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Insider Information:   Samuels Steven
Relationship:   10% Owner
City:   Westport
State:   CT
   
Insider Summary:
  
   
Companies Owned :   22    
Direct Shares   85,991    

Indirect Shares

   26,572,593      
Direct Value   $427,471    

Indirect Value

   $42,449,121      
Total Shares   26,658,584      
Total Value   $42,876,592      


Firsthand Technology Value Fund, Inc. $568 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $142,848 Urban Select Capital Corp $110,390 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710 Firsthand Technology Value Fund, Inc. $568 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $142,848 Urban Select Capital Corp $110,390 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710
 


Historical Performance :
Based on 6 Month Return Percentages
Buys 
Sells 

     Total Filings :
    104   
    0    

     Stock price went up :
    87   
    0    
     Stock price went down :
    17   
    0    
   
     Gain/Loss Ratio :
   5.1   
   0.0   
     Percentage Gain/Loss :
   7.6%
   0.0%
     
   
Holdings :
     Menu Company Name Ticker Relation Direct Date Direct Shares Indirect Date Indirect Shares Total Value Sold  
            Special Opportunities Fund Inc SPE Investment Adviser Pri... 2015-01-30 0 2012-09-17 0    Premium*  
            Firsthand Technology Value Fund,... SVVC 10% Owner 2015-04-23 4,148 2015-04-23 580,825    Premium*  
            Imperial Holdings, Llc IFT 10% Owner 0 2015-06-24 2,991,124    Premium*  
            Alliance New York Municipal Inco... AYN 10% Owner 2015-07-20 10,900 2015-07-20 560,212    Premium*  
            Crossroads Capital Inc XRDC 10% Owner 0 2017-06-07 826,327    Premium*  
            DWS Global High Income Fund LBF 10% Owner 0 2016-05-04 480,946    Premium*  
            Mfs Intermarket Income Trust I CMK 10% Owner 2015-09-09 14,089 2015-09-09 1,587,717    Premium*  
            Advent/Claymore Enhanced Growth ... LCM 10% Owner 0 2017-05-17 927,037    Premium*  
            First Trust Active Dividend Inco... FAV 10% Owner 0 2016-10-20 1,951,679    Premium*  
            Virtus Total Return Fund DCA 10% Owner 0 2017-03-22 1,553,860    Premium*  
            Nuveen Global Equity Income Fund JGV 10% Owner 0 2016-09-28 2,194,974    Premium*  
            Neuberger Berman Real Estate Sec... NRO 10% Owner 2016-05-05 0 2016-12-15 4,295,140    Premium*  
            Pacholder High Yield Fund Inc PHF 10% Owner 0 2017-07-07 1,408,152    Premium*  
            Cushing Renaissance Fund SZC 10% Owner 2016-08-10 0 2017-01-17 457,550    Premium*  
            Nuveen Long/short Commodity Tota... CTF 10% Owner 2016-10-28 0 2016-12-08 1,179,781    Premium*  
            Putnam High Income Bond Fund PCF 10% Owner 2018-06-06 21,069 2018-06-06 1,467,199    Premium*  
            Korea Equity Fund Inc KEF 10% Owner 2017-02-08 0 2017-06-21 1,726,574    Premium*  
            Jpmorgan China Region Fund Inc JFC 10% Owner 2017-03-21 0 2017-09-15 845,368    Premium*  
            Putnam Municipal Opportunities T... PMO 10% Owner 0 2017-08-10 0    Premium*  
            Urban Select Capital Corp CH 10% Owner 2017-12-05 21,107 2017-12-05 917,955    Premium*  
            Alliance California Municipal In... AKP 10% Owner 2018-10-04 6,875 2018-10-04 620,173    Premium*  
            Western Asset Corporate Loan Fun... TLI 10% Owner 2019-11-26 7,803 0    Premium*  
* Premium Members only  

Records found :    699         Free Registration Required For Full Results.    Limit: 25

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  Page 10 of 28
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

  
3m +/-  
Form
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-06-10 4 B $11.82 $28,336 I/I 2,398 1,504,098 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-04-11 4 B $7.84 $28,349 I/I 3,616 1,125,327 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-14 4 B $13.90 $28,426 I/I 2,045 347,630 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-25 4 B $12.09 $28,726 I/I 2,376 1,767,224 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-22 4 B $12.08 $28,763 I/I 2,381 1,928,252 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-12 4 B $9.16 $28,962 I/I 3,163 1,463,941 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-08 4 B $13.01 $29,327 I/I 2,255 1,097,666 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-07 4 B $4.08 $29,341 I/I 7,200 2,961,015 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-01-20 4 B $7.49 $29,446 I/I 3,929 781,637 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-04-15 4 B $10.92 $29,484 I/I 2,700 1,344,997 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-12 4 B $9.08 $29,505 I/I 3,250 1,255,472 1.5 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-09-25 4 B $13.45 $29,579 I/I 2,200 733,455 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-07 4 B $8.23 $29,634 I/I 3,600 1,253,464 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-02-08 4 B $8.50 $29,750 I/I 3,500 1,091,947 1.5 -
SZC Cushing Renaissance Fund 10% Owner   –       –       •   2016-08-11 4 B $15.84 $29,774 I/I 1,880 432,974 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-20 4 B $7.74 $30,186 I/I 3,900 1,111,854 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-19 4 B $4.27 $30,550 I/I 7,150 3,043,011 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-25 4 B $9.19 $30,844 I/I 3,358 1,533,573 1.5 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2016-05-11 4 S $8.21 $30,945 I/I (3,767) 1,078,710 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-31 4 B $7.95 $31,098 I/I 3,912 1,240,027 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-13 4 B $7.19 $31,281 I/I 4,349 1,043,777 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-02-01 4 B $7.72 $31,352 I/I 4,060 909,967 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-02 4 B $8.45 $31,409 I/I 3,717 788,225 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-02 4/A B $8.45 $31,409 I/I 3,717 782,825 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-09 4 B $8.52 $31,508 I/I 3,700 820,717 1.5 -
  699  Records found
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  Page 10 of 28  
 
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  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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