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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   $422,630    

Indirect Value

   $41,986,818      
Total Shares   26,658,584      
Total Value   $42,409,448      


Firsthand Technology Value Fund, Inc. $995 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $138,213 Urban Select Capital Corp $109,756 Alliance California Municipal Income Fund $101,956 Western Asset Corporate Loan Fund Inc $71,710 Firsthand Technology Value Fund, Inc. $995 Alliance New York Municipal Income Fund $0 Mfs Intermarket Income Trust I $0 Putnam High Income Bond Fund $138,213 Urban Select Capital Corp $109,756 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 1 of 28
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

  
3m +/-  
Form
SPE Special Opportunities Fun... Investment Advisor Principal   –       –      –    2010-01-22 5 S $14.18 $28,140,692 I/I (1,984,534) 0 0 -
SPE Special Opportunities Fun... Investment Adviser Principal   –       –      –    2015-01-30 4 S $14.84 $50,109 D/D (3,375) 0 0 -
PMO Putnam Municipal Opportun... 10% Owner   –       –       •   2017-08-10 4 D $22,437.50 $8,975,000 I/I (400) 0 0 -
PMO Putnam Municipal Opportun... 10% Owner   –       –       •   2017-03-16 3 IO $0.00 $0 I/I 0 400 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-29 4 B $9.17 $4,629 D/D 505 505 2.37 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-11-07 3 IO $0.00 $0 I/I 0 705 -
PCF Putnam High Income Bond F... 10% Owner   –       –       •   2018-01-30 4 B $9.12 $34,591 D/D 3,792 933 2.37 -
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 -
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 -
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   –       –      –    2011-08-16 5 B $14.50 $11,310 D/D 780 2,280 0 -
SPE Special Opportunities Fun... Investment Advisor Principal   –       –      –    2011-09-08 5 B $14.73 $7,365 D/D 500 2,280 0 -
SPE Special Opportunities Fun... Investment Adviser Principal   –       –      –    2014-02-19 5 A $0.00 $0 D/D 1,515 3,079 0 -
SPE Special Opportunities Fun... Investment Adviser Principal   –       –      –    2014-12-12 5 S $16.66 $41,023 D/D (2,463) 3,079 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 -
SVVC Firsthand Technology Valu... 10% Owner   –       –       •   2015-02-02 4 D $23.27 $19,826 D/D (852) 4,148 0 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-06-09 3/A IO $0.00 $0 D/D 0 5,400 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-09-03 4 B $8.59 $16,965 D/D 1,975 7,375 2.37 -
TLI Western Asset Corporate L... 10% Owner   –       –       •   2019-11-26 3 IO $0.00 $0 D/D 0 7,803 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-11-07 3/A IO $0.00 $0 D/D 0 10,900 -
CMK Mfs Intermarket Income Tr... 10% Owner   –       –       •   2015-09-09 4 B $8.62 $57,875 D/D 6,714 14,089 2.45 -
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 -
CH Urban Select Capital Corp 10% Owner   –       –       •   2017-08-11 3 IO $0.00 $0 D/D 0 27,872 -
AYN Alliance New York Municip... 10% Owner   –       –       •   2014-11-07 3/A IO $0.00 $0 I/I 0 41,557 -
  699  Records found
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  Page 1 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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