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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 13 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   –       –       •   2016-12-12 4 B $7.20 $44,399 I/I 6,167 1,039,428 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-11 4 B $9.10 $44,772 I/I 4,920 1,252,222 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-22 4 B $13.05 $45,392 I/I 3,478 1,138,465 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-05 4 S $7.15 $45,410 I/I (6,351) 997,498 0 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-13 4 B $13.74 $45,631 I/I 3,321 345,585 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-05-13 4 B $4.28 $45,839 I/I 10,700 3,376,011 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-10-31 4 B $13.26 $46,520 I/I 3,508 1,076,380 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-03-17 4 B $13.72 $46,689 I/I 3,403 394,638 1.5 -
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 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-05-05 4 B $13.82 $46,947 I/I 3,397 415,673 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-06-21 4 B $8.91 $46,951 I/I 5,270 1,420,230 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-08 4 B $7.85 $47,100 I/I 6,000 1,107,954 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-03-16 4 B $13.71 $47,264 I/I 3,448 391,235 1.5 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-07-09 4 B $4.78 $47,820 I/I 10,000 825,327 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-03 4 S $7.12 $48,309 I/I (6,785) 1,010,641 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-04 4 S $7.12 $48,359 I/I (6,792) 1,003,849 0 -
IFT Imperial Holdings, Llc 10% Owner   –       –       •   2012-06-13 5 B $4.00 $49,073 I/I 12,272 1,674,892 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-22 4 S $18.40 $49,073 I/I (2,667) 747,113 0 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-07-20 4 B $14.05 $49,192 I/I 3,500 559,507 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-04-19 4 B $7.84 $49,392 I/I 6,300 1,141,744 1.5 -
SPE Special Opportunities Fun... Investment Adviser Principal   –       –      –    2015-01-30 4 S $14.84 $50,109 D/D (3,375) 0 0 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-01-25 4 B $7.49 $50,231 I/I 6,705 789,825 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-31 4 B $8.78 $50,931 I/I 5,803 1,192,687 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-02-02 4 B $7.75 $52,498 I/I 6,774 1,080,325 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-04-20 4 S $15.11 $52,547 I/I (3,478) 600,709 0 -
  699  Records found
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  Page 13 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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