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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
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 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-09-13 4 B $8.75 $70,976 I/I 8,108 1,112,187 1.5 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2015-09-24 4 B $8.26 $144,873 I/I 17,548 1,114,857 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-02-22 4 B $7.83 $285,886 I/I 36,499 1,118,190 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-21 4 B $7.73 $58,407 I/I 7,557 1,119,411 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-10-04 4 B $8.92 $65,464 I/I 7,339 1,119,526 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-07 4 B $8.17 $207,527 I/I 25,402 1,119,578 1.5 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2015-10-27 4 S $8.77 $155,817 I/I (17,766) 1,119,833 0 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-08 4 B $8.06 $11,284 I/I 1,400 1,120,978 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-22 4 B $7.71 $17,742 I/I 2,300 1,121,711 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-10 4 B $13.06 $134,178 I/I 10,274 1,122,022 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-02-23 4 B $7.78 $36,571 I/I 4,700 1,122,890 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-06 3 IO $0.00 $0 I/I 0 1,123,062 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-20 4 S $7.21 $27,416 I/I (3,802) 1,124,260 0 -
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 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-04-12 4 B $7.84 $7,017 I/I 895 1,126,222 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-04-13 4 B $7.84 $11,940 I/I 1,523 1,127,745 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-07 4 B $6.95 $34,750 I/I 5,000 1,128,062 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-14 4 B $12.88 $95,778 I/I 7,434 1,129,456 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-04-17 4 B $7.84 $19,569 I/I 2,496 1,130,241 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-15 4 B $12.86 $25,071 I/I 1,950 1,131,406 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-17 4 B $12.90 $21,975 I/I 1,704 1,133,110 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-10 4 B $8.19 $102,375 I/I 12,500 1,133,478 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-20 4 B $8.65 $4,353 I/I 503 1,133,981 1.42 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-21 4 B $8.64 $3,482 I/I 403 1,134,384 1.42 -
  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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