| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 01/19/2021 | MEDLEY MANAGEMENT INC. | MDLY | Conversion | Class A Common Stock | 450k | $0.00 | $0 | By Freedom 2021 LLC | 01/17/2021 |
| 01/19/2021 | MEDLEY MANAGEMENT INC. | MDLY | Conversion | Medley LLC Units | 450k | $0.00 | $0 | By Freedom 2021 LLC | 01/17/2021 |
| 01/18/2021 | MEDLEY MANAGEMENT INC. | MDLY | Other (acquisition) | Medley LLC Units | 500k | $0.00 | $0 | By Freedom 2021 LLC | 01/17/2021 |
| 01/17/2021 | MEDLEY MANAGEMENT INC. | MDLY | Other (disposition) | Medley LLC Units | 818.2k | $0.00 | $0 | By Trust | 01/17/2021 |
| 01/17/2021 | MEDLEY MANAGEMENT INC. | MDLY | Other (disposition) | Medley LLC Units | 90.9k | $0.00 | $0 | By LLC | 01/17/2021 |
| 01/17/2021 | MEDLEY MANAGEMENT INC. | MDLY | Other (disposition) | Medley LLC Units | 90.9k | $0.00 | $0 | By LLC | 01/17/2021 |
| 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 |
| 06/12/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 162.2k | $6.18 | $1M | By Medley Seed Funding I LLC | 06/08/2017 |
| 06/09/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 195k | $6.14 | $1.2M | By Medley Seed Funding I LLC | 06/08/2017 |
| 06/08/2017 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 195k | $6.15 | $1.2M | By Medley Seed Funding I LLC | 06/08/2017 |
| 06/01/2017 | Sierra Total Return Fund | SRNTX | Purchase | | 80k | $25.00 | $2M | By Medley Seed Funding II LLC | 06/01/2017 |
| 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 |
| 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 |
| 12/16/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 90.8k | $7.31 | $663.9k | By Medley Seed Funding I LLC | 12/14/2016 |
| 12/15/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 99.1k | $7.23 | $717.2k | By Medley Seed Funding I LLC | 12/14/2016 |
| 12/14/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 99.1k | $7.19 | $713k | By Medley Seed Funding I LLC | 12/14/2016 |
| 12/13/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 99.1k | $7.13 | $706.5k | By Medley Seed Funding I LLC | 12/09/2016 |
| 12/09/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 89.2k | $7.48 | $667.4k | By Medley Seed Funding I LLC | 12/09/2016 |
| 11/08/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 8k | $7.58 | $60.9k | By Medley Seed Funding I LLC | 11/07/2016 |
| 11/07/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 10.5k | $7.57 | $79.5k | By Medley Seed Funding I LLC | 11/07/2016 |
| 11/04/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 67.6k | $7.44 | $502.9k | By Medley Seed Funding I LLC | 11/02/2016 |
| 11/03/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 67.6k | $7.48 | $505.7k | By Medley Seed Funding I LLC | 11/02/2016 |
| 11/02/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 67.6k | $7.43 | $502.6k | By Medley Seed Funding I LLC | 11/02/2016 |
| 10/17/2016 | PhenixFIN Corp | MCC | Purchase | Common Stock, par value $0.001 per share | 2k | $7.59 | $15.2k | By Medley Seed Funding I LLC | 10/13/2016 |
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