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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   $431,045    

Indirect Value

   $42,664,196      
Total Shares   26,658,584      
Total Value   $43,095,241      


Firsthand Technology Value Fund, Inc. $558 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $145,165 Urban Select Capital Corp $111,656 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710 Firsthand Technology Value Fund, Inc. $558 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $145,165 Urban Select Capital Corp $111,656 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 19 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   –       –       •   2017-06-08 4 B $7.95 $3,975 I/I 500 1,252,052 1.42 -
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 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-07 4 B $8.23 $29,634 I/I 3,600 1,253,464 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-13 4 B $7.95 $22,260 I/I 2,800 1,254,852 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-12 4 B $9.08 $29,505 I/I 3,250 1,255,472 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-08 4 B $8.19 $32,764 I/I 4,002 1,257,466 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-19 4 B $7.95 $72,345 I/I 9,100 1,263,952 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-16 4 B $9.11 $95,687 I/I 10,500 1,265,972 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-09 4 B $8.20 $71,310 I/I 8,700 1,266,166 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-10 4 B $8.22 $18,922 I/I 2,302 1,268,468 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-05-03 4 B $9.06 $232,436 I/I 25,600 1,277,174 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-20 4 B $7.95 $151,767 I/I 19,100 1,283,052 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-11 4 B $8.33 $276,326 I/I 33,160 1,301,628 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-21 4 B $7.95 $158,924 I/I 20,000 1,303,052 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-28 4 B $8.52 $62,966 I/I 7,392 1,309,020 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-29 4 B $8.52 $2,556 I/I 300 1,309,320 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-25 4 B $7.94 $54,191 I/I 6,825 1,309,877 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-30 4/A B $8.63 $5,178 I/I 600 1,309,920 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-31 4 B $8.62 $37,241 I/I 4,321 1,314,241 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 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-04-05 4 B $8.55 $95,108 I/I 11,129 1,325,370 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-04-06 4 B $8.60 $1,720 I/I 200 1,325,570 1.42 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-03-29 3 IO $0.00 $0 I/I 0 1,334,162 -
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 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-04-15 4 B $10.92 $29,484 I/I 2,700 1,344,997 1.5 -
  699  Records found
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  Page 19 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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