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Insider Information:   Ubs Ag
Relationship:   Former 10% Owner
City:   Stamford
State:   CT
   
Insider Summary:
  
   
Companies Owned :   49    
Direct Shares   14,324,145    

Indirect Shares

   70,839      
Direct Value   $1    

Indirect Value

   $318,230      
Total Shares   14,394,984      
Total Value   $318,231      


Silverstar Holdings Ltd $1 Impsat Fiber Networks Inc $0 Dune Energy Inc $0 Silverstar Holdings Ltd $1 Impsat Fiber Networks Inc $0 Dune Energy Inc $0
 


Historical Performance :
Based on 6 Month Return Percentages
Buys 
Sells 

     Total Filings :
    0   
    0    

     Stock price went up :
    0   
    0    
     Stock price went down :
    0   
    0    
   
     Gain/Loss Ratio :
   0.0   
   0.0   
     Percentage Gain/Loss :
     0.0%
   0.0%
     
   
Holdings :
     Menu Company Name Ticker Relation Direct Date Direct Shares Indirect Date Indirect Shares Total Value Sold  
            Silverstar Holdings Ltd SSTRF 10% Owner 2005-04-12 696,583 2004-01-27 0    Premium*  
            Impsat Fiber Networks Inc IMFN 10% Owner 2006-01-06 1,918,380 0    Premium*  
            Dune Energy Inc DUNR 10% Owner 2011-04-14 11,709,182 2007-05-01 0    Premium*  
            India Globalization Capital, Inc. IGC 10% Owner 2008-07-11 0 2008-07-14 31,326    Premium*  
            Invesco Van Kampen Tr For VTJ Former 10% owner 0 2010-06-30 103    Premium*  
            Invesco Van Kampen Select VKL Former 10% owner 0 2012-05-31 6    Premium*  
            Invesco Van Kampen Cali Va VCV Former 10% owner 0 2012-05-31 24    Premium*  
            DNP Select Income Fund Inc DNP Former 10% Owner 0 2012-12-26 0    Premium*  
            Blackrock Muniyield Michigan Ins... MYM Former 10% owner 0 2011-05-31 152    Premium*  
            Invesco Van Kampen Penn Va VPV Former 10% owner 0 2012-05-31 83    Premium*  
            Virtus AllianzGI Convertible & I... NCV 10% Owner 0 2013-10-18 8,056    Premium*  
            Blackrock Muniyield California I... MCA Former 10% owner 0 2011-05-31 199    Premium*  
            Virtus Allianzgi Convertible & I... NCZ 10% Owner 0 2014-10-24 5,636    Premium*  
            Invesco V Kampen Ohio Qual VOQ Former 10% owner 0 2012-06-30 0    Premium*  
            Blackrock Muniyield California F... MYC Former 10% owner 0 2011-06-30 148    Premium*  
            Pimco Floating Rate Income Fund PFL 10% Owner 0 2009-05-31 353    Premium*  
            Blackrock Muniholdings New York ... MHN Former 10% owner 0 2010-06-30 872    Premium*  
            Invesco Ny Quality Muni Se IQN Former 10% owner 0 2012-06-30 0    Premium*  
            Invesco California Insured IIC Former 10% owner 0 2012-06-30 0    Premium*  
            Invesco Insured Muni Bond IMC Former 10% owner 0 2012-06-30 0    Premium*  
            Invesco Van Kampen Tr For VIM Former 10% owner 0 2012-06-30 0    Premium*  
            Invesco Muni Premium Inc T PIA Former 10% owner 0 2010-06-30 57    Premium*  
            Invesco Quality Muni Inc T IQI 10% Owner 0 2010-04-30 266    Premium*  
            Invesco Van Kampen Tr For VTN Former 10% owner 0 2012-05-31 76    Premium*  
            Pioneer High Income PHT Former 10% Owner 0 2014-03-18 0    Premium*  
            BlackRock Massachusetts Tax-Exem... MHE Former 10% owner 2012-06-30 0 2012-06-30 0    Premium*  
            Blackrock New Jersey Municipal B... BLJ Former 10% owner 2012-07-07 0 2012-07-07 0    Premium*  
            Blackrock Pennsylvania Strategic... BPS Former 10% owner 2012-07-03 0 2012-07-03 0    Premium*  
            Pioneer Municipal High Income Ad... MAV 10% Owner 2012-07-07 0 2012-07-07 2,286    Premium*  
            Blackrock New York Investment Qu... RNY Former 10% owner 2012-07-20 0 2012-07-20 0    Premium*  
            Blackrock New Jersey Investment ... RNJ Former 10% owner 2012-07-24 0 2012-07-24 0    Premium*  
            Pimco Floating Rate Strategy Fun... PFN 10% Owner 2012-08-01 0 2014-02-25 1,422    Premium*  
            MFS Municipal Income Trust MFM Former 10% Owner 2012-09-18 0 2012-09-18 0    Premium*  
            American Municipal Income Portfo... XAA Former 10% Owner 2012-11-02 0 2014-05-12 0    Premium*  
            Eaton Vance Limited Duration Inc... EVV 10% Owner 2012-12-06 0 2013-06-19 5,148    Premium*  
            Pimco Corporate Opportunity Fund PTY 10% Owner 2012-12-07 0 2014-02-25 3,242    Premium*  
            Eaton Vance Floating-Rate Income... EFT Former 10% Owner 2012-12-19 0 2012-12-19 0    Premium*  
            Blackrock Florida Municipal 2020... BFO Former 10% Owner 2013-01-23 0 2014-11-11 0    Premium*  
            Blackrock Municipal 2020 Term Tr... BKK 10% Owner 2013-01-23 0 2014-11-12 1,078    Premium*  
            Dreyfus Strategic Municipal Bond... DSM 10% Owner 2013-08-26 0 2014-01-02 1,487    Premium*  
            Dreyfus Strategic Municipals Inc LEO 10% Owner 2013-08-26 0 2014-01-06 2,324    Premium*  
            Dreyfus Municipal Income Inc DMF 10% Owner 2013-08-29 0 2014-01-03 825    Premium*  
            Alliance California Municipal In... AKP 10% Owner 2013-11-08 0 2013-11-08 351    Premium*  
            Eaton Vance Senior Floating Rate... EFR 10% Owner 2013-11-12 0 2014-04-02 2,833    Premium*  
            Pioneer Floating Rate Trust PHD Former 10% Owner 2013-12-03 0 2013-12-06 0    Premium*  
            Eaton Vance Senior Income Trust EVF 10% Owner 2014-02-25 0 2014-02-25 1,893    Premium*  
            Franklin Templeton Limited Durat... FTF 10% Owner 2014-03-14 0 2014-03-14 593    Premium*  
            First American Minnesota Municip... MXN Former 10% Owner 2014-05-05 0 2014-05-05 0    Premium*  
            Minnesota Municipal Income Portf... MXA Former 10% Owner 2014-05-07 0 2014-05-09 0    Premium*  
* Premium Members only  

Records found :    509         Free Registration Required For Full Results.    Limit: 25

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  Page 5 of 21
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

  
3m +/-  
Form
DUNR Dune Energy Inc 10% Owner   –       –       •   2008-03-25 4 B $1.69 $12,900 D/D 7,600 0 2.37 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2008-03-26 4 B $1.77 $885 D/D 500 0 2.37 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2008-03-26 4 B $1.71 $14,470 D/D 8,462 916 2.37 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2008-03-27 4 B $1.76 $20,456 D/D 10,500 8,254 2.37 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2008-03-28 4 B $1.70 $2,040 D/D 1,200 0 2.37 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2008-03-31 4 B $1.76 $11,184 D/D 6,150 3,904 2.37 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2008-05-23 4 B $1.07 $2,403 D/D 2,246 0 2.37 -
IGC India Globalization Capit... 10% Owner   –       –       •   2008-07-11 4 B $4.83 $7,498 I/I 1,550 32,876 1.5 -
IGC India Globalization Capit... 10% Owner   –       –       •   2008-07-14 4 B $4.94 $1,482 I/I 300 31,626 1.42 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2011-04-13 4 B $0.82 $14,631 D/D 17,860 11,711,683 2.37 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2011-04-14 4 B $0.83 $581 D/D 700 11,709,883 2.37 -
EVV Eaton Vance Limited Durat... 10% Owner   –       –       •   2013-06-19 4 B $0.00 $0 I/I 4 5,148 1.42 -
NCV Virtus AllianzGI Converti... 10% Owner   –       –       •   2013-10-18 4 B $0.00 $0 I/I 1 8,056 1.42 -
AKP Alliance California Munic... 10% Owner   –       –       •   2013-11-08 4 B $0.00 $0 I/I 1 351 1.42 -
EFR Eaton Vance Senior Floati... 10% Owner   –       –       •   2013-11-12 4 B $0.00 $0 I/I 1 2,831 1.42 -
PFN Pimco Floating Rate Strat... 10% Owner   –       –       •   2014-02-03 4 B $0.00 $0 I/I 1 1,421 1.42 -
PTY Pimco Corporate Opportuni... 10% Owner   –       –       •   2014-02-25 4 B $0.00 $0 I/I 1 3,242 1.42 -
PFN Pimco Floating Rate Strat... 10% Owner   –       –       •   2014-02-25 4 B $0.00 $0 I/I 1 1,422 1.42 -
EVF Eaton Vance Senior Income... 10% Owner   –       –       •   2014-02-25 4 B $0.00 $0 I/I 1 1,893 1.42 -
EFR Eaton Vance Senior Floati... 10% Owner   –       –       •   2014-04-02 4 B $0.00 $0 I/I 2 2,833 1.42 -
IMFN Impsat Fiber Networks Inc 10% Owner   –       –       •   2006-01-06 5 D $7.06 $3,530 D/D (500) 1,918,380 0 -
JFP Nuveen Tax-Advantaged Flo... Former 10% owner   –       –      –    2009-03-31 5 D $0.00 $0 I/I (64) 0 0 -
BGT Blackrock Global Floating... See Explanatory Note #3   –       –      –    2009-05-31 5 D $0.00 $0 I/I (0) 1,009 0 -
CSQ Calamos Strategic Total R... Former 10% owner   –       –      –    2009-06-30 5 D $0.00 $0 I/I (858) 0 0 -
MHN Blackrock Muniholdings Ne... Former 10% owner   –       –      –    2009-07-31 5 D $0.00 $0 I/I (19) 811 0 -
  509  Records found
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  Page 5 of 21  
 
Free Registration Required For Full Results.    Limit: 25

 
 
  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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