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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 15 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   –       –       •   2016-07-22 4 B $12.11 $148,071 I/I 12,231 1,764,848 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 -
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   –       –       •   2016-07-26 4 B $12.12 $25,449 I/I 2,100 1,769,324 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-26 4 S $7.20 $54,842 I/I (7,617) 1,027,136 0 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-27 4 B $9.07 $71,038 I/I 7,833 1,507,174 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-27 4 S $7.18 $69,765 I/I (9,710) 1,017,426 0 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-28 4 B $9.06 $22,136 I/I 2,442 1,509,616 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-28 4 B $12.10 $122,259 I/I 10,100 1,779,424 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-29 4 B $12.11 $10,903 I/I 900 1,780,324 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-01 4 B $9.04 $26,236 I/I 2,901 1,512,517 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-08-01 4 B $4.60 $81,044 I/I 17,636 3,732,443 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-02 4 B $11.87 $159,033 I/I 13,396 1,793,720 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-02 4 B $8.96 $23,826 I/I 2,659 1,515,176 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-03 4 B $11.87 $261,159 I/I 21,994 1,815,714 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 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-03 4 B $9.00 $54,403 I/I 6,045 1,521,221 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-08-04 4 B $4.57 $147,611 I/I 32,300 3,764,743 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-04 4 B $11.88 $173,435 I/I 14,600 1,830,314 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-04 4 B $9.00 $27,001 I/I 3,000 1,524,221 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-04 4 S $7.12 $48,359 I/I (6,792) 1,003,849 0 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-05 4 B $9.05 $2,715 I/I 300 1,524,521 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-05 4 S $7.15 $45,410 I/I (6,351) 997,498 0 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-08-05 4 B $4.55 $196,720 I/I 43,200 3,807,943 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-05 4 B $11.96 $195,016 I/I 16,300 1,846,614 1.5 -
  699  Records found
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  Page 15 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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