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

  
3m +/-  
Form
LBF DWS Global High Income Fu... 10% Owner   –       –       •   2016-04-25 4 S $7.98 $61,138 I/I (7,665) 582,158 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-16 4 B $7.91 $60,886 I/I 7,700 1,182,557 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-26 4 B $7.94 $61,734 I/I 7,775 1,317,652 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-08 4 B $4.10 $31,991 I/I 7,800 2,968,815 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-15 4 B $12.06 $94,098 I/I 7,800 1,698,395 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-20 4 B $9.24 $72,056 I/I 7,800 1,486,141 1.5 -
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 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-05-24 4 B $11.63 $91,297 I/I 7,848 1,411,233 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-28 4 B $12.99 $101,951 I/I 7,848 1,153,948 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-07 4 B $11.59 $91,555 I/I 7,900 1,615,710 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-04-23 4 S $15.29 $121,061 I/I (7,918) 580,825 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2014-12-02 4 S $22.66 $180,131 I/I (7,949) 984,246 0 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-09 4 B $12.78 $102,448 I/I 8,016 86,259 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-14 4 B $6.71 $53,952 I/I 8,035 974,865 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-06-24 4 B $11.38 $92,167 I/I 8,100 1,590,510 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 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-04-04 4 B $10.81 $87,931 I/I 8,135 1,342,297 1.5 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-08-27 4 B $13.76 $112,832 I/I 8,200 712,347 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-18 4 B $12.12 $99,416 I/I 8,202 1,923,161 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-25 4 B $7.94 $66,172 I/I 8,334 1,236,102 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-19 4 B $9.10 $76,012 I/I 8,353 1,615,996 1.5 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-10-02 4 B $13.62 $113,759 I/I 8,353 593,453 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-11-10 4 B $8.92 $74,912 I/I 8,400 1,220,582 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-02-01 4 B $8.41 $71,569 I/I 8,511 1,015,179 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-26 4 B $13.16 $112,137 I/I 8,524 308,098 1.5 -
  699  Records found
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  Page 16 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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