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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   $427,471    

Indirect Value

   $42,449,121      
Total Shares   26,658,584      
Total Value   $42,876,592      


Firsthand Technology Value Fund, Inc. $568 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $142,848 Urban Select Capital Corp $110,390 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710 Firsthand Technology Value Fund, Inc. $568 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $142,848 Urban Select Capital Corp $110,390 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 23 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   –       –       •   2016-07-13 4 B $12.00 $180,001 I/I 14,994 1,680,520 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2014-12-02 4 S $22.66 $180,131 I/I (7,949) 984,246 0 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-01-31 4 B $8.38 $182,208 I/I 21,744 1,006,668 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-12 4 B $12.00 $182,269 I/I 15,192 1,665,526 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-06-08 4 B $8.98 $182,288 I/I 20,300 1,413,662 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-04-17 4 B $18.46 $182,385 I/I 9,880 626,696 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-03-21 4 B $18.24 $182,410 I/I 10,000 474,856 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-03-24 4 B $18.37 $183,700 I/I 10,000 484,856 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-09 4 B $13.05 $183,832 I/I 14,082 1,111,748 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-04-11 4 B $18.41 $184,100 I/I 10,000 606,816 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-04-12 4 B $18.45 $184,500 I/I 10,000 616,816 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-08 4 B $9.07 $185,935 I/I 20,500 1,460,778 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-04-24 4 B $18.63 $186,300 I/I 10,000 656,696 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-23 4 B $12.18 $186,533 I/I 15,320 1,943,572 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-27 4 B $9.02 $186,714 I/I 20,700 1,919,451 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-07 4 B $8.51 $187,814 I/I 22,062 817,017 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-07 4/A B $8.51 $187,814 I/I 22,062 811,617 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-11 4 B $4.13 $189,302 I/I 45,848 3,014,663 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-09-13 4 B $4.54 $190,467 I/I 41,954 4,158,023 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-04-27 4 B $19.05 $190,500 I/I 10,000 666,696 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-06-21 4 B $9.53 $192,494 I/I 20,200 1,726,574 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-02-17 4 B $8.16 $192,576 I/I 23,600 956,372 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-28 4 B $8.66 $194,850 I/I 22,500 1,186,684 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 -
IFT Imperial Holdings, Llc 10% Owner   –       –       •   2012-06-14 5 B $3.98 $195,656 I/I 49,187 1,724,079 0 -
  699  Records found
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  Page 23 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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