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Insider Information:   Hellerman Gerald
Relationship:   Director
City:  
State:  
   
Insider Summary:
  
   
Companies Owned :   5    
Direct Shares   109,392    

Indirect Shares

  46,763      
Direct Value   $818,116    

Indirect Value

  $127,358      
Total Shares   156,155      
Total Value   $945,474      


Special Opportunities Fund Inc
 $553,081 Imperial Holdings, Llc
 $6,260 Swiss Helvetia Fund
 $42,539 Putnam High Income Bond Fund
 $216,236 Special Opportunities Fund Inc
 $553,081 Imperial Holdings, Llc
 $6,260 Swiss Helvetia Fund
 $42,539 Putnam High Income Bond Fund
 $216,236
 


Historical Performance :
Based on 6 Month Return Percentages
Buys 
Sells 

     Total Filings :

    14   
    1    

     Stock price went up :

    7   
    0    
     Stock price went down :
    7   
    1    
   
     Gain/Loss Ratio :
   0.0   
   -1.0   
     Percentage Gain/Loss :
   6.9%
 -22.2%
     
   
Holdings :
     Menu Company Name Ticker Relation Direct Date Direct Shares Indirect Date Indirect Shares Total Value Sold  
            MVC Capital MVC 2020-12-23 0 2004-06-21 0    Premium*  
            Special Opportunities Fund Inc SPE Director 2022-04-06 43,584 2016-11-01 9,388    Premium*  
            Imperial Holdings, Llc IFT Director 2016-06-02 28,449 2016-06-02 37,375    Premium*  
            Swiss Helvetia Fund SWZ Director 2022-03-02 5,324 2018-10-19 0    Premium*  
            Putnam High Income Bond Fund PCF Director 2022-01-21 32,035 2019-03-19 0    Premium*  
* Premium Members only  

Records found :    93         Free Registration Required For Full Results.    Limit: 25

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  Page 2 of 4
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

 
3m +/-  
Form
MVC MVC Capital Director   –       •      –    2012-06-13 4 S $12.46 $7 D/D (1) 56,963 0 -
SPE Special Opportunities Fun... Chief Compliance Officer & CFO   •       •      –    2012-06-27 4 S $15.10 $11,023 I/I (730) 4,270 0 -
SPE Special Opportunities Fun... Chief Compliance Officer & CFO   •       •      –    2012-06-29 4 S $15.11 $4,318 I/I (285) 750 0 -
IFT Imperial Holdings, Llc Director   –       •      –    2012-08-02 3 IO $0.00 $0 I/I 0 22,000 -
MVC MVC Capital Director   –       •      –    2013-01-07 4 B $12.15 $18,675 D/D 1,537 57,500 2.39 -
MVC MVC Capital Director   –       •      –    2013-01-07 4/A B $12.15 $18,675 D/D 1,537 58,500 2.39 -
IFT Imperial Holdings, Llc Director   –       •      –    2013-04-01 4 A $0.00 $0 D/D 2,928 2,928 0 -
SPE Special Opportunities Fun... CCO and CFO   •       •      –    2013-05-01 4 B $17.08 $34,166 D/D 2,000 4,250 2.81 -
IFT Imperial Holdings, Llc Director   –       •      –    2013-06-06 4 A $0.00 $0 D/D 2,881 5,809 0 -
SPE Special Opportunities Fun... CCO and CFO   •       •      –    2013-08-21 4 B $17.05 $17,050 D/D 1,000 5,250 2.81 -
SPE Special Opportunities Fun... CCO and CFO   •       •      –    2013-12-26 4 B $16.97 $16,970 D/D 1,000 6,384 2.81 -
SPE Special Opportunities Fun... CCO and CFO   •       •      –    2014-02-26 4 B $16.00 $14,400 I/I 900 5,170 2.58 -
SPE Special Opportunities Fun... CCO and CFO   •       •      –    2014-02-27 4 A $0.00 $0 D/D 836 7,220 0 -
SPE Special Opportunities Fun... CCO and CFO   •       •      –    2014-02-27 4 A $0.00 $0 I/I 1,858 7,028 0 -
IFT Imperial Holdings, Llc Director   –       •      –    2014-03-13 4 B $5.60 $27,982 I/I 5,000 21,500 2.1 -
MVC MVC Capital Director   –       •      –    2014-03-14 4 B $13.40 $20,100 D/D 1,500 60,000 2.39 -
IFT Imperial Holdings, Llc Director   –       •      –    2014-06-05 4 A $0.00 $0 D/D 4,830 10,639 0 -
MVC MVC Capital Director   –       •      –    2014-09-18 4 B $11.55 $14,438 D/D 1,250 61,250 2.39 -
MVC MVC Capital Director   –       •      –    2014-09-29 4 B $10.78 $18,865 D/D 1,750 63,000 2.39 -
IFT Imperial Holdings, Llc Director   –       •      –    2015-05-28 4 A $0.00 $0 D/D 4,854 15,493 0 -
IFT Imperial Holdings, Llc Director   –       •      –    2015-06-24 4 OE $5.75 $30,906 I/I 5,375 26,875 0 -
IFT Imperial Holdings, Llc Director   –       •      –    2015-06-24 4 OE $5.75 $30,383 D/D 5,284 20,777 0 -
SPE Special Opportunities Fun... CCO and CFO   •       •      –    2015-08-07 4 B $15.02 $15,020 D/D 1,000 8,220 2.81 -
SPE Special Opportunities Fun... CCO and CFO   •       •      –    2015-08-19 4 B $14.85 $14,850 D/D 1,000 9,220 2.81 -
SPE Special Opportunities Fun... CCO and CFO   •       •      –    2015-08-25 4 B $14.28 $21,422 D/D 1,500 10,720 2.81 -

  93  Records found
  1   2  3   4      
  Page 2 of 4  
 
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