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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 8 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 -
SZC Cushing Renaissance Fund 10% Owner   –       –       •   2016-08-18 4 B $16.41 $19,957 I/I 1,216 445,678 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-02-25 4 B $13.78 $20,036 I/I 1,454 373,635 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-02-07 4 B $7.78 $20,037 I/I 2,574 1,083,053 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-06-03 4 B $11.89 $20,213 I/I 1,700 1,452,633 1.5 -
CH Urban Select Capital Corp 10% Owner   –       –       •   2017-12-05 4 S $7.85 $20,332 D/D (2,590) 21,107 0 -
CH Urban Select Capital Corp 10% Owner   –       –       •   2017-11-08 4 S $8.86 $20,371 D/D (2,300) 22,820 0 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-04-17 4 B $5.00 $20,500 I/I 4,100 724,243 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-09-01 4 S $7.22 $20,574 I/I (2,849) 988,611 0 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-26 4 B $4.23 $20,734 I/I 4,900 3,082,603 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-18 4 B $9.11 $21,800 I/I 2,393 1,607,643 1.5 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-04-22 4 B $5.00 $21,945 I/I 4,389 747,451 1.5 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-01-30 4 S $15.95 $21,947 I/I (1,376) 732,537 0 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-17 4 B $12.90 $21,975 I/I 1,704 1,133,110 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-18 4 S $7.22 $22,072 I/I (3,057) 1,062,955 0 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-06-17 4 B $4.80 $22,080 I/I 4,600 787,417 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-07-28 4 B $9.06 $22,136 I/I 2,442 1,509,616 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-06-13 4 B $7.95 $22,260 I/I 2,800 1,254,852 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-12-19 4 B $13.00 $22,438 I/I 1,726 249,515 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2015-12-31 4 B $8.44 $22,504 I/I 2,666 741,818 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-02-23 4 B $13.82 $22,623 I/I 1,637 371,830 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-07-21 4 S $7.28 $23,332 I/I (3,205) 1,053,932 0 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-11-23 4 B $7.00 $23,380 I/I 3,342 983,149 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-09-06 4 B $9.19 $23,397 I/I 2,546 1,693,870 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-30 4 B $13.06 $23,538 I/I 1,802 1,159,980 1.5 -
  699  Records found
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  Page 8 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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