ADAP | — | Baillie Gifford & Co (Scottish partnership) | 13G/A | 8.8% | 82.5M |
| Jan 18, 2022 | TXG | 10x Genomics, Inc. | Baillie Gifford & Co (Scottish partnership) | 13G | 7.5% | 6.9M |
| Jan 18, 2022 | ZENV | Zenvia Inc. | TCH Ivory Limited | 13G | 5.5% | 967K |
| Jan 18, 2022 | N/AMay be a private fund, SPAC, or unlisted security | VYCOR MEDICAL, INC. | Fountainhead Capital Management Limited | 13D/A | 59.9% | 18.7M |
| Jan 18, 2022 | CBIO | CATALYST BIOSCIENCES INC | Assenagon S.A., Assenagon Asset Management S.A. | 13G | 0.0% | 0 |
| Jan 18, 2022 | CBIO | CATALYST BIOSCIENCES INC | Assenagon S.A., Assenagon Asset Management S.A. | 13G | 6.0% | 1.9M |
| Jan 18, 2022 | SY | So-Young International Inc. | Hui Shao | 13G/A | 15.3% | 12.9M |
| Jan 15, 2022 | VISL | ____________Vislink Technologies, Inc.____________ | Debbie Hantash S.S. or I.R.S. Identification No. of Above Persons Not Applicable | 13G | 5.0% | 2.3M |
| Jan 15, 2022 | N/AMay be a private fund, SPAC, or unlisted security | FLUX POWER HOLDINGS, INC. | Esenjay Investments, LLC | 13D/A | 28.1% | 4.5M |
| Jan 14, 2022 | N/AMay be a private fund, SPAC, or unlisted security | OneSmart International Group Limited | Keenan Capital, LLC | 13G/A | 0.0% | 0 |
| Jan 14, 2022 | DWSN | DAWSON GEOPHYSICAL COMPANY | Dan Wilks | 13D/A | 8.9% | 2.1M |
| Jan 14, 2022 | VSAC | Vision Sensing Acquisition Corp. | Feis Equities LLC | 13G/A | 4.5% | 476K |
| Jan 14, 2022 | CITE | Cartica Acquisition Corp | Cartica Acquisition Partners, LLC. 86-1872892 | 13D | 19.0% | 5.5M |
| Jan 14, 2022 | MDVL | MedAvail Holdings, Inc. | Redmile Group, LLC | 13D/A | 34.3% | 11.4M |
| Jan 14, 2022 | PLPC | PREFORMED LINE PRODUCTS COMPANY | Third Restatement of Barbara P. Ruhlman Trust Agreement, dated November 20, 2008 | 13D/A | 12.3% | 604K |
| Jan 14, 2022 | N/AMay be a private fund, SPAC, or unlisted security | Nutra Pharma Corp. | Rik J. Deitsch | 13D/A | 62.3% | 55.3M |
| Jan 14, 2022 | NDSN | NORDSON CORPORATION | Jane B. Nord | 13G/A | 5.1% | 3.0M |
| Jan 14, 2022 | CXAC.U | C5 Acquisition Corporation | LINDEN CAPITAL L.P. | 13G | 4.9% | 1.4M |
| Jan 14, 2022 | N/AMay be a private fund, SPAC, or unlisted security | Siyata Mobile Inc. | Lind Global Fund II LP | 13G | 6.6% | 855K |
| Jan 14, 2022 | N/AMay be a private fund, SPAC, or unlisted security | Viscogliosi Brothers Acquisition Corp. | LINDEN CAPITAL L.P. | 13G | 8.1% | 607K |
| Jan 14, 2022 | AEL | American Equity Investment Life Holding Company | BROOKFIELD ASSET MANAGEMENT REINSURANCE PARTNERS LTD. | 13D/A | 16.0% | 15.9M |
| Jan 14, 2022 | N/AMay be a private fund, SPAC, or unlisted security | — | Costa Verde Aeronáutica S.A. | 13D/A | 16.4% | 99.4M |
