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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 8 of 28
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

  
3m +/-  
Form
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-03-26 4 B $13.90 $28,031 I/I 2,017 405,465 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-14 4 B $13.90 $28,426 I/I 2,045 347,630 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-06-07 4 B $11.98 $25,146 I/I 2,099 1,454,732 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-26 4 B $12.12 $25,449 I/I 2,100 1,769,324 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 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-05-17 4 B $19.66 $41,286 I/I 2,100 712,868 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 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-09-25 4 B $13.45 $29,579 I/I 2,200 733,455 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-08 4 B $13.01 $29,327 I/I 2,255 1,097,666 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-26 4 B $13.88 $31,681 I/I 2,283 349,913 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   –       –       •   2017-03-22 4 B $7.71 $17,742 I/I 2,300 1,121,711 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 -
CH Urban Select Capital Corp 10% Owner   –       –       •   2017-11-08 4 S $8.86 $20,371 D/D (2,300) 22,820 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 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-05-12 4 B $5.10 $11,990 I/I 2,351 782,717 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-25 4 B $12.09 $28,726 I/I 2,376 1,767,224 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-22 4 B $12.08 $28,763 I/I 2,381 1,928,252 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-31 4 S $7.22 $17,220 I/I (2,385) 991,460 0 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-18 4 B $9.11 $21,800 I/I 2,393 1,607,643 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-06-10 4 B $11.82 $28,336 I/I 2,398 1,504,098 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2014-11-24 4 S $22.60 $54,664 I/I (2,419) 1,007,297 0 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-28 4 B $9.06 $22,136 I/I 2,442 1,509,616 1.5 -
SPE Special Opportunities Fun... Investment Adviser Principal   –       –      –    2014-12-12 5 S $16.66 $41,023 D/D (2,463) 3,079 0 -
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 -
  699  Records found
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  Page 8 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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