| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 04/12/2017 | NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC | NRO | Other (disposition) | Series A Mandatory Redeemable Preferred Stock | 40 | $125.00 | $5k | By SUN LIFE FINANCIAL INC. | 04/12/2017 |
| 04/12/2017 | NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC | NRO | Other (disposition) | Series A Mandatory Redeemable Preferred Stock | 160 | $125.00 | $20k | By SUN LIFE FINANCIAL INC. | 04/12/2017 |
| 09/07/2016 | Kayne Anderson Energy Total Return Fund, Inc. | KYE | Other (disposition) | Series A Mandatory Redeemable Preferred Stock | 266.7k | $25.02 | $6.7M | By Sun Life Assurance Co of Canada | 09/07/2016 |
| 12/24/2015 | Kayne Anderson Energy Total Return Fund, Inc. | KYE | Other (disposition) | Series A Mandatory Redeemable Preferred Shares | 66.7k | $25.50 | $1.7M | By Sun Life Assurance Company of Canada | 12/04/2015 |
| 12/04/2015 | Kayne Anderson Energy Total Return Fund, Inc. | KYE | Other (disposition) | Series A Mandatory Redeemable Preferred Shares | 266.7k | $25.50 | $6.8M | By Sun Life Assurance Company of Canada | 12/04/2015 |
| 11/24/2015 | Kayne Anderson NextGen Energy & Infrastructure, Inc. | KMF | Other (disposition) | Series A Mandatory Redeemable Preferred Shares | 560k | $25.50 | $14.3M | By Sun Life Assurance Company of Canada | 11/24/2015 |
| 08/02/2013 | Kayne Anderson NextGen Energy & Infrastructure, Inc. | KMF | Sale | Series A Mandatory Redeemable Preferred Shares | 40k | $0.00 | $0 | By Sun Life Assurance Company of Canada | 08/02/2013 |
| 08/02/2013 | NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC | NRO | Sale | 4.00% Mandatory Redeemable Preferred Shares due 09/14/2017 | 800 | $0.00 | $0 | See footnote. | 07/31/2013 |
| 08/02/2013 | Tortoise Midstream Energy Fund, Inc. | NTG | Other (disposition) | 2.48% Senior Notes Series A due Dec. 15, 2013 | 10M | $0.00 | $0 | See footnote | 07/31/2013 |
| 08/02/2013 | Tortoise Midstream Energy Fund, Inc. | NTG | Sale | 4.29% Senior Notes Series D due Dec. 15, 2020 | 1000k | $0.00 | $0 | By Sun Life Assurance Company of Canada | 08/02/2013 |
| 07/31/2013 | Tortoise Midstream Energy Fund, Inc. | NTG | Other (acquisition) | 4.29% Senior Notes Series D due Dec. 15, 2020 | 1000k | $1,079,960.00 | $1079960M | See footnote. | 07/31/2013 |
| 07/31/2013 | Tortoise Midstream Energy Fund, Inc. | NTG | Other (acquisition) | 4.29% Senior Notes Series D due 12/15/2020 | 1000k | $1,079,960.00 | $1079960M | See footnote. | 07/31/2013 |
| 07/31/2013 | NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC | NRO | Other (acquisition) | 4.00% Mandatory Redeemable Preferred Shares due 09/14/2017 | 40 | $1,060,000.00 | $42.4M | See footnote. | 07/31/2013 |