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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   $428,321    

Indirect Value

   $42,275,026      
Total Shares   26,658,584      
Total Value   $42,703,346      


Firsthand Technology Value Fund, Inc. $675 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $140,952 Urban Select Capital Corp $113,028 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710 Firsthand Technology Value Fund, Inc. $675 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $140,952 Urban Select Capital Corp $113,028 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 13 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   –       –       •   2016-06-30 4 S $7.14 $4,998 I/I (700) 1,094,323 0 -
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 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-01 4 S $7.15 $2,145 I/I (300) 1,094,023 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-05 4 S $7.08 $11,712 I/I (1,654) 1,092,369 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-07 4 S $7.15 $93,808 I/I (13,120) 1,079,120 0 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-07 4 B $11.59 $91,555 I/I 7,900 1,615,710 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-08 4 B $11.76 $128,135 I/I 10,900 1,626,610 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 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-08 4 S $7.18 $63,277 I/I (8,813) 1,070,436 0 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-11 4 B $11.88 $281,791 I/I 23,724 1,650,334 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-11 4 S $7.21 $31,894 I/I (4,424) 1,066,012 0 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-07-11 4 B $4.54 $174,264 I/I 38,358 3,604,865 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-12 4 B $9.16 $28,962 I/I 3,163 1,463,941 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-07-12 4 B $4.56 $87,525 I/I 19,194 3,624,059 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   –       –       •   2016-07-13 4 B $9.13 $91,294 I/I 10,000 1,473,941 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-07-13 4 B $4.55 $159,775 I/I 35,100 3,659,159 1.5 -
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 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-14 4 B $9.19 $34,919 I/I 3,800 1,477,741 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-14 4 B $12.09 $121,760 I/I 10,075 1,690,595 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-07-14 4 B $4.56 $89,382 I/I 19,600 3,678,759 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-15 4 B $12.06 $94,098 I/I 7,800 1,698,395 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-07-15 4 B $4.56 $84,123 I/I 18,448 3,697,207 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-18 4 B $12.09 $88,998 I/I 7,359 1,705,754 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 -
  699  Records found
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  Page 13 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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