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

  
3m +/-  
Form
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-02-02 4 D $23.27 $19,826 D/D (852) 4,148 0 -
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   –       –       •   2014-12-01 4 B $12.77 $11,301 I/I 885 58,829 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-04-12 4 B $7.84 $7,017 I/I 895 1,126,222 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-14 4 B $4.16 $3,736 I/I 898 3,034,661 1.42 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-02-26 4 B $7.88 $7,090 I/I 900 1,152,265 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-20 4 S $7.25 $6,525 I/I (900) 1,057,137 0 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-29 4 B $12.11 $10,903 I/I 900 1,780,324 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-05-03 4 B $7.90 $7,110 I/I 900 1,146,285 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-02-09 4 S $15.00 $14,175 I/I (945) 604,187 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-01-25 4 B $7.72 $7,511 I/I 973 1,046,530 1.5 -
SPE Special Opportunities Fun... Investment Advisor Principal   –       –      –    2011-06-20 5 B $15.41 $15,410 D/D 1,000 2,280 0 -
SPE Special Opportunities Fun... Investment Advisor Principal   –       –      –    2012-09-17 4 B $15.77 $15,772 D/D 1,000 3,360 2.44 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-07-10 4 B $4.60 $4,600 I/I 1,000 826,327 1.42 -
SZC Cushing Renaissance Fund 10% Owner   –       –       •   2016-08-10 4 B $15.63 $15,635 I/I 1,000 431,094 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-02 4 B $9.16 $9,160 I/I 1,000 1,691,324 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-19 4 B $11.78 $11,781 I/I 1,000 2,125,782 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-13 4 B $11.71 $11,756 I/I 1,004 2,099,282 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-09-02 4 S $7.24 $7,363 I/I (1,017) 987,594 0 -
LBF DWS Global High Income Fu... 10% Owner   –       –       •   2015-06-09 4 B $8.18 $8,409 I/I 1,028 589,823 1.5 -
SZC Cushing Renaissance Fund 10% Owner   –       –       •   2016-08-16 4 B $16.20 $16,655 I/I 1,028 438,462 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-09-22 4 B $11.97 $12,485 I/I 1,043 2,176,925 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-01-19 4 B $7.72 $8,106 I/I 1,050 777,708 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-10-23 4 B $8.92 $9,817 I/I 1,100 1,151,572 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-10 4 B $9.07 $10,068 I/I 1,110 1,600,605 1.5 -
  699  Records found
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  Page 5 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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