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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 4 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 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-09-24 4 B $13.45 $4,034 I/I 300 731,255 1.42 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-05-08 4 B $5.10 $4,080 I/I 800 777,208 1.42 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-20 4 B $8.65 $4,353 I/I 503 1,133,981 1.42 -
LBF DWS Global High Income Fu... 10% Owner   –       –       •   2015-05-28 4 B $8.28 $4,579 I/I 553 475,820 1.42 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-07-10 4 B $4.60 $4,600 I/I 1,000 826,327 1.42 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-29 4 B $9.17 $4,629 D/D 505 505 2.37 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-02-19 4 B $7.76 $4,656 I/I 600 1,081,691 1.42 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-06-06 4 B $9.52 $4,760 I/I 500 1,377,674 1.42 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-02-24 4 B $13.77 $4,833 I/I 351 372,181 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-30 4 S $7.14 $4,998 I/I (700) 1,094,323 0 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-15 4 B $4.19 $5,022 I/I 1,200 3,035,861 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-03 4 B $12.76 $5,102 I/I 400 64,593 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   –       –       •   2016-03-30 4 B $8.63 $5,178 I/I 600 1,561,109 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-02-27 4 B $13.78 $5,512 I/I 400 377,921 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-02-20 4 B $13.80 $5,520 I/I 400 370,193 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-18 4 B $9.22 $5,532 I/I 600 1,478,341 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-03-31 4 B $13.94 $5,576 I/I 400 409,218 1.5 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2015-09-30 4 B $8.19 $5,730 I/I 700 1,140,557 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-12 4 B $9.07 $5,805 I/I 640 1,694,510 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-08-18 4/A B $8.60 $6,020 I/I 700 1,536,717 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-08-18 4 B $8.60 $6,020 I/I 700 1,542,117 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-11-28 4 B $12.77 $6,410 I/I 502 57,944 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-20 4 S $7.25 $6,525 I/I (900) 1,057,137 0 -
  699  Records found
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  Page 4 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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