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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   $426,469    

Indirect Value

   $41,960,336      
Total Shares   26,658,584      
Total Value   $42,386,805      


Firsthand Technology Value Fund, Inc. $622 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $143,691 Urban Select Capital Corp $108,490 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710 Firsthand Technology Value Fund, Inc. $622 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $143,691 Urban Select Capital Corp $108,490 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 20 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   –       –       •   2016-12-06 4 B $7.10 $110,595 I/I 15,575 1,021,792 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-26 4 B $13.16 $112,137 I/I 8,524 308,098 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-05-23 4 B $11.50 $112,179 I/I 9,756 1,403,385 1.5 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-08-27 4 B $13.76 $112,832 I/I 8,200 712,347 1.5 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-10-02 4 B $13.62 $113,759 I/I 8,353 593,453 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2015-12-28 4 B $8.41 $114,482 I/I 13,615 739,152 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-06-29 4 B $11.43 $115,440 I/I 10,100 1,606,110 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-11-19 4 B $12.69 $116,448 I/I 9,173 50,940 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-12-02 4 B $13.18 $117,161 I/I 8,890 1,175,247 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-11-09 4 B $8.94 $118,057 I/I 13,208 1,212,182 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-10 4 B $12.86 $118,074 I/I 9,180 95,439 1.5 -
LBF DWS Global High Income Fu... 10% Owner   –       –       •   2016-05-04 4 S $8.05 $119,133 I/I (14,799) 480,946 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-04-23 4 S $15.29 $121,061 I/I (7,918) 580,825 0 -
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 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-28 4 B $12.10 $122,259 I/I 10,100 1,779,424 1.5 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-10-03 4 B $13.59 $122,348 I/I 9,000 602,453 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-02-02 4 B $7.61 $122,392 I/I 16,089 926,056 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-07-07 4 B $7.96 $123,380 I/I 15,500 1,408,152 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-20 4/A B $4.28 $124,153 I/I 28,990 3,072,001 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-18 4 B $7.95 $124,505 I/I 15,661 1,210,466 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-24 4 B $13.15 $127,079 I/I 9,663 299,574 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-07-07 4 B $14.16 $127,777 I/I 9,027 424,700 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 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-20 4 B $4.28 $128,435 I/I 29,990 3,073,001 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-01-15 4 B $7.74 $129,793 I/I 16,762 776,658 1.5 -
  699  Records found
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  Page 20 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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