指南针多元化 - 优先股
US ˙ NYSE ˙ US20451Q3020

介绍

本页面提供了有关 Navco Management, Ltd. 已知的内部交易历史的全面分析。内部人士包括公司的高管、董事或重要投资者。一般而言，基于内幕、非公开信息进行交易是非法的。这并不意味着他们在自己的公司进行任何交易都是非法的。但是，他们必须通过Form 4向美国证券交易委员会（SEC）报告所有交易。尽管存在这些限制，学术研究表明，整体而言，内部人士在自己公司中的投资表现往往优于市场。

平均交易盈利能力

“平均交易盈利能力”衡量了内部人士在过去三年中所有非计划性的公开市场买入交易的平均回报率。计算过程包括检查每笔交易，排除了作为10b5-1交易计划的一部分的交易。然后，对每笔交易在3、6和12个月的表现进行平均，以生成该笔交易最终的表现指标。然后，将所有交易的表现指标进行平均，计算出内部人士的总体平均表现指标。列表仅包含在过去两年中进行过至少三笔交易的内部人士。

如果内部人士的交易盈利能力显示为"N/A"，则可能是因为该内部人士在过去三年内没有进行任何公开市场买入交易，或者他们进行的交易距离现在时间太近，无法计算出可靠的表现指标。

更新频率：每日

查看收益最高的的内幕交易者列表。

查看排名最高的内部人士。
报告内部持仓的公司

美国证券交易委员会（SEC）文件显示Navco Management, Ltd.已报告在以下公司拥有持仓或进行了交易：

证券 职位 最新报告的持仓
US:CODI / Compass Diversified 10% Owner 0
10% Owner 843,160
US:HRZN / Horizon Technology Finance Corporation 10% Owner 891,414
如何解读这些图表

以下图表显示了在Navco Management, Ltd.进行的每笔公开市场非计划交易后证券的股价表现。非计划交易是指没有作为10b5-1交易计划的一部分而进行的交易。股价表现以累积百分比变化的方式绘制。例如，如果一笔内部人士交易是在2019年1月1日进行的，该图表将显示该证券的每日百分比变化直至当前日期。如果在此期间股价从10美元涨至15美元，则股价的累积百分比变化将为50%。从10美元涨至20美元的价格变化将为100%，而从10美元跌至5美元的价格变化将为-50%。

最终，我们将评估内部人士的交易与股价的超额回报（正向或负向）之间的相关性，以判断内部人士是否在交易中利用内部信息获利。如果内部人士有这样的行为，我们预期看到（a）买入后的正回报，或者（b）卖出后的负回报。对于情况（a），买入图表将显示一系列向上倾斜的曲线，表示每次买入后都有正回报。对于情况（b），卖出图表将显示一系列向下倾斜的曲线，表示每次卖出后都有负回报。

然而，仅凭这一点还不足以得出结论。例如，如果公司的股价在多年内呈现非周期性上升，我们会预期所有买入后的图表都呈现向上倾斜。同样地，多年来呈现非周期性下降的股价会导致卖出后的图表也呈现向下倾斜。这两种情况的图表都不能表示内部人士在进行内幕交易。

最有力的指标是在公司股价呈极度循环波动的情况下，“买入”图表显示正向信号，而“卖出”图表显示负向趋势。这种情况强烈暗示内部人士可能根据内幕信息精确地计时进行交易，以获得财务优势。

CODI.PRB / Compass Diversified - Preferred Stock内部人士买入 - 短期收益分析

在这一部分，我们分析了在 CODI.PRB / Compass Diversified - Preferred Stock 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2023-10-06 CODI Anholt Investments Ltd. 5,896 18.1200 5,896 18.1200 106,836 154 24.5600 37,971 35.54
2023-10-05 CODI Anholt Investments Ltd. 2,400 18.1144 2,400 18.1144 43,475
2023-10-04 CODI Anholt Investments Ltd. 14,309 18.1141 14,309 18.1141 259,195
2023-10-03 CODI Anholt Investments Ltd. 33,402 18.1174 33,402 18.1174 605,157
2023-03-20 CODI Anholt Investments Ltd. 5,092 17.9678 5,092 17.9678 91,492
2022-05-12 CODI Anholt Investments Ltd. 20,000 20.6140 20,000 20.6140 412,280
2020-05-14 CODI Anholt Investments Ltd. 61,577 15.2000 61,577 15.2000 935,970
2020-05-13 CODI Anholt Investments Ltd. 69,523 15.1700 69,523 15.1700 1,054,664
2020-03-16 CODI Anholt Investments Ltd. 43,450 15.2589 43,450 15.2589 662,999
2020-03-13 CODI Anholt Investments Ltd. 23,800 16.0082 23,800 16.0082 380,995
2020-03-12 CODI Anholt Investments Ltd. 155,000 15.5796 155,000 15.5796 2,414,838
2020-03-11 CODI Anholt Investments Ltd. 89,262 16.9063 89,262 16.9063 1,509,090
2018-12-14 CODI Anholt Investments Ltd. 18,000 13.8700 18,000 13.8700 249,660
2018-12-13 CODI Anholt Investments Ltd. 10,000 13.6800 10,000 13.6800 136,800
2018-12-13 CODI Anholt Investments Ltd. 10,000 13.7100 10,000 13.7100 137,100
2018-12-13 CODI Anholt Investments Ltd. 10,000 13.7700 10,000 13.7700 137,700
2018-12-13 CODI Anholt Investments Ltd. 10,000 13.8300 10,000 13.8300 138,300
2018-12-13 CODI Anholt Investments Ltd. 10,000 14.0700 10,000 14.0700 140,700
2018-05-08 CODI Anholt Investments Ltd. 34,158 15.9300 34,158 15.9300 544,137
2018-05-07 CODI Anholt Investments Ltd. 87,690 15.6800 87,690 15.6800 1,374,979
2011-08-24 CODI Anholt Investments Ltd. 1,575,000 12.5000 1,575,000 12.5000 19,687,500
2008-03-31 CODI Anholt Investments Ltd. 656,000 12.7500 656,000 12.7500 8,364,000

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

CODI.PRB / Compass Diversified - Preferred Stock Insider Trades
CODI.PRB / Compass Diversified - Preferred Stock内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 CODI.PRB / Compass Diversified - Preferred Stock 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2022-08-10 CODI Anholt Investments Ltd. 146,937 23.7062 146,937 23.7062 3,483,318 132 16.4300 -1,069,142 -30.69
2022-08-09 CODI Anholt Investments Ltd. 96,045 23.5689 96,045 23.5689 2,263,675
2022-08-08 CODI Anholt Investments Ltd. 93,306 23.6200 93,306 23.6200 2,203,888
2022-08-05 CODI Anholt Investments Ltd. 10,649 24.0101 10,649 24.0101 255,684
2021-03-18 CODI Anholt Investments Ltd. 26,387 24.0431 26,387 24.0431 634,425
2021-03-12 CODI Anholt Investments Ltd. 11,112 24.0096 11,112 24.0096 266,795
2021-03-11 CODI Anholt Investments Ltd. 2,312 24.0251 2,312 24.0251 55,546
2021-03-10 CODI Anholt Investments Ltd. 300 24.0133 300 24.0133 7,204
2021-03-09 CODI Anholt Investments Ltd. 21,786 24.0824 21,786 24.0824 524,659
2021-03-09 CODI Anholt Investments Ltd. 28,888 24.0632 28,888 24.0632 695,138
2021-03-05 CODI Anholt Investments Ltd. 200 24.0175 200 24.0175 4,804
2021-01-15 CODI Anholt Investments Ltd. 980 21.1561 980 21.1561 20,733
2021-01-14 CODI Anholt Investments Ltd. 38,556 21.1952 38,556 21.1952 817,202
2021-01-13 CODI Anholt Investments Ltd. 58,664 21.3688 58,664 21.3688 1,253,579
2021-01-12 CODI Anholt Investments Ltd. 1,800 21.5522 1,800 21.5522 38,794
2020-12-01 CODI Anholt Investments Ltd. 32,036 19.5448 32,036 19.5448 626,137
2020-11-30 CODI Anholt Investments Ltd. 17,964 19.5199 17,964 19.5199 350,655
2020-11-27 CODI Anholt Investments Ltd. 8,791 19.5324 8,791 19.5324 171,709
2020-11-25 CODI Anholt Investments Ltd. 15,065 19.5887 15,065 19.5887 295,104
2020-11-24 CODI Anholt Investments Ltd. 33,400 19.5806 33,400 19.5806 653,992
2020-11-23 CODI Anholt Investments Ltd. 400 19.5050 400 19.5050 7,802
2010-04-20 CODI Anholt Investments Ltd. 25,000 14.3800 25,000 14.3800 359,500
2010-04-13 CODI Anholt Investments Ltd. 1,300,000 14.3800 1,300,000 14.3800 18,694,000

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

CODI.PRB / Compass Diversified - Preferred Stock Insider Trades
HRZN / Horizon Technology Finance Corporation内部人士买入 - 短期收益分析

在这一部分，我们分析了在 CODI.PRB / Compass Diversified - Preferred Stock 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
当前未知该内部人士进行过任何未预先计划的公开市场交易。

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

HRZN / Horizon Technology Finance Corporation Insider Trades
HRZN / Horizon Technology Finance Corporation内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 CODI.PRB / Compass Diversified - Preferred Stock 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2015-03-24 HRZN Anholt Investments Ltd. 380,000 13.9500 380,000 13.9500 5,301,000 190 9.0500 -1,862,000 -35.13

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

HRZN / Horizon Technology Finance Corporation Insider Trades
内幕交易历史

该表格显示了由 Navco Management, Ltd. 进行的所有内幕交易的完整列表，这些交易已向美国证券交易委员会（SEC）披露。

备案日期 交易日期 表格 股票代码 证券 代码 10b5-1 股数 剩余股数 %
变化		 每股
股价		 交易
金额		 剩余
金额
2024-01-03 2023-12-31 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		G - Gift -112,996 0 -100.00
2024-01-03 2023-12-31 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		G - Gift -92,048 0 -100.00
2024-01-03 2023-12-31 4 CODI Compass Diversified Holdings
Common 		G - Gift -7,998,981 0 -100.00
2023-12-18 2023-12-15 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -1,961 112,996 -1.71 24.32 -47,701 2,748,628
2023-12-15 2023-12-14 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -5,032 114,956 -4.19 24.33 -122,413 2,796,535
2023-12-15 2023-12-14 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -28,736 92,048 -23.79 23.01 -661,158 2,117,840
2023-12-15 2023-12-13 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -4,139 119,988 -3.33 24.33 -100,718 2,919,788
2023-12-15 2023-12-13 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -9,902 120,784 -7.58 23.01 -227,875 2,779,602
2023-12-13 2023-12-12 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -3,926 124,139 -3.07 24.34 -95,543 3,021,047
2023-12-13 2023-12-12 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -7 130,686 -0.01 23.02 -161 3,007,738
2023-12-13 2023-12-11 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -3,914 128,053 -2.97 24.36 -95,325 3,118,731
2023-12-08 2023-12-08 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -400 131,967 -0.30 24.35 -9,741 3,213,660
2023-12-08 2023-12-07 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -1,618 132,367 -1.21 24.35 -39,403 3,223,534
2023-12-08 2023-12-07 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -5,710 130,693 -4.19 23.02 -131,416 3,007,899
2023-12-08 2023-12-06 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -4,487 133,985 -3.24 24.36 -109,281 3,263,205
2023-12-08 2023-12-06 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -1,976 136,403 -1.43 23.02 -45,486 3,139,861
2023-12-06 2023-12-05 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -600 138,472 -0.43 24.32 -14,594 3,368,041
2023-12-06 2023-12-04 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -2,570 139,072 -1.81 24.32 -62,515 3,382,926
2023-12-06 2023-12-04 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -22 138,379 -0.02 23.02 -506 3,185,623
2023-12-06 2023-12-01 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -3,969 141,642 -2.73 24.45 -97,046 3,463,289
2023-12-06 2023-12-01 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -2,799 138,401 -1.98 23.00 -64,377 3,183,237
2023-12-05 2023-11-30 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -3,920 145,611 -2.62 24.29 -95,221 3,537,037
2023-12-05 2023-11-30 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -4,991 141,200 -3.41 23.01 -114,823 3,248,447
2023-12-05 2023-11-29 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -300 149,531 -0.20 24.27 -7,281 3,629,267
2023-12-05 2023-11-29 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -3,654 146,191 -2.44 23.01 -84,064 3,363,270
2023-11-29 2023-11-27 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -2 149,845 0.00 23.01 -54 3,447,634
2023-11-22 2023-11-20 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		S - Sale -5,500 149,831 -3.54 24.27 -133,485 3,636,398
2023-11-22 2023-11-20 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		S - Sale -5,625 152,196 -3.56 23.01 -129,431 3,502,030
2023-11-15 2023-03-24 4 MONIX Monachil Credit Income Fund
Class I Shares 		P - Purchase 591,133 843,160 234.55 10.15 6,000,000 8,558,072
2023-11-15 3 MONIX Monachil Credit Income Fund
Class I Shares 		252,027
2023-10-10 2023-10-06 4 CODI Compass Diversified Holdings
Common 		P - Purchase 5,896 7,998,981 0.07 18.12 106,836 144,941,536
2023-10-10 2023-10-05 4 CODI Compass Diversified Holdings
Common 		P - Purchase 2,400 7,993,085 0.03 18.11 43,475 144,789,939
2023-10-04 2023-10-04 4 CODI Compass Diversified Holdings
Common 		P - Purchase 14,309 7,990,685 0.18 18.11 259,195 144,744,067
2023-10-04 2023-10-03 4 CODI Compass Diversified Holdings
Common 		P - Purchase 33,402 7,976,376 0.42 18.12 605,157 144,511,195
2023-03-23 2023-03-20 4 CODI Compass Diversified Holdings
Common 		P - Purchase 5,092 7,942,974 0.06 17.97 91,492 142,717,768
2022-08-11 2022-08-10 4 CODI Compass Diversified Holdings
Common 		S - Sale -146,937 7,937,882 -1.82 23.71 -3,483,318 188,177,018
2022-08-09 2022-08-09 4 CODI Compass Diversified Holdings
Common 		S - Sale -96,045 8,084,819 -1.17 23.57 -2,263,675 190,550,291
2022-08-09 2022-08-08 4 CODI Compass Diversified Holdings
Common 		S - Sale -93,306 8,180,864 -1.13 23.62 -2,203,888 193,232,008
2022-08-09 2022-08-05 4 CODI Compass Diversified Holdings
Common 		S - Sale -10,649 8,274,170 -0.13 24.01 -255,684 198,663,649
2022-05-16 2022-05-12 4 CODI Compass Diversified Holdings
Common 		P - Purchase 20,000 8,284,819 0.24 20.61 412,280 170,783,259
2021-03-22 2021-03-18 4 CODI Compass Diversified Holdings
Common 		S - Sale -26,387 8,264,819 -0.32 24.04 -634,425 198,711,870
2021-03-16 2021-03-12 4 CODI Compass Diversified Holdings
Common 		S - Sale -11,112 8,291,206 -0.13 24.01 -266,795 199,068,540
2021-03-16 2021-03-11 4 CODI Compass Diversified Holdings
Common 		S - Sale -2,312 8,302,318 -0.03 24.03 -55,546 199,464,020
2021-03-12 2021-03-10 4 CODI Compass Diversified Holdings
Common 		S - Sale -300 8,304,630 0.00 24.01 -7,204 199,421,572
2021-03-12 2021-03-09 4 CODI Compass Diversified Holdings
Common 		S - Sale -28,888 8,304,930 -0.35 24.06 -695,138 199,843,192
2021-03-09 2021-03-09 4 CODI Compass Diversified Holdings
Common 		S - Sale -21,786 8,333,818 -0.26 24.08 -524,659 200,698,339
2021-03-09 2021-03-05 4 CODI Compass Diversified Holdings
Common 		S - Sale -200 8,355,604 0.00 24.02 -4,804 200,680,719
2021-01-19 2021-01-15 4 CODI Compass Diversified Holdings
Common 		S - Sale -980 8,355,804 -0.01 21.16 -20,733 176,776,225
2021-01-19 2021-01-14 4 CODI Compass Diversified Holdings
Common 		S - Sale -38,556 8,356,784 -0.46 21.20 -817,202 177,123,708
2021-01-14 2021-01-13 4 CODI Compass Diversified Holdings
Common 		S - Sale -58,664 8,395,340 -0.69 21.37 -1,253,579 179,398,341
2021-01-14 2021-01-12 4 CODI Compass Diversified Holdings
Common 		S - Sale -1,800 8,454,004 -0.02 21.55 -38,794 182,202,385
2020-12-03 2020-12-01 4 CODI Compass Diversified Holdings
Common 		S - Sale -32,036 8,455,804 -0.38 19.54 -626,137 165,266,998
2020-12-01 2020-11-30 4 CODI Compass Diversified Holdings
Common 		S - Sale -17,964 8,487,840 -0.21 19.52 -350,655 165,681,788
2020-12-01 2020-11-27 4 CODI Compass Diversified Holdings
Common 		S - Sale -8,791 8,505,804 -0.10 19.53 -171,709 166,138,766
2020-12-01 2020-11-25 4 CODI Compass Diversified Holdings
Common 		S - Sale -15,065 8,514,595 -0.18 19.59 -295,104 166,789,847
2020-11-25 2020-11-24 4 CODI Compass Diversified Holdings
Common 		S - Sale -33,400 8,529,660 -0.39 19.58 -653,992 167,015,861
2020-11-25 2020-11-23 4 CODI Compass Diversified Holdings
Common 		S - Sale -400 8,563,060 0.00 19.50 -7,802 167,022,485
2020-05-15 2020-05-14 4 CODI Compass Diversified Holdings
Common 		P - Purchase 61,577 8,563,460 0.72 15.20 935,970 130,164,592
2020-05-15 2020-05-13 4 CODI Compass Diversified Holdings
Common 		P - Purchase 69,523 8,501,883 0.82 15.17 1,054,664 128,973,565
2020-03-20 2020-03-18 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 31,000 155,331 24.93 15.99 495,582 2,483,199
2020-03-20 2020-03-18 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 24,566 157,821 18.44 15.12 371,448 2,386,317
2020-03-17 2020-03-16 4 CODI Compass Diversified Holdings
Common 		P - Purchase 43,450 8,432,360 0.52 15.26 662,999 128,668,538
2020-03-17 2020-03-13 4 CODI Compass Diversified Holdings
Common 		P - Purchase 23,800 8,388,910 0.28 16.01 380,995 134,291,349
2020-03-13 2020-03-12 4 CODI Compass Diversified Holdings
Common 		P - Purchase 155,000 8,365,110 1.89 15.58 2,414,838 130,325,068
2020-03-13 2020-03-11 4 CODI Compass Diversified Holdings
Common 		P - Purchase 89,262 8,210,110 1.10 16.91 1,509,090 138,802,583
2018-12-18 2018-12-17 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 4,100 124,331 3.41 19.35 79,335 2,405,805
2018-12-18 2018-12-17 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 1,626 133,255 1.24 17.91 29,122 2,386,597
2018-12-17 2018-12-14 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 3,166 120,231 2.70 19.27 61,009 2,316,851
2018-12-17 2018-12-14 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 5,069 131,629 4.01 17.87 90,583 2,352,210
2018-12-17 2018-12-14 4 CODI Compass Diversified Holdings
Common Shares 		P - Purchase 18,000 8,120,848 0.22 13.87 249,660 112,636,162
2018-12-17 2018-12-13 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 2,200 117,065 1.92 19.39 42,658 2,269,890
2018-12-17 2018-12-13 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 5,014 126,560 4.13 17.89 89,700 2,264,158
2018-12-17 2018-12-13 4 CODI Compass Diversified Holdings
Common Shares 		P - Purchase 10,000 8,102,848 0.12 14.07 140,700 114,007,071
2018-12-17 2018-12-13 4 CODI Compass Diversified Holdings
Common Shares 		P - Purchase 10,000 8,092,848 0.12 13.83 138,300 111,924,088
2018-12-17 2018-12-13 4 CODI Compass Diversified Holdings
Common Shares 		P - Purchase 10,000 8,082,848 0.12 13.77 137,700 111,300,817
2018-12-17 2018-12-13 4 CODI Compass Diversified Holdings
Common Shares 		P - Purchase 10,000 8,072,848 0.12 13.71 137,100 110,678,746
2018-12-17 2018-12-13 4 CODI Compass Diversified Holdings
Common Shares 		P - Purchase 10,000 8,062,848 0.12 13.68 136,800 110,299,761
2018-12-13 2018-12-12 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 8,865 114,865 8.36 19.29 171,006 2,215,746
2018-12-13 2018-12-12 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 10,000 121,546 8.96 17.64 176,400 2,144,071
2018-12-13 2018-12-11 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 3,600 106,000 3.52 18.99 68,364 2,012,940
2018-12-13 2018-12-11 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 4,000 111,546 3.72 17.82 71,280 1,987,750
2018-12-11 2018-12-10 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 3,400 102,400 3.43 18.82 63,988 1,927,168
2018-12-11 2018-12-10 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 7,350 107,546 7.34 17.78 130,683 1,912,168
2018-12-11 2018-12-10 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 1,800 100,196 1.83 17.77 31,986 1,780,483
2018-12-11 2018-12-07 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 7,536 98,396 8.29 18.30 137,909 1,800,647
2018-12-11 2018-12-06 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 6,360 90,860 7.53 18.23 115,943 1,656,378
2018-05-15 2018-05-11 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 11,000 99,000 12.50 22.97 252,670 2,274,030
2018-05-15 2018-05-11 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 10,500 84,500 14.19 21.73 228,165 1,836,185
2018-05-11 2018-05-10 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 16,000 88,000 22.22 22.77 364,320 2,003,760
2018-05-11 2018-05-10 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 10,000 74,000 15.62 21.58 215,800 1,596,920
2018-05-11 2018-05-09 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 22,000 72,000 44.00 22.67 498,740 1,632,240
2018-05-11 2018-05-09 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 14,000 64,000 28.00 21.48 300,720 1,374,720
2018-05-11 2018-05-08 4/A CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 28,000 50,000 127.27 22.26 623,280 1,113,000
2018-05-11 2018-05-08 4/A CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 24,900 50,000 99.20 21.10 525,390 1,055,000
2018-05-11 2018-05-08 4/A CODI Compass Diversified Holdings
Common Shares 		P - Purchase 34,158 8,052,848 0.43 15.93 544,137 128,281,869
2018-05-11 2018-05-07 4/A CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 22,000 22,000 21.59 474,980 474,980
2018-05-11 2018-05-07 4/A CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 25,100 25,100 20.44 513,044 513,044
2018-05-11 2018-05-07 4/A CODI Compass Diversified Holdings
Common Shares 		P - Purchase 87,690 8,018,690 1.11 15.68 1,374,979 125,733,059
2018-05-09 2018-05-08 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 28,000 53,100 111.55 22.26 623,280 1,182,006
2018-05-09 2018-05-08 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 24,900 50,000 99.20 21.10 525,390 1,055,000
2018-05-09 2018-05-08 4 CODI Compass Diversified Holdings
Common Shares 		P - Purchase 34,158 8,052,848 0.43 15.93 544,137 128,281,869
2018-05-09 2018-05-07 4 CODI Compass Diversified Holdings
Series B Preferred Shares 		P - Purchase 25,100 25,100 22.59 567,009 567,009
2018-05-09 2018-05-07 4 CODI Compass Diversified Holdings
Series A Preferred Shares 		P - Purchase 25,100 25,100 20.44 513,044 513,044
2018-05-09 2018-05-07 4 CODI Compass Diversified Holdings
Common Shares 		P - Purchase 87,690 8,018,690 1.11 15.68 1,374,979 125,733,059
2015-03-24 2015-03-24 4 HRZN Horizon Technology Finance Corp
Common Stock, par value $0.001 per share 		S - Sale -380,000 891,414 -29.89 13.95 -5,301,000 12,435,225
2011-08-26 2011-08-24 4 CODI Compass Diversified Holdings
Shares 		P - Purchase 1,575,000 7,931,000 24.78 12.50 19,687,500 99,137,500
2010-10-28 3 HRZN Horizon Technology Finance Corp
Common Stock 		2,598,249
2010-04-22 2010-04-20 4 CODI Compass Diversified Holdings
Shares 		S - Sale -25,000 6,356,000 -0.39 14.38 -359,500 91,399,280
2010-04-22 2010-04-13 4 CODI Compass Diversified Holdings
Shares 		S - Sale -1,300,000 6,381,000 -16.92 14.38 -18,694,000 91,758,780
2008-04-02 2008-03-31 4 CODI Compass Diversified Holdings
Shares 		P - Purchase 656,000 7,681,000 9.34 12.75 8,364,000 97,932,750
P
非衍生或衍生证券的公开市场或私下买入
S
非衍生或衍生证券的公开市场或私下卖出
A
公司向内部人员授予、奖励或以其他方式获取证券（例如股票期权）
C
衍生工具转换
D
将证券卖出或转让回公司
F
使用从公司收到的证券的一部分来支付行使价或税务负担。
G
内部人士赠送或接收他人赠送公司股票
K
股权掉期和类似的避险交易
M
行使或转换从公司获得的衍生证券（例如期权）
V
内部人士通过Form 4自愿报告的一笔交易
J
其他（附有交易描述的脚注）