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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 22 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   –       –       •   2017-02-17 4 B $7.83 $15,652 I/I 2,000 1,094,653 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-02-21 4 B $8.25 $61,862 I/I 7,500 963,872 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-02-22 4 B $8.30 $415,000 I/I 50,000 1,013,872 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-02-28 4 B $8.23 $43,603 I/I 5,300 1,019,176 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-01 4 B $8.24 $412,000 I/I 50,000 1,069,176 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-06 4 B $8.09 $202,250 I/I 25,000 1,094,176 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-06 4 B $7.87 $24,397 I/I 3,100 1,097,753 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-07 4 B $8.17 $207,527 I/I 25,402 1,119,578 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-07 4 B $7.87 $33,062 I/I 4,201 1,101,954 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 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-08 4 B $8.06 $11,284 I/I 1,400 1,120,978 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-10 4 B $8.19 $102,375 I/I 12,500 1,133,478 1.5 -
PMO Putnam Municipal Opportun... 10% Owner   –       –       •   2017-03-16 3 IO $0.00 $0 I/I 0 400 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-03-17 3 IO $0.00 $0 I/I 0 464,856 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-20 4 B $7.74 $30,186 I/I 3,900 1,111,854 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-20 4 B $8.65 $4,353 I/I 503 1,133,981 1.42 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-21 4 B $8.64 $3,482 I/I 403 1,134,384 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-21 4 B $7.73 $58,407 I/I 7,557 1,119,411 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-03-21 4 B $18.24 $182,410 I/I 10,000 474,856 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-22 4 B $8.62 $37,072 I/I 4,300 1,138,684 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2017-03-22 4 S $4.87 $12,842,253 I/I (2,636,634) 1,553,860 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-22 4 B $7.71 $17,742 I/I 2,300 1,121,711 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-03-24 4 B $18.37 $183,700 I/I 10,000 484,856 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-03-24 4 B $8.70 $221,845 I/I 25,500 1,164,184 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-03-27 4 B $18.27 $36,535 I/I 2,000 486,856 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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