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

  
3m +/-  
Form
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-19 4 B $13.00 $22,438 I/I 1,726 249,515 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-22 4 B $13.06 $237,878 I/I 18,220 267,735 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-23 4 B $13.14 $291,375 I/I 22,176 289,911 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   –       –       •   2014-12-26 4 B $13.16 $112,137 I/I 8,524 308,098 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-29 4 B $13.20 $99,376 I/I 7,527 315,625 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-30 4 B $13.25 $3,975 I/I 300 315,925 1.42 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-08 4 B $13.70 $269,905 I/I 19,705 335,630 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-12 4 B $13.76 $91,290 I/I 6,634 342,264 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-13 4 B $13.74 $45,631 I/I 3,321 345,585 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-14 4 B $13.90 $28,426 I/I 2,045 347,630 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-15 4 S $18.60 $278,740 I/I (14,984) 807,867 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-16 4 S $18.50 $96,977 I/I (5,242) 802,625 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-20 4 S $18.52 $341,185 I/I (18,423) 784,202 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-21 4 S $18.41 $633,626 I/I (34,422) 749,780 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-22 4 S $18.40 $49,073 I/I (2,667) 747,113 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-26 4 S $17.10 $3,420 I/I (200) 746,913 0 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-01-26 4 B $13.88 $31,681 I/I 2,283 349,913 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-28 4 S $16.15 $209,986 I/I (13,000) 733,913 0 -
SPE Special Opportunities Fun... Investment Adviser Principal   –       –      –    2015-01-30 4 S $14.84 $50,109 D/D (3,375) 0 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-30 4 S $15.95 $21,947 I/I (1,376) 732,537 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-02-02 4 D $23.27 $2,962,622 I/I (127,314) 605,223 0 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-02-02 4 D $23.27 $19,826 D/D (852) 4,148 0 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-02-06 4 B $13.95 $9,500 I/I 681 350,594 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-02-06 4 S $15.00 $1,365 I/I (91) 605,132 0 -
  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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