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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
NRO Neuberger Berman Real Est... 10% Owner   –       –       •   2016-05-06 4 B $5.31 $98,515 I/I 18,552 4,382,403 1.5 -
NRO Neuberger Berman Real Est... 10% Owner   –       –       •   2016-12-14 4 S $5.32 $390,790 I/I (73,483) 4,340,236 0 -
NRO Neuberger Berman Real Est... 10% Owner   –       –       •   2016-05-09 4 B $5.35 $179,549 I/I 33,580 4,415,983 1.5 -
NRO Neuberger Berman Real Est... 10% Owner   –       –       •   2016-05-10 4 B $5.35 $82,314 I/I 15,387 4,431,370 1.5 -
NRO Neuberger Berman Real Est... 10% Owner   –       –       •   2016-12-13 4 S $5.35 $94,419 I/I (17,651) 4,413,719 0 -
IFT Imperial Holdings, Llc 10% Owner   –       –       •   2015-06-24 4 OE $5.75 $7,508,632 I/I 1,305,849 2,991,124 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-14 4 B $6.71 $53,952 I/I 8,035 974,865 1.5 -
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   –       –       •   2016-11-18 4 B $6.92 $11,812 I/I 1,707 976,572 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-07 4 B $6.95 $34,750 I/I 5,000 1,128,062 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-21 4 B $6.96 $19,022 I/I 2,734 979,306 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-25 4 B $6.97 $63,763 I/I 9,154 992,303 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-23 4 B $7.00 $23,380 I/I 3,342 983,149 1.5 -
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   –       –       •   2016-10-31 4 S $7.01 $73,156 I/I (10,436) 964,292 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-28 4 B $7.03 $16,124 I/I 2,295 994,598 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-22 4 B $7.05 $3,532 I/I 501 979,807 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-30 4 B $7.05 $282 I/I 40 995,138 1.42 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-05 4 S $7.08 $11,712 I/I (1,654) 1,092,369 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-01 4 B $7.08 $11,685 I/I 1,650 996,788 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-02 4 B $7.08 $25,965 I/I 3,668 1,000,456 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-05 4 B $7.09 $40,849 I/I 5,761 1,006,217 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-12-06 4 B $7.10 $110,595 I/I 15,575 1,021,792 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-24 4 S $7.11 $711 I/I (100) 1,095,432 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-08-03 4 S $7.12 $48,309 I/I (6,785) 1,010,641 0 -
  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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