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

  
3m +/-  
Form
SZC Cushing Renaissance Fund 10% Owner   –       –       •   2016-08-12 4 B $15.97 $1,757 I/I 110 433,084 1.42 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-03 4 B $9.06 $1,812 I/I 200 1,245,885 1.42 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-07-08 4 B $4.62 $1,848 I/I 400 815,327 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-11 4 B $6.72 $2,017 I/I 300 966,830 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-01 4 S $7.15 $2,145 I/I (300) 1,094,023 0 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-04-18 4 B $11.01 $2,202 I/I 200 1,345,197 1.42 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-11-25 4 B $12.77 $2,554 I/I 200 57,442 1.42 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-03-29 4 B $8.52 $2,556 I/I 300 1,309,320 1.42 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-10-20 4 B $8.86 $2,658 I/I 300 1,951,679 1.42 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-11-18 4 B $12.70 $2,667 I/I 210 41,767 1.42 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-10-19 4 B $8.97 $2,691 I/I 300 1,148,772 1.42 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-05 4 B $9.05 $2,715 I/I 300 1,524,521 1.42 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-15 4 B $9.13 $2,739 I/I 300 1,605,250 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-29 4 S $7.13 $2,918 I/I (409) 1,095,023 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-15 4 B $7.95 $3,180 I/I 400 1,174,857 1.42 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-01-28 4 B $7.57 $3,407 I/I 450 851,625 1.42 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-26 4 S $17.10 $3,420 I/I (200) 746,913 0 -
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   –       –       •   2016-11-29 4 B $7.00 $3,500 I/I 500 995,098 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-22 4 B $7.05 $3,532 I/I 501 979,807 1.42 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-10-18 4 B $8.95 $3,580 I/I 400 1,148,472 1.42 -
KEF Korea Equity Fund Inc 10% Owner   –       –       •   2017-04-11 4 B $8.47 $3,659 I/I 432 1,204,678 1.42 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-14 4 B $4.16 $3,736 I/I 898 3,034,661 1.42 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-06-29 4 B $4.50 $3,879 I/I 862 814,749 1.42 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-30 4 B $13.25 $3,975 I/I 300 315,925 1.42 -
  699  Records found
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  Page 3 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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