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

  
3m +/-  
Form
LBF DWS Global High Income Fu... 10% Owner   –       –       •   2015-06-01 4 B $8.33 $155,394 I/I 18,655 563,495 1.5 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2015-10-27 4 S $8.77 $155,817 I/I (17,766) 1,119,833 0 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-01-27 4 B $7.52 $156,490 I/I 20,812 851,175 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-09-08 4 B $8.71 $158,518 I/I 18,200 1,103,279 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-21 4 B $7.95 $158,924 I/I 20,000 1,303,052 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-02 4 B $11.87 $159,033 I/I 13,396 1,793,720 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-02-08 4 B $7.44 $159,299 I/I 21,400 973,520 1.5 -
IFT Imperial Holdings, Llc 10% Owner   –       –       •   2012-06-15 5 B $3.89 $159,511 I/I 41,000 1,765,079 0 -
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 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-02 4 B $8.05 $161,889 I/I 20,104 1,236,369 1.5 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2017-05-16 4 S $8.77 $161,903 I/I (18,464) 1,008,545 0 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-27 4 B $4.25 $162,280 I/I 38,197 3,120,800 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-01 4 B $4.19 $164,557 I/I 39,300 2,840,058 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-09-09 4 B $4.59 $167,112 I/I 36,369 4,116,069 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 -
AKP Alliance California Munic... 10% Owner   –       –       •   2018-08-30 4 B $13.80 $168,348 I/I 12,200 730,955 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-22 4 B $9.10 $169,984 I/I 18,688 1,634,688 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-08-04 4 B $11.88 $173,435 I/I 14,600 1,830,314 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-07 4 B $12.26 $174,058 I/I 14,200 2,083,961 1.5 -
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   –       –       •   2016-04-20 4 B $8.86 $174,863 I/I 19,734 1,393,362 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-06-17 4 B $11.41 $175,237 I/I 15,361 1,557,410 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-03-14 4 B $4.04 $176,314 I/I 43,655 2,155,924 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2014-12-12 4 S $19.16 $177,519 I/I (9,264) 827,938 0 -
NRO Neuberger Berman Real Est... 10% Owner   –       –       •   2016-05-09 4 B $5.35 $179,549 I/I 33,580 4,415,983 1.5 -
  699  Records found
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  Page 22 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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