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

  
3m +/-  
Form
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-09-14 4 B $4.51 $146,516 I/I 32,453 4,190,476 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-15 4 B $11.74 $167,875 I/I 14,300 2,113,582 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-16 4 B $11.65 $130,492 I/I 11,200 2,124,782 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-16 4 B $8.96 $87,798 I/I 9,795 1,704,305 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-19 4 B $11.78 $11,781 I/I 1,000 2,125,782 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-20 4 B $9.00 $308,033 I/I 34,240 1,738,545 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-21 4 B $11.85 $593,820 I/I 50,100 2,175,882 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-21 4 B $9.00 $495,039 I/I 55,000 1,793,545 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-22 4 B $9.08 $597,210 I/I 65,780 1,859,325 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-22 4 B $11.97 $12,485 I/I 1,043 2,176,925 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-23 4 B $9.07 $357,550 I/I 39,426 1,898,751 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-27 4 B $9.02 $186,714 I/I 20,700 1,919,451 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-28 4 B $9.05 $40,955 I/I 4,524 1,923,975 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-28 4 B $11.89 $214,570 I/I 18,049 2,194,974 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-30 4 B $9.10 $136,595 I/I 15,004 1,938,979 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-10-05 4 B $9.11 $13,670 I/I 1,500 1,940,479 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-10-19 4 B $8.89 $96,901 I/I 10,900 1,951,379 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-10-20 4 B $8.86 $2,658 I/I 300 1,951,679 1.42 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-10-28 4 B $13.40 $56,048 I/I 4,184 1,072,872 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-10-31 4 S $7.01 $73,156 I/I (10,436) 964,292 0 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-10-31 4 B $13.26 $46,520 I/I 3,508 1,076,380 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 -
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 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-03 4 B $13.07 $61,339 I/I 4,692 1,089,014 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-04 4 B $12.98 $40,018 I/I 3,083 1,092,097 1.5 -
  699  Records found
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  Page 18 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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