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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   $426,469    

Indirect Value

   $41,960,336      
Total Shares   26,658,584      
Total Value   $42,386,805      


Firsthand Technology Value Fund, Inc. $622 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $143,691 Urban Select Capital Corp $108,490 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710 Firsthand Technology Value Fund, Inc. $622 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $143,691 Urban Select Capital Corp $108,490 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 12 of 28
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

  
3m +/-  
Form
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-27 4 S $7.18 $69,765 I/I (9,710) 1,017,426 0 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-02-28 4 B $8.23 $43,603 I/I 5,300 1,019,176 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-06 4 B $7.10 $110,595 I/I 15,575 1,021,792 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-02-02 4 B $8.43 $81,424 I/I 9,658 1,024,837 1.5 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2017-05-15 4 S $8.74 $451,748 I/I (51,701) 1,027,009 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-26 4 S $7.20 $54,842 I/I (7,617) 1,027,136 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-07 4 B $7.13 $46,892 I/I 6,574 1,028,366 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-08 4 B $7.12 $34,860 I/I 4,895 1,033,261 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-25 4 S $7.20 $73,082 I/I (10,150) 1,034,753 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-12 4 B $7.20 $44,399 I/I 6,167 1,039,428 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 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-22 4 S $7.28 $65,731 I/I (9,029) 1,044,903 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-14 4 B $7.20 $12,815 I/I 1,780 1,045,557 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-02-11 4 B $7.26 $354,054 I/I 48,759 1,045,631 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-01-25 4 B $7.72 $7,511 I/I 973 1,046,530 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-01-26 4 B $7.75 $16,279 I/I 2,100 1,048,630 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-01-27 4 B $7.78 $41,231 I/I 5,300 1,053,930 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-21 4 S $7.28 $23,332 I/I (3,205) 1,053,932 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2014-03-05 4 B $23.31 $1,009,924 I/I 43,328 1,054,163 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2014-03-06 4 B $23.64 $11,820 I/I 500 1,054,633 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-20 4 S $7.25 $6,525 I/I (900) 1,057,137 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-19 4 S $7.23 $35,558 I/I (4,918) 1,058,037 0 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-09-01 4 D $0.00 $0 I/I (32,371) 1,059,576 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-18 4 S $7.22 $22,072 I/I (3,057) 1,062,955 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-01-31 4 B $7.76 $83,833 I/I 10,810 1,064,740 1.5 -
  699  Records found
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  Page 12 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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