| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 01/27/2023 | CENTRAL & EASTERN EUROPE FUND, INC. | CEE | Other (acquisition) | Common Stock | 11.82 | $9.15 | $108.2 | | 01/27/2023 |
| 01/27/2023 | EUROPEAN EQUITY FUND, INC / MD | EEA | Other (acquisition) | Common Stock | 24.7 | $8.47 | $209.3 | | 01/27/2023 |
| 06/24/2022 | NEW GERMANY FUND INC | GF | Other (acquisition) | Common Stock | 1.1k | $8.78 | $9.5k | | 06/24/2022 |
| 06/24/2022 | EUROPEAN EQUITY FUND, INC / MD | EEA | Other (acquisition) | Common Stock | 130.69 | $7.29 | $952.2 | | 06/24/2022 |
| 01/28/2022 | EUROPEAN EQUITY FUND, INC / MD | EEA | Other (acquisition) | Common Stock | 174.1 | $9.60 | $1.7k | | 01/28/2022 |
| 01/28/2022 | CENTRAL & EASTERN EUROPE FUND, INC. | CEE | Other (acquisition) | Common Stock | 17.94 | $23.23 | $416.7 | | 01/28/2022 |
| 06/25/2021 | NEW GERMANY FUND INC | GF | Other (acquisition) | Common Stock | 425.51 | $20.38 | $8.7k | | 06/25/2021 |
| 01/28/2021 | NEW GERMANY FUND INC | GF | Other (acquisition) | Common Stock | 77.88 | $19.74 | $1.5k | | 01/28/2021 |
| 01/28/2021 | CENTRAL & EASTERN EUROPE FUND, INC. | CEE | Other (acquisition) | Common Stock | 16.26 | $23.80 | $387 | | 01/28/2021 |
| 01/28/2021 | NEW GERMANY FUND INC | GF | Other (acquisition) | Common Stock | 901.52 | $19.74 | $17.8k | | 01/28/2021 |
| 06/25/2020 | NEW GERMANY FUND INC | GF | Other (acquisition) | Common Stock | 187.1 | $14.94 | $2.8k | | 06/25/2020 |
| 06/25/2020 | EUROPEAN EQUITY FUND, INC / MD | EEA | Other (acquisition) | Common Stock | 16.77 | $8.31 | $139.4 | | 06/25/2020 |
| 06/25/2020 | NEW GERMANY FUND INC | GF | Other (acquisition) | Common Stock | 16.16 | $14.94 | $241.4 | | 06/25/2020 |
| 05/20/2020 | NEW GERMANY FUND INC | GF | Purchase | Common Stock | 7.5k | $13.66 | $102.4k | | 05/20/2020 |
| 01/30/2020 | NEW GERMANY FUND INC | GF | Other (acquisition) | Anjie LaRocca | 10 | $15.63 | $156.3 | | 01/30/2020 |
| 01/30/2020 | CENTRAL & EASTERN EUROPE FUND, INC. | CEE | Other (acquisition) | Common Stock | 22 | $27.73 | $610.1 | | 01/30/2020 |
| 01/30/2020 | EUROPEAN EQUITY FUND, INC / MD | EEA | Other (acquisition) | Common Stock | 26 | $9.55 | $248.3 | | 01/30/2020 |
| 11/05/2019 | CENTRAL & EASTERN EUROPE FUND, INC. | CEE | Purchase | Common Stock | 200 | $28.00 | $5.6k | | 11/05/2019 |
| 11/05/2019 | NEW GERMANY FUND INC | GF | Purchase | Common Stock | 700 | $14.79 | $10.4k | | 11/04/2019 |
| 11/04/2019 | CENTRAL & EASTERN EUROPE FUND, INC. | CEE | Purchase | Common Stock | 200 | $28.00 | $5.6k | | 11/04/2019 |
| 11/04/2019 | EUROPEAN EQUITY FUND, INC / MD | EEA | Purchase | Common Stock | 1.1k | $9.20 | $10.1k | | 11/04/2019 |
| 09/05/2017 | ZAIS Group Holdings, Inc. | ZAIS | Purchase | Class A Common Stock | 6.5M | $4.10 | $26.6M | Note | 03/17/2015 |
| 09/05/2017 | ZAIS Group Holdings, Inc. | ZAIS | Purchase | Class A Common Stock | 6.5M | $4.00 | $26M | Note | 09/05/2017 |
| 10/25/2016 | Ready Capital Corp | RC | Disposition | Common Stock | 78k | $15.37 | $1.2M | | 10/25/2016 |
| 10/25/2016 | Ready Capital Corp | RC | Disposition | Common Stock | 7.4k | $15.37 | $113.9k | By Spouse | 10/25/2016 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Purchase | Class A Common Stock | 100k | $0.01 | $590 | | 09/05/2017 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Grant | Class A Units of ZAIS Group Parent, LLC | 700k | $0.00 | $0 | Note | 03/17/2015 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Grant | Class A Units of ZAIS Group Parent, LLC | 525k | $0.00 | $0 | Note | 03/17/2015 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Grant | Class A Units of ZAIS Group Parent, LLC | 1M | $0.00 | $0 | Note | 03/17/2015 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Grant | Class A Units of ZAIS Group Parent, LLC | 3.3M | $0.00 | $0 | | 03/17/2015 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Purchase | Class A Common Stock | 25k | $0.01 | $147.5 | Note | 03/17/2015 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Purchase | Class A Common Stock | 37.5k | $0.01 | $221.2 | Note | 03/17/2015 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Purchase | Class A Common Stock | 100k | $0.01 | $590 | | 03/17/2015 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Purchase | Class A Common Stock | 100k | $0.01 | $590 | | 03/17/2015 |
| 03/17/2015 | ZAIS Group Holdings, Inc. | ZAIS | Purchase | Class A Common Stock | 37.5k | $0.01 | $221.2 | Note | 03/17/2015 |
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