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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 25 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   –       –       •   2017-05-17 4 B $7.96 $97,493 I/I 12,248 1,194,805 1.5 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2017-05-17 4 S $8.69 $712,255 I/I (81,508) 927,037 0 -
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 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-19 4 B $7.95 $31,513 I/I 3,964 1,214,430 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-22 4 B $7.96 $53,332 I/I 6,700 1,221,130 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-05-22 4 B $19.74 $394,812 I/I 20,000 732,868 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-23 4 B $7.96 $42,984 I/I 5,400 1,226,530 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-05-23 4 B $19.62 $392,398 I/I 20,000 752,868 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-24 4 B $7.94 $9,830 I/I 1,238 1,227,768 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-05-24 4 B $19.60 $195,982 I/I 10,000 762,868 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-25 4 B $7.94 $66,172 I/I 8,334 1,236,102 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-26 4 B $7.94 $103 I/I 13 1,236,115 1.42 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-05-26 4 B $19.67 $983,500 I/I 50,000 812,868 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-31 4 B $7.95 $31,098 I/I 3,912 1,240,027 1.5 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-06-01 4 B $19.69 $492,250 I/I 25,000 837,868 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-06-05 4 B $9.54 $954,000 I/I 100,000 1,377,174 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-06-06 4 B $9.52 $4,760 I/I 500 1,377,674 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-06 4 B $7.95 $91,624 I/I 11,525 1,251,552 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-06-07 4 B $9.53 $2,382,500 I/I 250,000 1,627,674 1.5 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2017-06-07 4 B $2.17 $61,799 I/I 28,479 826,327 1.5 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2017-06-07 4 S $2.17 $61,799 I/I (28,479) 797,848 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-08 4 B $7.95 $3,975 I/I 500 1,252,052 1.42 -
JFC Jpmorgan China Region Fun... 10% Owner   –       –       •   2017-06-09 4 B $19.82 $148,650 I/I 7,500 845,368 1.5 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-06-12 4 B $9.53 $476,500 I/I 50,000 1,677,674 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-13 4 B $7.95 $22,260 I/I 2,800 1,254,852 1.5 -
  699  Records found
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  Page 25 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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