| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 01/19/2021 | MEDLEY MANAGEMENT INC. | MDLY | Conversion | Class A Common Stock | 1000k | $0.00 | $0 | By Sandy Point LLC | 01/19/2021 |
| 01/19/2021 | MEDLEY MANAGEMENT INC. | MDLY | Conversion | Medley LLC Units | 1000k | $0.00 | $0 | By Sandy Point LLC | 01/19/2021 |
| 10/28/2019 | PhenixFIN Corp | MCC | Sale | Common Stock, par value $0.001 per share | 6M | $0.00 | $0 | By Medley Seed Funding I LLC | 10/25/2019 |
| 10/25/2019 | PhenixFIN Corp | MCC | Sale | Common Stock, par value $0.001 per share | 1.8M | $0.00 | $0 | By Medley Seed Funding I LLC | 10/25/2019 |
| 06/20/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 153.7k | $6.34 | $974.7k | By Medley Seed Funding I LLC | 06/16/2017 |
| 06/19/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 95.7k | $6.39 | $611.8k | By Medley Seed Funding I LLC | 06/16/2017 |
| 06/16/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 162.2k | $6.32 | $1M | By Medley Seed Funding I LLC | 06/16/2017 |
| 06/15/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 162.2k | $6.26 | $1M | By Medley Seed Funding I LLC | 06/13/2017 |
| 06/14/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 143.5k | $6.24 | $895.6k | By Medley Seed Funding I LLC | 06/13/2017 |
| 06/13/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 162.2k | $6.26 | $1M | By Medley Seed Funding I LLC | 06/13/2017 |
| 06/07/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 195k | $6.09 | $1.2M | By Medley Seed Funding I LLC | 06/05/2017 |
| 06/06/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 195k | $6.06 | $1.2M | By Medley Seed Funding I LLC | 06/05/2017 |
| 06/05/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 195k | $6.08 | $1.2M | By Medley Seed Funding I LLC | 06/05/2017 |
| 06/02/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 169k | $6.12 | $1M | By Medley Seed Funding I LLC | 05/31/2017 |
| 06/01/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 169k | $6.14 | $1M | By Medley Seed Funding I LLC | 05/31/2017 |
| 06/01/2017 | Sierra Total Return Fund | SRNTX | Purchase | | 80k | $25.00 | $2M | By Medley Seed Funding II LLC | 06/01/2017 |
| 05/31/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 117.3k | $6.11 | $716.6k | By Medley Seed Funding I LLC | 05/31/2017 |
| 05/30/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 169k | $6.10 | $1M | By Medley Seed Funding I LLC | 05/25/2017 |
| 05/26/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 133.5k | $6.06 | $809k | By Medley Seed Funding I LLC | 05/25/2017 |
| 05/25/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 133.5k | $6.08 | $811.4k | By Medley Seed Funding I LLC | 05/25/2017 |
| 05/16/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 95k | $6.16 | $585.4k | By Medley Seed Funding I LLC | 05/12/2017 |
| 05/15/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 55.2k | $6.14 | $338.9k | By Medley Seed Funding I LLC | 05/12/2017 |
| 05/12/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 80k | $6.18 | $494k | By Medley Seed Funding I LLC | 05/12/2017 |
| 05/11/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 49.9k | $6.16 | $307.1k | By Medley Seed Funding I LLC | 05/09/2017 |
| 05/10/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 49.9k | $6.19 | $308.7k | By Medley Seed Funding I LLC | 05/09/2017 |
| 05/09/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 49.9k | $6.84 | $341.1k | By Medley Seed Funding I LLC | 05/09/2017 |
| 03/17/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 11.7k | $7.50 | $87.4k | By Medley Seed Funding I LLC | 03/16/2017 |
| 03/16/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 400 | $7.50 | $3k | By Medley Seed Funding I LLC | 03/16/2017 |
| 03/09/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 76.8k | $7.47 | $574.4k | By Medley Seed Funding I LLC | 03/07/2017 |
| 03/08/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 3.1k | $7.50 | $23.1k | By Medley Seed Funding I LLC | 03/07/2017 |
| 03/07/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 37.8k | $7.50 | $283.1k | By Medley Seed Funding I LLC | 03/07/2017 |
| 02/01/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 14.8k | $7.49 | $111.1k | By Medley Seed Funding I LLC | 01/30/2017 |
| 01/31/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 63.9k | $7.48 | $478.2k | By Medley Seed Funding I LLC | 01/30/2017 |
| 01/30/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 27.9k | $7.50 | $209.3k | By Medley Seed Funding I LLC | 01/30/2017 |
| 12/30/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 16.1k | $7.45 | $119.8k | By Medley Seed Funding I LLC | 12/30/2016 |
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