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

  
3m +/-  
Form
CH Urban Select Capital Corp 10% Owner   –       –       •   2017-08-11 3 IO $0.00 $0 D/D 0 27,872 -
TLI Western Asset Corporate L... 10% Owner   –       –       •   2019-11-26 3 IO $0.00 $0 D/D 0 7,803 -
IFT Imperial Holdings, Llc 10% Owner   –       –       •   2013-12-31 5 D $0.00 $0 I/I (106,596) 1,685,275 0 -
SPE Special Opportunities Fun... Investment Adviser Principal   –       –      –    2014-02-19 5 A $0.00 $0 D/D 1,515 3,079 0 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-09-01 4 D $0.00 $0 I/I (32,371) 1,059,576 0 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-09-01 4 D $0.00 $0 I/I (22,517) 822,851 0 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-06-06 4 D $0.00 $0 I/I (90,422) 1,467,199 0 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-10-01 4 D $0.00 $0 I/I (149,565) 583,990 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-26 4 B $7.94 $103 I/I 13 1,236,115 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-30 4 B $7.05 $282 I/I 40 995,138 1.42 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-05-25 4 B $4.28 $428 I/I 100 3,566,507 1.42 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-05-13 4 B $5.10 $510 I/I 100 782,817 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-24 4 S $7.11 $711 I/I (100) 1,095,432 0 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-07-07 4 B $4.69 $836 I/I 178 814,927 1.42 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2015-09-18 4 B $8.51 $851 I/I 100 1,090,456 1.42 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-06-13 4 B $8.85 $885 I/I 100 1,414,960 1.42 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-02-02 4 B $9.00 $900 I/I 100 1,557,621 1.42 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2016-05-10 4 S $8.43 $1,096 I/I (130) 1,082,477 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-02-03 4 B $7.76 $1,195 I/I 154 1,080,479 1.42 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-10 4 B $12.09 $1,294 I/I 107 1,882,125 1.42 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-09-28 4 B $13.50 $1,350 I/I 100 733,555 1.42 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-02-06 4 S $15.00 $1,365 I/I (91) 605,132 0 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-02-18 4 B $13.70 $1,370 I/I 100 369,793 1.42 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-04-06 4 B $8.60 $1,720 I/I 200 1,325,570 1.42 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-29 4 B $8.67 $1,734 I/I 200 1,186,884 1.42 -
  699  Records found
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  Page 2 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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