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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
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 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-01-27 4 B $8.47 $89,042 I/I 10,508 974,856 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-07-14 4 B $13.98 $148,516 I/I 10,622 435,322 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 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-01-31 4 B $7.76 $83,833 I/I 10,810 1,064,740 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-22 4 S $7.17 $78,076 I/I (10,884) 1,098,140 0 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-08 4 B $11.76 $128,135 I/I 10,900 1,626,610 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-10-19 4 B $8.89 $96,901 I/I 10,900 1,951,379 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-07-17 4 B $14.06 $153,960 I/I 10,951 556,007 1.5 -
NRO Neuberger Berman Real Est... 10% Owner   –       –       •   2016-05-05 4 B $5.27 $58,194 I/I 11,043 4,363,851 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-15 4 B $12.89 $142,946 I/I 11,092 133,728 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 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-16 4 B $11.65 $130,492 I/I 11,200 2,124,782 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-04-04 4 B $18.40 $209,042 I/I 11,361 596,816 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-06 4 B $7.95 $91,624 I/I 11,525 1,251,552 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-11-14 4 B $8.89 $103,118 I/I 11,600 1,239,182 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-22 4 B $9.05 $105,865 I/I 11,700 1,499,341 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2014-03-04 4 B $23.70 $287,806 I/I 12,146 1,010,835 1.5 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-08-30 4 B $13.80 $168,348 I/I 12,200 730,955 1.5 -
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 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-21 4 B $12.07 $147,695 I/I 12,239 1,752,617 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-17 4 B $7.96 $97,493 I/I 12,248 1,194,805 1.5 -
IFT Imperial Holdings, Llc 10% Owner   –       –       •   2012-06-13 5 B $4.00 $49,073 I/I 12,272 1,674,892 0 -
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 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-05-08 4 B $19.01 $237,625 I/I 12,500 679,196 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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