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

  
3m +/-  
Form
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-06 4/A B $8.49 $57,141 I/I 6,730 789,555 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-07 4/A B $8.51 $187,814 I/I 22,062 811,617 1.5 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-07-07 4 B $4.69 $836 I/I 178 814,927 1.42 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-07-07 4 B $14.16 $127,777 I/I 9,027 424,700 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-07 4 B $8.51 $187,814 I/I 22,062 817,017 1.5 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-07-08 4 B $4.62 $1,848 I/I 400 815,327 1.42 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-07-09 4 B $4.78 $47,820 I/I 10,000 825,327 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-09 4 B $8.52 $31,508 I/I 3,700 820,717 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-09 4/A B $8.52 $31,508 I/I 3,700 815,317 1.5 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-07-10 4 B $4.60 $4,600 I/I 1,000 826,327 1.42 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-07-14 4 B $13.98 $148,516 I/I 10,622 435,322 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-15 4/A B $8.52 $852,000 I/I 100,000 915,317 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-15 4 B $8.52 $852,000 I/I 100,000 920,717 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-07-16 4 B $14.03 $1,539,568 I/I 109,734 545,056 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-17 4/A B $8.65 $822,954 I/I 95,000 1,010,317 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-07-17 4 B $14.06 $153,960 I/I 10,951 556,007 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-17 4 B $8.65 $822,954 I/I 95,000 1,015,717 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-07-20 4 B $14.05 $49,192 I/I 3,500 559,507 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-22 4 B $8.64 $4,322,592 I/I 500,300 1,516,017 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-07-22 4/A B $8.64 $4,322,592 I/I 500,300 1,510,617 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-08-17 4/A B $8.65 $219,677 I/I 25,400 1,536,017 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-08-17 4 B $8.65 $219,677 I/I 25,400 1,541,417 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-08-18 4/A B $8.60 $6,020 I/I 700 1,536,717 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-08-18 4 B $8.60 $6,020 I/I 700 1,542,117 1.5 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-08-24 4/A B $8.52 $434,530 I/I 51,000 1,587,717 1.5 -
  699  Records found
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  Page 6 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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