organization · Reporting owner

MetLife Investment Management, LLC

Disclosed activity across 21 companies

Tapewire entity: 10232
SEC CIK: 0001529735

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ABRDN ASIA-PACIFIC INCOME FUND, INC.FAX · Entity 5334	10% owner	January 09, 2025	January 13, 2025
Angel Oak Financial Strategies Income Term TrustFINS · Entity 5597	10% owner	July 08, 2026	July 10, 2026
Blackstone Strategic Credit 2027 Term FundBGB · Entity 8998	10% owner	July 25, 2023	August 04, 2023
CALAMOS CONVERTIBLE & HIGH INCOME FUNDCHY · Entity 4947	10% owner	August 24, 2026	August 26, 2026
CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUNDCHI · Entity 4954	10% owner	August 24, 2026	August 26, 2026
CALAMOS STRATEGIC TOTAL RETURN FUNDCSQ · Entity 1296	10% owner	August 24, 2026	August 26, 2026
Calamos Dynamic Convertible & Income FundCCD · Entity 417	10% owner	August 24, 2026	August 26, 2026
Calamos Global Dynamic Income FundCHW · Entity 530	10% owner	August 26, 2026	August 26, 2026
Carlyle Tactical Private Credit FundTAKMX · Entity 35835	10% owner	March 11, 2026	March 23, 2026
DNP SELECT INCOME FUND INCDNP · Entity 4041	10% owner	July 22, 2026	July 24, 2026
Duff & Phelps Utility & Infrastructure Fund Inc.DPG · Entity 5444	10% owner	May 29, 2025	June 02, 2025
Kayne Anderson Energy Infrastructure Fund, Inc.KYN · Entity 4334	10% owner	September 01, 2026	September 04, 2026
Virtus Convertible & Income FundNCV · Entity 8885	10% owner	May 26, 2023	June 05, 2023
Virtus Convertible & Income Fund IINCZ · Entity 5978	10% owner	May 26, 2023	June 05, 2023
Virtus Diversified Income & Convertible FundACV · Entity 6061	10% owner	October 02, 2025	October 06, 2025
abrdn Income Credit Strategies FundACP · Entity 5307	10% owner	December 18, 2025	December 29, 2025

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ABRDN ASIA-PACIFIC INCOME FUND, INC.

Report date January 09, 2025 · Filed January 13, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivative	IndirectSee Footnotes	Not disclosed	Reported balance After 2025-01-09 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2025-01-09 · Purchase · Acquired 1,000,000 · Balance Not disclosed F1: This price reflects the aggregate principal amount of the 3.70% Series D Senior Secured Notes Due August 10, 2032 purchased. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivative	IndirectSee Footnotes	Not disclosed	Reported balance Holding disclosure · report date 2025-01-09 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance Not disclosed F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivative	IndirectSee Footnotes	Not disclosed	Reported balance Holding disclosure · report date 2025-01-09 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance Not disclosed F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivative	IndirectSee Footnotes	Not disclosed	Reported balance Holding disclosure · report date 2025-01-09 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance Not disclosed F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivative	IndirectSee Footnotes	Not disclosed	Reported balance Holding disclosure · report date 2025-01-09 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance Not disclosed F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivative	IndirectSee Footnotes	Not disclosed	Reported balance Holding disclosure · report date 2025-01-09 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance Not disclosed F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: This price reflects the aggregate principal amount of the 3.70% Series D Senior Secured Notes Due August 10, 2032 purchased.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Angel Oak Financial Strategies Income Term Trust

Report date July 08, 2026 · Filed July 10, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
5.364% Series C Senior Unsecured Notes due July 8, 2030SEC Table I · non-derivative	IndirectSee Footnotes	Not disclosed	Reported balance After 2026-07-08 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-07-08 · Purchase · Acquired 40,000,000 · Balance Not disclosed F1: This price reflects the aggregate principal amount of the 5.364% Series C Senior Unsecured Notes due July 8, 2030 purchased. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: This price reflects the aggregate principal amount of the 5.364% Series C Senior Unsecured Notes due July 8, 2030 purchased.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

Blackstone Strategic Credit 2027 Term Fund

Report date July 25, 2023 · Filed August 04, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series B Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	45,000	Reported balance Holding disclosure · report date 2023-07-25 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 45,000 F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

CALAMOS CONVERTIBLE & HIGH INCOME FUND

Report date August 24, 2026 · Filed August 26, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-08-24 · Other · Disposed 288,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2026-08-24 · Other · Disposed 144,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2026-08-24 · Other · Disposed 44,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2026-08-24 · Other · Disposed 44,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	96,000	Reported balance After 2026-08-26 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2026-08-26 · Purchase · Acquired 96,000 · Balance 96,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	134,400	Reported balance After 2026-08-26 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2026-08-26 · Purchase · Acquired 134,400 · Balance 134,400 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	16,000	Reported balance After 2026-08-26 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2026-08-26 · Purchase · Acquired 16,000 · Balance 16,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	43,600	Reported balance After 2026-08-26 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 8 · 2026-08-26 · Purchase · Acquired 43,600 · Balance 43,600 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND

Report date August 24, 2026 · Filed August 26, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-08-24 · Other · Disposed 36,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2026-08-24 · Other · Disposed 124,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2026-08-24 · Other · Disposed 36,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2026-08-24 · Other · Disposed 244,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	109,000	Reported balance After 2026-08-26 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2026-08-26 · Purchase · Acquired 109,000 · Balance 109,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	112,000	Reported balance After 2026-08-26 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2026-08-26 · Purchase · Acquired 112,000 · Balance 112,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	60,000	Reported balance After 2026-08-26 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2026-08-26 · Purchase · Acquired 60,000 · Balance 60,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	16,000	Reported balance After 2026-08-26 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 8 · 2026-08-26 · Purchase · Acquired 16,000 · Balance 16,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	48,000	Reported balance After 2026-08-26 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 9 · 2026-08-26 · Purchase · Acquired 48,000 · Balance 48,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

CALAMOS STRATEGIC TOTAL RETURN FUND

Report date August 24, 2026 · Filed August 26, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-08-24 · Other · Disposed 600,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities were held directly by a client for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F2: These securities were held directly by a client for whom the Reporting Person serves as investment manager.

Calamos Dynamic Convertible & Income Fund

Report date August 24, 2026 · Filed August 26, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-08-24 · Other · Disposed 36,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2026-08-24 · Other · Disposed 244,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2026-08-24 · Other · Disposed 124,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-08-24 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2026-08-24 · Other · Disposed 36,000 · Balance 0 F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	296,000	Reported balance After 2026-08-26 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2026-08-26 · Purchase · Acquired 296,000 · Balance 296,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	168,000	Reported balance After 2026-08-26 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2026-08-26 · Purchase · Acquired 168,000 · Balance 168,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	244,000	Reported balance After 2026-08-26 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2026-08-26 · Purchase · Acquired 244,000 · Balance 244,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	44,000	Reported balance After 2026-08-26 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 8 · 2026-08-26 · Purchase · Acquired 44,000 · Balance 44,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	128,000	Reported balance After 2026-08-26 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 9 · 2026-08-26 · Purchase · Acquired 128,000 · Balance 128,000 F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

Calamos Global Dynamic Income Fund

Report date August 26, 2026 · Filed August 26, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	134,400	Reported balance After 2026-08-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-08-26 · Purchase · Acquired 134,400 · Balance 134,400 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	157,600	Reported balance After 2026-08-26 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2026-08-26 · Purchase · Acquired 157,600 · Balance 157,600 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	72,000	Reported balance After 2026-08-26 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2026-08-26 · Purchase · Acquired 72,000 · Balance 72,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	20,000	Reported balance After 2026-08-26 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2026-08-26 · Purchase · Acquired 20,000 · Balance 20,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	56,000	Reported balance After 2026-08-26 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2026-08-26 · Purchase · Acquired 56,000 · Balance 56,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

Carlyle Tactical Private Credit Fund

Report date March 11, 2026 · Filed March 23, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	400,000	Reported balance Holding disclosure · report date 2026-03-11 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 400,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series G Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	800,000	Reported balance Holding disclosure · report date 2026-03-11 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 800,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	480,000	Reported balance Holding disclosure · report date 2026-03-11 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 480,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series J Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	1,200,000	Reported balance Holding disclosure · report date 2026-03-11 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 1,200,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series K Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	400,000	Reported balance Holding disclosure · report date 2026-03-11 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 400,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series L Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	1,720,000	Reported balance Holding disclosure · report date 2026-03-11 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 1,720,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

DNP SELECT INCOME FUND INC

Report date July 22, 2026 · Filed July 24, 2026

Security / award	Ownership account	Disclosure context
3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2026-07-22 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-07-22 · Other · Disposed 40,600,000 · Balance 0 F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2026-07-22 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2026-07-22 · Other · Disposed 32,400,000 · Balance 0 F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2026-07-22 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2026-07-22 · Other · Disposed 1,700,000 · Balance 0 F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2026-07-22 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2026-07-22 · Other · Disposed 3,100,000 · Balance 0 F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2026-07-22 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2026-07-22 · Other · Disposed 2,300,000 · Balance 0 F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager.

Duff & Phelps Utility & Infrastructure Fund Inc.

Report date May 29, 2025 · Filed June 02, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	748,000	Reported balance After 2025-05-29 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2025-05-29 · Purchase · Acquired 748,000 · Balance 748,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	252,000	Reported balance After 2025-05-29 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2025-05-29 · Purchase · Acquired 252,000 · Balance 252,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2025-05-30 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2025-05-30 · Other · Disposed 549,500 · Balance 0 F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2025-05-30 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2025-05-30 · Other · Disposed 122,500 · Balance 0 F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2025-05-30 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2025-05-30 · Other · Disposed 518,000 · Balance 0 F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2025-05-30 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2025-05-30 · Other · Disposed 210,000 · Balance 0 F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

Kayne Anderson Energy Infrastructure Fund, Inc.

Report date September 01, 2026 · Filed September 04, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-09-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-09-01 · Other · Disposed 60,000 · Balance 0 F1: These Series W Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Series W Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2026-09-01 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2026-09-01 · Other · Disposed 60,000 · Balance 0 F1: These Series W Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Series W Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

Virtus Convertible & Income Fund

Report date May 26, 2023 · Filed June 05, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	2,040,000	Reported balance Holding disclosure · report date 2023-05-26 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,040,000 F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series B Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	600,000	Reported balance Holding disclosure · report date 2023-05-26 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 600,000 F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

Virtus Convertible & Income Fund II

Report date May 26, 2023 · Filed June 05, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	880,000	Reported balance Holding disclosure · report date 2023-05-26 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 880,000 F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

Virtus Diversified Income & Convertible Fund

Report date October 02, 2025 · Filed October 06, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2025-10-02 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2025-10-02 · Other · Disposed 1,200,000 · Balance 0 F1: These Series A Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These securities were held directly by a client for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Series A Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These securities were held directly by a client for whom the Reporting Person serves as investment manager.

abrdn Income Credit Strategies Fund

Report date December 18, 2025 · Filed December 29, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Mandatorily Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	4,000,000	Reported balance Holding disclosure · report date 2025-12-18 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 4,000,000 F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

Past disclosures · reporting ended (5)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

FRANKLIN UNIVERSAL TRUST

Report date September 15, 2023 · Filed September 19, 2023

Section 16 reporting ended · disclosed 2023-09-19. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-15 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2023-09-15 · Other · Disposed 10,000,000 · Balance 0 F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-15 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2023-09-15 · Other · Disposed 25,000,000 · Balance 0 F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-15 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2023-09-15 · Other · Disposed 5,000,000 · Balance 0 F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-15 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2023-09-15 · Other · Disposed 10,000,000 · Balance 0 F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-15 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2023-09-15 · Other · Disposed 5,000,000 · Balance 0 F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-15 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2023-09-15 · Other · Disposed 5,000,000 · Balance 0 F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-15 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2023-09-15 · Other · Disposed 5,000,000 · Balance 0 F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

Kayne Anderson NextGen Energy & Infrastructure, Inc.

Report date November 13, 2023 · Filed November 15, 2023

Section 16 reporting ended · disclosed 2023-11-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-11-13 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2023-11-13 · Other · Disposed 214,000 · Balance 0 F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-11-13 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2023-11-13 · Other · Disposed 106,000 · Balance 0 F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series J Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-11-13 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2023-11-13 · Other · Disposed 60,000 · Balance 0 F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series J Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-11-13 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2023-11-13 · Other · Disposed 60,000 · Balance 0 F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
3.82% Series I Senior Unsecured Notes Due August 8, 2025SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-11-13 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2023-11-13 · Other · Disposed 664,176.26 · Balance 0 F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
3.82% Series I Senior Unsecured Notes Due August 8, 2025SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-11-13 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2023-11-13 · Other · Disposed 1,692,307.69 · Balance 0 F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
5.18% Series F Senior Unsecured Notes Due March 29, 2033SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-11-13 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2023-11-13 · Other · Disposed 11,000,000 · Balance 0 F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
5.18% Series F Senior Unsecured Notes Due March 29, 2033SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-11-13 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 8 · 2023-11-13 · Other · Disposed 9,000,000 · Balance 0 F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing. F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

Neuberger High Yield Strategies Fund Inc.

Report date September 18, 2023 · Filed September 20, 2023

Section 16 reporting ended · disclosed 2023-09-20. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Floating Rate Senior Note, Series A Note, Due Sep. 18, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2023-09-18 · Other · Disposed 5,190,034 · Balance 0 F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Floating Rate Senior Note, Series A Note, Due Sep. 18, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-18 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2023-09-18 · Other · Disposed 5,726,934 · Balance 0 F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Floating Rate Senior Note, Series A Note, Due Sep. 18, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-18 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2023-09-18 · Other · Disposed 8,583,032 · Balance 0 F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Floating Rate Senior Note, Series B Note, Due Sep. 18, 2023SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-18 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2023-09-18 · Other · Disposed 26,500,000 · Balance 0 F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-18 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2023-09-18 · Other · Disposed 3,968,000 · Balance 0 F2: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-18 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2023-09-18 · Other · Disposed 768,000 · Balance 0 F2: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2023-09-18 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2023-09-18 · Other · Disposed 1,344,000 · Balance 0 F2: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

TORTOISE ENERGY INFRASTRUCTURE CORP

Report date December 19, 2024 · Filed December 23, 2024

Section 16 reporting ended · disclosed 2024-12-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
3.99% Senior Notes, Series L, Due December 19, 2024SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2024-12-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2024-12-19 · Other · Disposed 3,549,333.33 · Balance 0 F1: These 3.99% Senior Notes, Series L, Due December 19, 2024 ("Series L Senior Notes") matured on December 19, 2024, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Series L Senior Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.99% Senior Notes, Series L, Due December 19, 2024SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2024-12-19 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2024-12-19 · Other · Disposed 1,613,333.33 · Balance 0 F1: These 3.99% Senior Notes, Series L, Due December 19, 2024 ("Series L Senior Notes") matured on December 19, 2024, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Series L Senior Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
3.99% Senior Notes, Series L, Due December 19, 2024SEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2024-12-19 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2024-12-19 · Other · Disposed 1,290,666.67 · Balance 0 F1: These 3.99% Senior Notes, Series L, Due December 19, 2024 ("Series L Senior Notes") matured on December 19, 2024, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2: These Series L Senior Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These 3.99% Senior Notes, Series L, Due December 19, 2024 ("Series L Senior Notes") matured on December 19, 2024, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Series L Senior Notes were held directly by clients for whom the Reporting Person serves as investment manager.

Tortoise Midstream Energy Fund, Inc.

Report date December 23, 2024 · Filed December 23, 2024

Section 16 reporting ended · disclosed 2024-12-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2024-12-23 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2024-12-23 · Other · Disposed 8,082 · Balance 0 F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing. F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2024-12-23 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2024-12-23 · Other · Disposed 21,936 · Balance 0 F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing. F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2024-12-23 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2024-12-23 · Other · Disposed 37,715 · Balance 0 F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing. F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2024-12-23 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2024-12-23 · Other · Disposed 28,479 · Balance 0 F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing. F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
September 01, 2026 Filed Sep 4, 2026 21:59 UTC	Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334	OtherSeries W Mandatory Redeemable Preferred Shares	60,000	$25.00	$1,500,000.00	Disclosure SEC source: 0000905148-26-004084 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series W Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
September 01, 2026 Filed Sep 4, 2026 21:59 UTC	Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334	OtherSeries W Mandatory Redeemable Preferred Shares	60,000	$25.00	$1,500,000.00	Disclosure SEC source: 0000905148-26-004084 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series W Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954	PurchaseSeries H Mandatory Redeemable Preferred Shares	48,000	$25.00	$1,200,000.00	Disclosure SEC source: 0000905148-26-003937 · form4.xml · nonDerivative · entry 9 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 48,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954	PurchaseSeries H Mandatory Redeemable Preferred Shares	16,000	$25.00	$400,000.00	Disclosure SEC source: 0000905148-26-003937 · form4.xml · nonDerivative · entry 8 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 16,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954	PurchaseSeries H Mandatory Redeemable Preferred Shares	60,000	$25.00	$1,500,000.00	Disclosure SEC source: 0000905148-26-003937 · form4.xml · nonDerivative · entry 7 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 60,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954	PurchaseSeries H Mandatory Redeemable Preferred Shares	112,000	$25.00	$2,800,000.00	Disclosure SEC source: 0000905148-26-003937 · form4.xml · nonDerivative · entry 6 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 112,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954	PurchaseSeries H Mandatory Redeemable Preferred Shares	109,000	$25.00	$2,725,000.00	Disclosure SEC source: 0000905148-26-003937 · form4.xml · nonDerivative · entry 5 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 109,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE & HIGH INCOME FUND CHY · Entity 4947	PurchaseSeries H Mandatory Redeemable Preferred Shares	43,600	$25.00	$1,090,000.00	Disclosure SEC source: 0000905148-26-003936 · form4.xml · nonDerivative · entry 8 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 43,600 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE & HIGH INCOME FUND CHY · Entity 4947	PurchaseSeries H Mandatory Redeemable Preferred Shares	16,000	$25.00	$400,000.00	Disclosure SEC source: 0000905148-26-003936 · form4.xml · nonDerivative · entry 7 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 16,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE & HIGH INCOME FUND CHY · Entity 4947	PurchaseSeries H Mandatory Redeemable Preferred Shares	134,400	$25.00	$3,360,000.00	Disclosure SEC source: 0000905148-26-003936 · form4.xml · nonDerivative · entry 6 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 134,400 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE & HIGH INCOME FUND CHY · Entity 4947	PurchaseSeries H Mandatory Redeemable Preferred Shares	96,000	$25.00	$2,400,000.00	Disclosure SEC source: 0000905148-26-003936 · form4.xml · nonDerivative · entry 5 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 96,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Global Dynamic Income Fund CHW · Entity 530	PurchaseSeries H Mandatory Redeemable Preferred Shares	56,000	$25.00	$1,400,000.00	Disclosure SEC source: 0000905148-26-003939 · form4.xml · nonDerivative · entry 5 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 56,000 F1 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F1 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Global Dynamic Income Fund CHW · Entity 530	PurchaseSeries H Mandatory Redeemable Preferred Shares	20,000	$25.00	$500,000.00	Disclosure SEC source: 0000905148-26-003939 · form4.xml · nonDerivative · entry 4 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 20,000 F1 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F1 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Global Dynamic Income Fund CHW · Entity 530	PurchaseSeries H Mandatory Redeemable Preferred Shares	72,000	$25.00	$1,800,000.00	Disclosure SEC source: 0000905148-26-003939 · form4.xml · nonDerivative · entry 3 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 72,000 F1 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F1 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Global Dynamic Income Fund CHW · Entity 530	PurchaseSeries H Mandatory Redeemable Preferred Shares	157,600	$25.00	$3,940,000.00	Disclosure SEC source: 0000905148-26-003939 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 157,600 F1 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F1 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Global Dynamic Income Fund CHW · Entity 530	PurchaseSeries H Mandatory Redeemable Preferred Shares	134,400	$25.00	$3,360,000.00	Disclosure SEC source: 0000905148-26-003939 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 134,400 F1 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F1 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Dynamic Convertible & Income Fund CCD · Entity 417	PurchaseSeries I Mandatory Redeemable Preferred Shares	128,000	$25.00	$3,200,000.00	Disclosure SEC source: 0000905148-26-003938 · form4.xml · nonDerivative · entry 9 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 128,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Dynamic Convertible & Income Fund CCD · Entity 417	PurchaseSeries I Mandatory Redeemable Preferred Shares	44,000	$25.00	$1,100,000.00	Disclosure SEC source: 0000905148-26-003938 · form4.xml · nonDerivative · entry 8 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 44,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Dynamic Convertible & Income Fund CCD · Entity 417	PurchaseSeries I Mandatory Redeemable Preferred Shares	244,000	$25.00	$6,100,000.00	Disclosure SEC source: 0000905148-26-003938 · form4.xml · nonDerivative · entry 7 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 244,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Dynamic Convertible & Income Fund CCD · Entity 417	PurchaseSeries I Mandatory Redeemable Preferred Shares	168,000	$25.00	$4,200,000.00	Disclosure SEC source: 0000905148-26-003938 · form4.xml · nonDerivative · entry 6 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 168,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 26, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Dynamic Convertible & Income Fund CCD · Entity 417	PurchaseSeries I Mandatory Redeemable Preferred Shares	296,000	$25.00	$7,400,000.00	Disclosure SEC source: 0000905148-26-003938 · form4.xml · nonDerivative · entry 5 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 296,000 F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954	OtherSeries D Mandatory Redeemable Preferred Shares	244,000	$25.00	$6,100,000.00	Disclosure SEC source: 0000905148-26-003937 · form4.xml · nonDerivative · entry 4 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954	OtherSeries D Mandatory Redeemable Preferred Shares	36,000	$25.00	$900,000.00	Disclosure SEC source: 0000905148-26-003937 · form4.xml · nonDerivative · entry 3 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954	OtherSeries D Mandatory Redeemable Preferred Shares	124,000	$25.00	$3,100,000.00	Disclosure SEC source: 0000905148-26-003937 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954	OtherSeries D Mandatory Redeemable Preferred Shares	36,000	$25.00	$900,000.00	Disclosure SEC source: 0000905148-26-003937 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE & HIGH INCOME FUND CHY · Entity 4947	OtherSeries D Mandatory Redeemable Preferred Shares	44,000	$25.00	$1,100,000.00	Disclosure SEC source: 0000905148-26-003936 · form4.xml · nonDerivative · entry 4 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE & HIGH INCOME FUND CHY · Entity 4947	OtherSeries D Mandatory Redeemable Preferred Shares	44,000	$25.00	$1,100,000.00	Disclosure SEC source: 0000905148-26-003936 · form4.xml · nonDerivative · entry 3 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE & HIGH INCOME FUND CHY · Entity 4947	OtherSeries D Mandatory Redeemable Preferred Shares	144,000	$25.00	$3,600,000.00	Disclosure SEC source: 0000905148-26-003936 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:05 UTC	CALAMOS CONVERTIBLE & HIGH INCOME FUND CHY · Entity 4947	OtherSeries D Mandatory Redeemable Preferred Shares	288,000	$25.00	$7,200,000.00	Disclosure SEC source: 0000905148-26-003936 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:07 UTC	CALAMOS STRATEGIC TOTAL RETURN FUND CSQ · Entity 1296	OtherSeries D Mandatory Redeemable Preferred Shares	600,000	$25.00	$15,000,000.00	Disclosure SEC source: 0000905148-26-003940 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities were held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities were held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Dynamic Convertible & Income Fund CCD · Entity 417	OtherSeries D Mandatory Redeemable Preferred Shares	36,000	$25.00	$900,000.00	Disclosure SEC source: 0000905148-26-003938 · form4.xml · nonDerivative · entry 4 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Dynamic Convertible & Income Fund CCD · Entity 417	OtherSeries D Mandatory Redeemable Preferred Shares	124,000	$25.00	$3,100,000.00	Disclosure SEC source: 0000905148-26-003938 · form4.xml · nonDerivative · entry 3 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Dynamic Convertible & Income Fund CCD · Entity 417	OtherSeries D Mandatory Redeemable Preferred Shares	244,000	$25.00	$6,100,000.00	Disclosure SEC source: 0000905148-26-003938 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 24, 2026 Filed Aug 26, 2026 20:06 UTC	Calamos Dynamic Convertible & Income Fund CCD · Entity 417	OtherSeries D Mandatory Redeemable Preferred Shares	36,000	$25.00	$900,000.00	Disclosure SEC source: 0000905148-26-003938 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
July 22, 2026 Filed Jul 24, 2026 21:54 UTC	DNP SELECT INCOME FUND INC DNP · Entity 4041	Other3.00% Series B Senior Secured Notes Due July 22, 2026	2,300,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000905148-26-003342 · form4.xml · nonDerivative · entry 5 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F1 · price: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F2 · ownership.nature: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document
July 22, 2026 Filed Jul 24, 2026 21:54 UTC	DNP SELECT INCOME FUND INC DNP · Entity 4041	Other3.00% Series B Senior Secured Notes Due July 22, 2026	3,100,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000905148-26-003342 · form4.xml · nonDerivative · entry 4 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F1 · price: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F2 · ownership.nature: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document
July 22, 2026 Filed Jul 24, 2026 21:54 UTC	DNP SELECT INCOME FUND INC DNP · Entity 4041	Other3.00% Series B Senior Secured Notes Due July 22, 2026	1,700,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000905148-26-003342 · form4.xml · nonDerivative · entry 3 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F1 · price: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F2 · ownership.nature: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document
July 22, 2026 Filed Jul 24, 2026 21:54 UTC	DNP SELECT INCOME FUND INC DNP · Entity 4041	Other3.00% Series B Senior Secured Notes Due July 22, 2026	32,400,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000905148-26-003342 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F1 · price: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F2 · ownership.nature: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document
July 22, 2026 Filed Jul 24, 2026 21:54 UTC	DNP SELECT INCOME FUND INC DNP · Entity 4041	Other3.00% Series B Senior Secured Notes Due July 22, 2026	40,600,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000905148-26-003342 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F1 · price: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F2 · ownership.nature: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document
July 08, 2026 Filed Jul 10, 2026 20:09 UTC	Angel Oak Financial Strategies Income Term Trust FINS · Entity 5597	Purchase5.364% Series C Senior Unsecured Notes due July 8, 2030	40,000,000	$40,000,000.00	$1,600,000,000,000,000.00	Disclosure SEC source: 0000905148-26-003232 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: Not disclosed F1 · price: This price reflects the aggregate principal amount of the 5.364% Series C Senior Unsecured Notes due July 8, 2030 purchased. F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
October 15, 2025 Filed Oct 17, 2025 20:51 UTC	Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334	Purchase4.60% Series BBB Senior Unsecured Notes Due October 15, 2030	15,000,000	$15,000,000.00	$225,000,000,000,000.00	Disclosure SEC source: 0000905148-25-003613 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: Not disclosed F4 · price: This price reflects the aggregate principal amount of the 4.60% Series BBB Senior Unsecured Notes Due October 15, 2030 purchased. F2 · ownership.direct: These securities are held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F2 · ownership.nature: These securities are held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
October 15, 2025 Filed Oct 17, 2025 20:51 UTC	Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334	Purchase4.43% Series AAA Senior Unsecured Notes Due October 16, 2028	10,000,000	$10,000,000.00	$100,000,000,000,000.00	Disclosure SEC source: 0000905148-25-003613 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: Not disclosed F1 · price: This price reflects the aggregate principal amount of the 4.43% Series AAA Senior Unsecured Notes Due October 16, 2028 purchased. F2 · ownership.direct: These securities are held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F2 · ownership.nature: These securities are held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
October 02, 2025 Filed Oct 6, 2025 20:10 UTC	Virtus Diversified Income & Convertible Fund ACV · Entity 6061	OtherSeries A Mandatory Redeemable Preferred Shares	1,200,000	$25.00	$30,000,000.00	Disclosure SEC source: 0000905148-25-003525 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These Series A Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These securities were held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These securities were held directly by a client for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Read SEC document
August 08, 2025 Filed Aug 13, 2025 00:51 UTC	Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334	Other3.82% Series TT Senior Unsecured Notes Due August 8, 2025	1,692,306	Not disclosed	Not disclosed	Disclosure SEC source: 0000905148-25-002851 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These 3.82% Series TT Senior Unsecured Notes Due August 8, 2025 ("Series TT Senior Unsecured Notes") matured on August 8, 2025, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F1 · price: These 3.82% Series TT Senior Unsecured Notes Due August 8, 2025 ("Series TT Senior Unsecured Notes") matured on August 8, 2025, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These Series TT Senior Unsecured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F2 · ownership.nature: These Series TT Senior Unsecured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document
August 08, 2025 Filed Aug 13, 2025 00:51 UTC	Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334	Other3.82% Series TT Senior Unsecured Notes Due August 8, 2025	664,175	Not disclosed	Not disclosed	Disclosure SEC source: 0000905148-25-002851 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These 3.82% Series TT Senior Unsecured Notes Due August 8, 2025 ("Series TT Senior Unsecured Notes") matured on August 8, 2025, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F1 · price: These 3.82% Series TT Senior Unsecured Notes Due August 8, 2025 ("Series TT Senior Unsecured Notes") matured on August 8, 2025, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These Series TT Senior Unsecured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F2 · ownership.nature: These Series TT Senior Unsecured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document
June 19, 2025 Filed Jun 23, 2025 20:10 UTC	Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334	Other1.81% Series QQ Senior Unsecured Notes Due June 19, 2025	2,000,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000905148-25-002213 · form4.xml · nonDerivative · entry 2 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These 1.81% Series QQ Senior Unsecured Notes Due June 19, 2025 ("Series QQ Senior Unsecured Notes") matured on June 19, 2025, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F1 · price: These 1.81% Series QQ Senior Unsecured Notes Due June 19, 2025 ("Series QQ Senior Unsecured Notes") matured on June 19, 2025, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These Series QQ Senior Unsecured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F2 · ownership.nature: These Series QQ Senior Unsecured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document
June 19, 2025 Filed Jun 23, 2025 20:10 UTC	Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334	Other1.81% Series QQ Senior Unsecured Notes Due June 19, 2025	2,000,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000905148-25-002213 · form4.xml · nonDerivative · entry 1 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: These 1.81% Series QQ Senior Unsecured Notes Due June 19, 2025 ("Series QQ Senior Unsecured Notes") matured on June 19, 2025, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F1 · price: These 1.81% Series QQ Senior Unsecured Notes Due June 19, 2025 ("Series QQ Senior Unsecured Notes") matured on June 19, 2025, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder. F2 · ownership.direct: These Series QQ Senior Unsecured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. F2 · ownership.nature: These Series QQ Senior Unsecured Notes were held directly by clients for whom the Reporting Person serves as investment manager. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document
May 30, 2025 Filed Jun 2, 2025 21:41 UTC	Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444	OtherSeries C Mandatory Redeemable Preferred Shares	210,000	$25.00	$5,250,000.00	Disclosure SEC source: 0000905148-25-001972 · form4.xml · nonDerivative · entry 6 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F3 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F1 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document
May 30, 2025 Filed Jun 2, 2025 21:41 UTC	Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444	OtherSeries C Mandatory Redeemable Preferred Shares	518,000	$25.00	$12,950,000.00	Disclosure SEC source: 0000905148-25-001972 · form4.xml · nonDerivative · entry 5 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F3 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F1 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document
May 30, 2025 Filed Jun 2, 2025 21:41 UTC	Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444	OtherSeries C Mandatory Redeemable Preferred Shares	122,500	$25.00	$3,062,500.00	Disclosure SEC source: 0000905148-25-001972 · form4.xml · nonDerivative · entry 4 MetLife Investment Management, LLC · CIK 0001529735 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F3 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder. F1 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.