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Insider Information:   Goldstein Phillip
Relationship:   10% Owner
City:   Pleasantville
State:   NY
   
Insider Summary:
  
   
Companies Owned :   14    
Direct Shares   1,193,329    

Indirect Shares

   6,538,662      
Direct Value   $2,865,587    

Indirect Value

   $955,795      
Total Shares   7,731,991      
Total Value   $3,821,382      


Aberdeen First Israel Fund $0 Aberdeen Emerging Markets $0 Mexico Equity & Income Fund Inc $98,670 Special Opportunities Fund Inc $408,594 ASA Gold & Precious Metals Ltd $42,600 Korea Equity Fund Inc $0 Imperial Holdings, Llc $45,105 Virtus Total Return Fund $0 Brookfield Dtla Fund Office Trust Investor Inc. $0 Swiss Helvetia Fund $136,781 Putnam High Income Bond Fund $1,661,736 Herzfeld Caribbean $472,100 Aberdeen First Israel Fund $0 Aberdeen Emerging Markets $0 Mexico Equity & Income Fund Inc $98,670 Special Opportunities Fund Inc $408,594 ASA Gold & Precious Metals Ltd $42,600 Korea Equity Fund Inc $0 Imperial Holdings, Llc $45,105 Virtus Total Return Fund $0 Brookfield Dtla Fund Office Trust Investor Inc. $0 Swiss Helvetia Fund $136,781 Putnam High Income Bond Fund $1,661,736 Herzfeld Caribbean $472,100
 


Historical Performance :
Based on 6 Month Return Percentages
Buys 
Sells 

     Total Filings :
    21   
    57    

     Stock price went up :
    13   
    39    
     Stock price went down :
    8   
    18    
   
     Gain/Loss Ratio :
   1.6   
   2.2   
     Percentage Gain/Loss :
   6.6%
 1,040.8%
     
   
Holdings :
     Menu Company Name Ticker Relation Direct Date Direct Shares Indirect Date Indirect Shares Total Value Sold  
            Aberdeen First Israel Fund ISL Director 2006-12-27 525 2005-08-18 0    Premium*  
            Aberdeen Emerging Markets ETF Director 2007-05-11 16,285 2007-05-11 693,599    Premium*  
            Mexico Equity & Income Fund Inc MXE Director 2021-10-15 10,002 2013-04-29 0    Premium*  
            Special Opportunities Fund Inc SPE Chairman and Secretary... 2023-12-28 31,822 2020-07-22 1,000    Premium*  
            ASA Gold & Precious Metals Ltd ASA Director 2013-06-20 2,400 2009-12-17 0    Premium*  
            Korea Equity Fund Inc KEF Director 2010-12-27 3,562 2010-09-21 732,551    Premium*  
            Imperial Holdings, Llc IFT Director, 10% Owner 2016-06-02 204,976 2016-06-02 4,285,185    Premium*  
            MVC Capital MVC 2020-12-23 0 2018-10-10 0    Premium*  
            Virtus Total Return Fund DCA See Explanation of Res... 2016-09-14 457,988 0    Premium*  
            Crossroads Capital Inc XRDC Director, 10% Owner 0 2017-06-07 826,327    Premium*  
            Brookfield Dtla Fund Office Trus... DTLAP 2019-01-02 682 2019-01-02 0    Premium*  
            Swiss Helvetia Fund SWZ Director 2021-07-02 16,783 2019-01-02 0    Premium*  
            Putnam High Income Bond Fund PCF Director 2023-04-21 244,373 2019-10-16 0    Premium*  
            Herzfeld Caribbean CUBA 10% Owner 2020-04-17 203,931 0    Premium*  
* Premium Members only  

Records found :    366         Free Registration Required For Full Results.    Limit: 25

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  Page 4 of 15
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

  
3m +/-  
Form
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-07-12 4 B $4.56 $2,978 D/D 653 131,801 2.37 -
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-07-14 4 B $4.56 $3,042 D/D 667 133,662 2.37 -
SPE Special Opportunities Fun... Chairman and Secretary   •       •      –    2015-01-05 4 B $13.03 $3,192 D/D 245 78,139 2.73 -
SPE Special Opportunities Fun... Chairman and Secretary   •       •      –    2016-01-05 4/A B $13.03 $3,192 D/D 245 78,139 2.73 -
PCF Putnam High Income Bond F... Director   –       •      –    2020-12-08 4/A S $8.68 $3,194 D/D (368) 38,703 0 -
PCF Putnam High Income Bond F... Director   –       •      –    2020-12-02 4/A S $8.40 $3,444 D/D (410) 64,026 0 -
SWZ Swiss Helvetia Fund Director   –       •      –    2020-04-30 4 B $7.37 $3,685 D/D 500 115,747 2.31 %
PCF Putnam High Income Bond F... Director   –       •      –    2020-09-21 4 S $8.50 $3,723 D/D (438) 106,071 0 %
ETF Aberdeen Emerging Markets Director   –       •      –    2007-01-24 4 S $18.75 $3,750 I/I (200) 750,399 0 -
MVC MVC Capital Director   –       •      –    2013-09-11 4 B $12.70 $3,810 I/I 300 728,851 2.1 -
IFT Imperial Holdings, Llc Director   –       •       •   2014-08-05 4 B $6.52 $3,912 D/D 600 82,995 3.84 -
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-08-08 4 B $4.56 $4,333 D/D 951 138,575 2.37 -
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-09-14 4 B $4.51 $4,406 D/D 976 149,130 2.37 -
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-08-04 4 B $4.57 $4,447 D/D 973 136,323 2.37 -
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-08-09 4 B $4.57 $4,454 D/D 975 139,550 2.37 -
MVC MVC Capital   •       •      –    2019-03-26 4 B $9.10 $4,705 D/D 517 22,666 0.01 -
IFT Imperial Holdings, Llc Director   –       •       •   2014-09-09 4 B $6.36 $4,853 I/I 763 1,099,855 2.17 -
CUBA Herzfeld Caribbean 10% Owner   –       –       •   2019-08-26 4 A $6.15 $4,920 D/D 800 391,887 0 -
SWZ Swiss Helvetia Fund Director   –       •      –    2019-12-18 4 B $8.15 $5,004 D/D 614 71,651 2.39 -
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-09-09 4 B $4.59 $5,022 D/D 1,093 146,893 2.37 -
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-07-13 4 B $4.55 $5,435 D/D 1,194 132,995 2.37 -
IFT Imperial Holdings, Llc Director   –       •       •   2014-09-26 4 B $6.36 $5,444 I/I 856 1,110,811 2.17 -
CUBA Herzfeld Caribbean 10% Owner   –       –       •   2020-04-17 4 S $3.55 $5,641 D/D (1,589) 203,931 0 %
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-09-13 4 B $4.54 $5,725 D/D 1,261 148,154 2.37 -
DCA Virtus Total Return Fund See Explanation of Responses   –       –       •   2016-08-05 4 B $4.55 $5,924 D/D 1,301 137,624 2.37 -
  366  Records found
  1   2   3   4  5   6   7   8   9   10   11   12   13   14   15      
  Page 4 of 15  
 
Free Registration Required For Full Results.    Limit: 25

 
 
  Transaction Code Key: Ownership Code Key
  B - Buy AB - Automatic Buy D - Direct Ownership
  S - Sell AS - Automatic Sell I - Indirect Ownership
OE - Options Exercised A - Aquired
  IO - Initital Ownership D - Disposed
 
 
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