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

  
3m +/-  
Form
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-31 4 B $8.78 $50,931 I/I 5,803 1,192,687 1.5 -
SZC Cushing Renaissance Fund 10% Owner   –       –       •   2016-08-17 4 B $16.14 $96,848 I/I 6,000 444,462 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-08 4 B $7.85 $47,100 I/I 6,000 1,107,954 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-03 4 B $9.00 $54,403 I/I 6,045 1,521,221 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-12 4 B $7.20 $44,399 I/I 6,167 1,039,428 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-05-09 4 B $4.26 $26,412 I/I 6,200 3,263,777 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-04-19 4 B $7.84 $49,392 I/I 6,300 1,141,744 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-05 4 S $7.15 $45,410 I/I (6,351) 997,498 0 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-12-01 4 B $13.08 $83,439 I/I 6,377 1,166,357 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-04-28 4 B $8.96 $57,308 I/I 6,396 1,251,574 1.5 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-08-29 4 B $13.80 $88,418 I/I 6,408 718,755 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-10-25 4 B $8.90 $57,895 I/I 6,505 1,161,073 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-07 4 B $7.13 $46,892 I/I 6,574 1,028,366 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-02 4 B $12.99 $85,469 I/I 6,580 1,084,322 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-12 4 B $13.76 $91,290 I/I 6,634 342,264 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-12 4 B $12.14 $80,540 I/I 6,635 1,891,760 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-04-22 4 S $15.26 $102,146 I/I (6,693) 588,743 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-22 4 B $7.96 $53,332 I/I 6,700 1,221,130 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-01-25 4 B $7.49 $50,231 I/I 6,705 789,825 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-09-09 4 B $8.62 $57,875 D/D 6,714 14,089 2.45 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-06 4 B $8.49 $57,141 I/I 6,730 794,955 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-06 4/A B $8.49 $57,141 I/I 6,730 789,555 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-02-02 4 B $7.75 $52,498 I/I 6,774 1,080,325 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-03 4 S $7.12 $48,309 I/I (6,785) 1,010,641 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-04 4 S $7.12 $48,359 I/I (6,792) 1,003,849 0 -
  699  Records found
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  Page 14 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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