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

  
3m +/-  
Form
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-02 4 B $8.96 $23,826 I/I 2,659 1,515,176 1.5 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-04-25 4 B $4.21 $23,994 I/I 5,702 3,077,703 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2017-03-06 4 B $7.87 $24,397 I/I 3,100 1,097,753 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-21 4 B $13.00 $24,401 I/I 1,877 1,134,987 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-11-20 4 B $12.75 $24,697 I/I 1,937 52,877 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-10-27 4 B $8.92 $24,869 I/I 2,788 1,180,506 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-11-15 4 B $12.86 $25,071 I/I 1,950 1,131,406 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-06-30 4 B $8.97 $25,106 I/I 2,800 1,440,278 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-06-07 4 B $11.98 $25,146 I/I 2,099 1,454,732 1.5 -
XRDC Crossroads Capital Inc 10% Owner   –       –       •   2015-06-18 4 B $4.75 $25,147 I/I 5,294 792,711 1.5 -
JGV Nuveen Global Equity Inco... 10% Owner   –       –       •   2016-07-26 4 B $12.12 $25,449 I/I 2,100 1,769,324 1.5 -
CTF Nuveen Long/short Commodi... 10% Owner   –       –       •   2016-12-05 4 B $13.28 $25,763 I/I 1,940 1,177,187 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 -
LCM Advent/Claymore Enhanced ... 10% Owner   –       –       •   2015-10-26 4 S $8.79 $25,996 I/I (2,958) 1,137,599 0 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-09-06 4 B $8.69 $26,067 D/D 3,000 1,000 2.37 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-01 4 B $9.04 $26,236 I/I 2,901 1,512,517 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-09-11 4 B $8.75 $26,250 D/D 3,000 2,000 2.37 -
DCA Virtus Total Return Fund 10% Owner   –       –       •   2016-05-09 4 B $4.26 $26,412 I/I 6,200 3,263,777 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-10-24 4 B $8.95 $26,814 I/I 2,996 1,154,568 1.5 -
FAV First Trust Active Divide... 10% Owner   –       –       •   2016-08-04 4 B $9.00 $27,001 I/I 3,000 1,524,221 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-11-06 4 B $8.99 $27,267 I/I 3,033 1,191,148 1.5 -
PHF Pacholder High Yield Fund... 10% Owner   –       –       •   2016-06-20 4 S $7.21 $27,416 I/I (3,802) 1,124,260 0 -
SZC Cushing Renaissance Fund 10% Owner   –       –       •   2016-08-19 4 B $16.35 $27,790 I/I 1,700 447,378 1.5 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2015-03-26 4 B $13.90 $28,031 I/I 2,017 405,465 1.5 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2017-11-17 4 B $8.94 $28,284 I/I 3,164 1,243,496 1.5 -
  699  Records found
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  Page 9 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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