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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 7 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   –       –       •   2017-10-20 4 B $8.98 $15,266 I/I 1,700 1,150,472 1.5 -
SPE Special Opportunities Fun... Investment Advisor Principal   –       –      –    2011-06-20 5 B $15.41 $15,410 D/D 1,000 2,280 0 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-09 4 B $9.09 $15,460 I/I 1,700 1,599,495 1.5 -
SZC Cushing Renaissance Fund 10% Owner   –       –       •   2016-08-10 4 B $15.63 $15,635 I/I 1,000 431,094 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-02-17 4 B $7.83 $15,652 I/I 2,000 1,094,653 1.5 -
SPE Special Opportunities Fun... Investment Advisor Principal   –       –      –    2012-09-17 4 B $15.77 $15,772 D/D 1,000 3,360 2.44 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-05-11 4 B $5.10 $16,102 I/I 3,158 780,366 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-28 4 B $7.03 $16,124 I/I 2,295 994,598 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-01-26 4 B $7.75 $16,279 I/I 2,100 1,048,630 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-12-08 4 B $13.13 $16,635 I/I 1,267 1,179,781 1.5 -
SZC Cushing Renaissance Fund 10% Owner   –       –       •   2016-08-16 4 B $16.20 $16,655 I/I 1,028 438,462 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-09-03 4 B $8.59 $16,965 D/D 1,975 7,375 2.37 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-31 4 S $7.22 $17,220 I/I (2,385) 991,460 0 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-12-06 4 B $13.13 $17,423 I/I 1,327 1,178,514 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-22 4 B $7.71 $17,742 I/I 2,300 1,121,711 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-01 4 B $13.19 $17,965 I/I 1,362 1,077,742 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-04-20 4 B $7.85 $18,055 I/I 2,300 1,144,044 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-29 4 S $7.22 $18,286 I/I (2,532) 994,966 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-23 4 S $7.18 $18,714 I/I (2,608) 1,095,532 0 -
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 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-21 4 B $6.96 $19,022 I/I 2,734 979,306 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-08-11 4 B $4.60 $19,383 I/I 4,216 3,888,693 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-04-17 4 B $7.84 $19,569 I/I 2,496 1,130,241 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-06-30 4 B $11.51 $19,575 I/I 1,700 1,607,810 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-12-21 4 B $8.97 $19,635 I/I 2,189 1,245,685 1.5 -
  699  Records found
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  Page 7 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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