Andrew Dakos - Insider Trading Tracker

abrdn Emerging Markets ex-China Fund, Inc.

US ˙ NYSEAM ˙ US00301W1053

Pengenalan

Halaman ini menyediakan analisis menyeluruh tentang sejarah dagangan orang dalam yang diketahui Andrew Dakos. Orang dalam ialah pegawai, pengarah atau pelabur penting dalam syarikat. Adalah haram bagi orang dalam untuk membuat perdagangan dalam syarikat mereka berdasarkan maklumat khusus bukan awam. Ini tidak bermakna haram bagi mereka untuk membuat sebarang perdagangan dalam syarikat mereka sendiri. Tetapi mereka mesti melaporkan semua perdagangan kepada SEC melalui Borang 4. Walaupun terdapat sekatan ini, penyelidikan akademik menunjukkan bahawa orang dalam - secara amnya - cenderung untuk mengatasi prestasi pasaran dalam syarikat mereka sendiri.

Purata Keuntungan Perdagangan

Purata keuntungan perdagangan ialah purata pulangan semua pembelian pasaran terbuka yang dibuat oleh orang dalam dalam tempoh tiga tahun terakhir. Untuk mengira ini, kami memeriksa setiap pembelian pasaran terbuka yang tidak dirancang oleh orang dalam, tidak termasuk semua dagangan yang ditandakan sebagai sebahagian daripada pelan dagangan 10b5-1. Kami kemudian mengira prestasi purata dagangan tersebut sepanjang 3, 6 dan 12 bulan, dengan purata setiap tempoh tersebut untuk menjana metrik prestasi akhir bagi setiap dagangan. Akhir sekali, kami puratakan semua metrik prestasi untuk mengira metrik prestasi untuk orang dalam. Senarai ini hanya termasuk orang dalam yang telah membuat sekurang-kurangnya tiga dagangan dalam dua tahun lepas.

Jika keuntungan berdagang orang dalam ini ialah "N/A", maka orang dalam sama ada tidak membuat sebarang pembelian pasaran terbuka dalam tempoh tiga tahun terakhir, atau dagangan yang mereka buat adalah terlalu baru untuk mengira metrik prestasi yang boleh dipercayai.

Kekerapan Kemas Kini: Harian

Lihat senarai pedagang dalaman yang paling menguntungkan.

Lihat Orang Dalam Dengan Kedudukan Tertinggi

Syarikat dengan Kedudukan Orang Dalam yang Dilaporkan

Pemfailan SEC menunjukkan Andrew Dakos telah melaporkan pegangan atau perdagangan dalam syarikat berikut:

Sekuriti	Tajuk	Pegangan Terkini Dilaporkan
US:TRC / Tejon Ranch Co.	Director	32,461
US:CMU / MFS High Yield Municipal Trust	10% Owner	24,200
US:PCF / High Income Securities Fund	President, Director	10,705
US:CXH / MFS Investment Grade Municipal Trust	10% Owner	0
US:SPE / Special Opportunities Fund, Inc.	President, Director	4,880
US:TGVC / TG Venture Acquisition Corp.	10% Owner	0
US:SWZ / Total Return Securities, Inc.	President and CEO, Director	3,000
US:IRL / New Ireland Fund Inc	10% Owner	394,374
US:NDP / Tortoise Energy Independence Fund, Inc.	10% Owner	0
US:PEO / Adams Natural Resources Fund, Inc.	10% Owner	62,492
	10% Owner	19,889
	President, Director	2,200
US:AKP / Alliance California Municipal Income Fund, Inc.	10% Owner	1,086
	Director	0
US:AEF / abrdn Emerging Markets ex-China Fund, Inc.	10% Owner	21,107
US:JFC / JPMorgan China Region Fund, Inc.	10% Owner	845,368
US:PMO / Putnam Municipal Opportunities Trust	10% Owner	0
CA:HOLD / Immutable Holdings Inc.	Director	640,000
US:PHF / Pacholder High Yield Fund, Inc.	10% Owner	1,408,152
	10% Owner	1,726,574
US:XRDC / Crossroads Capital, Inc.	Director, 10% Owner	826,327
US:LCM / Advent Claymore Convertible Securities and Income Fund II	10% Owner	927,037
US:DCA / Virtus Total Return Fund	10% Owner	1,553,860
US:SCZ / iShares Trust - iShares MSCI EAFE Small-Cap ETF	10% Owner	915,100
US:NRO / Neuberger Berman Real Estate Securities Income Fund Inc.	10% Owner	4,295,140
US:CTF / Nuveen Long/Short Commodity Total Return Fund	10% Owner	1,179,781
US:FAV / First Trust Dividend and Income Fund	10% Owner	1,951,679
US:JGV / Nuveen Global Equity Income Fund	10% Owner	2,194,974
US:HIL / Hill International Inc	10% Owner	29,212
US:RIT / LMP Real Estate Income Fund, Inc.	10% Owner	2,378,630
US:LBF / Deutsche Global High Income Fund, Inc.	10% Owner	480,946
	10% Owner	14,089
US:AYN /	10% Owner	559,507
US:SVVC / Firsthand Technology Value Fund, Inc.	10% Owner	580,825
US:MXE / Mexico Equity & Income Fund Inc.	Director	0

Bagaimana Mentafsir Carta

Carta berikut menunjukkan prestasi saham sekuriti selepas setiap dagangan pasaran terbuka dan tidak dirancang yang dibuat oleh Andrew Dakos. Perdagangan tidak dirancang ialah dagangan yang tidak dibuat sebagai sebahagian daripada pelan dagangan 10b5-1. Prestasi saham dicatatkan sebagai perubahan peratus kumulatif dalam harga saham. Sebagai contoh, jika perdagangan orang dalam dibuat pada 1 Januari 2019, carta akan menunjukkan perubahan peratusan harian sekuriti kepada hari ini. Jika harga saham naik dari $10 kepada $15 pada masa ini, perubahan peratus terkumpul dalam harga saham ialah 50%. Perubahan dalam harga daripada $10 kepada $20 ialah 100% dan perubahan dalam harga $10 hingga $5 ialah -50%.

Secara dasarnya, kami cuba untuk menentukan sejauh mana dagangan orang dalam berkait rapat dengan pulangan berlebihan (positif atau negatif) dalam harga saham untuk melihat sama ada orang dalam menetapkan masa dagangan mereka untuk mendapat keuntungan daripada maklumat orang dalam. Pertimbangkan situasi di mana orang dalam melakukan perkara ini. Dalam keadaan ini, kami menjangkakan sama ada (a) pulangan positif selepas pembelian, atau (b) pulangan negatif selepas jualan. Dalam kes (a), carta PEMBELIAN akan menunjukkan satu siri keluk condong ke atas, menunjukkan pulangan positif selepas setiap transaksi pembelian. Dalam kes (b), carta JUALAN akan menunjukkan satu siri keluk condong ke bawah, menunjukkan pulangan negatif selepas setiap transaksi jualan.

Walau bagaimanapun, ini sahaja tidak cukup untuk membuat kesimpulan. Jika, sebagai contoh, harga saham syarikat berada dalam pendakian bukan disebabkan kitaran selama bertahun-tahun, maka kami menjangkakan semua plot selepas pembelian akan condong ke atas. Begitu juga, kemerosotan bukan disebabkan kitaran selama bertahun-tahun akan mengakibatkan plot pasca perdagangan condong ke bawah. Kedua-dua carta ini tidak akan mencadangkan aktiviti perdagangan orang dalam.

Penunjuk terkuat ialah keadaan di mana harga saham adalah sangat kitaran, dan terdapat kedua-dua isyarat positif dalam carta PEMBELIAN dan plot negatif pada carta JUALAN. Situasi ini akan sangat menunjukkan orang dalam yang menentukan masa perdagangan untuk kelebihan kewangan mereka.

Pembelian Orang Dalam AEF / abrdn Emerging Markets ex-China Fund, Inc. - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Maks	Harga pada Maks	Maks Keuntungan ($)	Pulangan Maks (%)
Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam AEF / abrdn Emerging Markets ex-China Fund, Inc. - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

2017-12-05 CH Bulldog Investors, LLC 877 7.8500 877 7.8500 6,884 197

2017-12-05 CH Bulldog Investors, LLC 1,713 7.8500 1,713 7.8500 13,447

2017-11-08 CH Bulldog Investors, LLC 779 8.8570 779 8.8570 6,900

2017-11-08 CH Bulldog Investors, LLC 1,521 8.8570 1,521 8.8570 13,471

2017-10-06 CH Bulldog Investors, LLC 27,181 8.9891 27,181 8.9891 244,333

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam CMU / MFS High Yield Municipal Trust - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam CMU / MFS High Yield Municipal Trust - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam CXH / MFS Investment Grade Municipal Trust - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam CXH / MFS Investment Grade Municipal Trust - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam MXE / Mexico Equity & Income Fund Inc. - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam MXE / Mexico Equity & Income Fund Inc. - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

2013-04-29 MXE Dakos Andrew 3,870 17.1600 3,870 17.1600 66,409 318 13.6 -13,777 -20.75

2013-04-29 MXE Dakos Andrew 1,530 17.1600 1,530 17.1600 26,255

2013-04-29 MXE Dakos Andrew 4,752 17.1600 4,752 17.1600 81,544

2013-04-29 MXE Dakos Andrew 1,137 17.1600 1,137 17.1600 19,511

2013-04-25 MXE Dakos Andrew 366 17.1600 366 17.1600 6,281

2013-04-25 MXE Dakos Andrew 145 17.1600 145 17.1600 2,488

2013-04-25 MXE Dakos Andrew 450 17.1600 450 17.1600 7,722

2013-04-25 MXE Dakos Andrew 108 17.1600 108 17.1600 1,853

2013-04-19 MXE Dakos Andrew 8,121 17.0013 8,121 17.0013 138,068

2013-04-19 MXE Dakos Andrew 3,211 17.0013 3,211 17.0013 54,591

2013-04-19 MXE Dakos Andrew 9,974 17.0013 9,974 17.0013 169,571

2013-04-19 MXE Dakos Andrew 2,386 17.0013 2,386 17.0013 40,565

2013-04-15 MXE Dakos Andrew 8,946 17.2234 8,946 17.2234 154,081

2013-04-15 MXE Dakos Andrew 3,537 17.2234 3,537 17.2234 60,919

2013-04-15 MXE Dakos Andrew 10,988 17.2234 10,988 17.2234 189,251

2013-04-15 MXE Dakos Andrew 2,629 17.2234 2,629 17.2234 45,280

2013-04-12 MXE Dakos Andrew 3,291 17.4214 3,291 17.4214 57,334

2013-04-12 MXE Dakos Andrew 1,301 17.4214 1,301 17.4214 22,665

2013-04-12 MXE Dakos Andrew 4,041 17.4214 4,041 17.4214 70,400

2013-04-12 MXE Dakos Andrew 967 17.4214 967 17.4214 16,846

2013-02-07 MXE Dakos Andrew 1,600 15.7364 1,600 15.7364 25,178

2013-02-07 MXE Dakos Andrew 632 15.7364 632 15.7364 9,945

2013-02-07 MXE Dakos Andrew 1,965 15.7364 1,965 15.7364 30,922

2013-02-07 MXE Dakos Andrew 470 15.7364 470 15.7364 7,396

2013-02-07 MXE Dakos Andrew 1,600 15.7364 1,600 15.7364 25,178

2013-02-06 MXE Dakos Andrew 2,003 15.7863 2,003 15.7863 31,620

2013-02-06 MXE Dakos Andrew 6,224 15.7863 6,224 15.7863 98,254

2013-02-06 MXE Dakos Andrew 1,489 15.7863 1,489 15.7863 23,506

2013-02-06 MXE Dakos Andrew 4,590 15.7863 4,590 15.7863 72,459

2013-02-05 MXE Dakos Andrew 400 15.8675 400 15.8675 6,347

2013-02-01 MXE Dakos Andrew 1,529 15.8264 1,529 15.8264 24,199

2013-02-01 MXE Dakos Andrew 4,751 15.8264 4,751 15.8264 75,191

2013-02-01 MXE Dakos Andrew 3,858 15.8264 3,858 15.8264 61,058

2013-02-01 MXE Dakos Andrew 1,137 15.8264 1,137 15.8264 17,995

2013-01-08 MXE Dakos Andrew 8,021 15.0041 8,021 15.0041 120,348

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam NRO.RT / Neuberger Berman Real Estate Securities Income Fund Inc. - Equity Right - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

2016-05-10 NRO Bulldog Investors, LLC 15,387 5.3496 15,387 5.3496 82,314 80 5.9900 9,854 11.97

2016-05-09 NRO Bulldog Investors, LLC 33,580 5.3469 33,580 5.3469 179,549

2016-05-06 NRO Bulldog Investors, LLC 18,552 5.3102 18,552 5.3102 98,515

2016-05-05 NRO Bulldog Investors, LLC 11,043 5.2698 11,043 5.2698 58,194

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam NRO.RT / Neuberger Berman Real Estate Securities Income Fund Inc. - Equity Right - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

2016-12-15 NRO Bulldog Investors, LLC 45,096 5.2955 45,096 5.2955 238,806 89 5.08 -9,717 -4.07

2016-12-14 NRO Bulldog Investors, LLC 73,483 5.3181 73,483 5.3181 390,790

2016-12-13 NRO Bulldog Investors, LLC 17,651 5.3492 17,651 5.3492 94,419

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam PCF / High Income Securities Fund - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

2019-03-25 PCF Dakos Andrew 70,000 9.2500 70,000 9.2500 647,500 332 9.5235 19,145 2.96

2018-02-02 PCF Bulldog Investors, LLC 100 9.0000 100 9.0000 900

2018-02-01 PCF Bulldog Investors, LLC 8,700 9.1817 8,700 9.1817 79,881

2018-01-31 PCF Bulldog Investors, LLC 15,248 9.1176 15,248 9.1176 139,025

2018-01-30 PCF Bulldog Investors, LLC 2,241 9.1222 2,241 9.1222 20,443

2018-01-30 PCF Bulldog Investors, LLC 1,123 9.1222 1,123 9.1222 10,244

2018-01-30 PCF Bulldog Investors, LLC 428 9.1222 428 9.1222 3,904

2018-01-29 PCF Bulldog Investors, LLC 505 9.1662 505 9.1662 4,629

2018-01-25 PCF Bulldog Investors, LLC 3,358 9.1852 3,358 9.1852 30,844

2018-01-19 PCF Bulldog Investors, LLC 4,000 9.0887 4,000 9.0887 36,355

2018-01-18 PCF Bulldog Investors, LLC 41,643 9.0999 41,643 9.0999 378,947

2018-01-17 PCF Bulldog Investors, LLC 218,600 9.0994 218,600 9.0994 1,989,129

2018-01-16 PCF Bulldog Investors, LLC 10,500 9.1130 10,500 9.1130 95,686

2018-01-12 PCF Bulldog Investors, LLC 3,250 9.0785 3,250 9.0785 29,505

2018-01-11 PCF Bulldog Investors, LLC 4,920 9.1000 4,920 9.1000 44,772

2018-01-10 PCF Bulldog Investors, LLC 1,417 9.1200 1,417 9.1200 12,923

2018-01-03 PCF Bulldog Investors, LLC 200 9.0600 200 9.0600 1,812

2017-12-21 PCF Bulldog Investors, LLC 2,189 8.9698 2,189 8.9698 19,635

2017-11-17 PCF Bulldog Investors, LLC 3,164 8.9392 3,164 8.9392 28,284

2017-11-15 PCF Bulldog Investors, LLC 1,150 8.8626 1,150 8.8626 10,192

2017-11-14 PCF Bulldog Investors, LLC 11,600 8.8895 11,600 8.8895 103,118

2017-11-13 PCF Bulldog Investors, LLC 7,000 8.9216 7,000 8.9216 62,451

2017-11-10 PCF Bulldog Investors, LLC 8,400 8.9181 8,400 8.9181 74,912

2017-11-09 PCF Bulldog Investors, LLC 13,208 8.9383 13,208 8.9383 118,057

2017-11-08 PCF Bulldog Investors, LLC 4,299 8.9700 4,299 8.9700 38,562

2017-11-07 PCF Bulldog Investors, LLC 3,527 9.0000 3,527 9.0000 31,743

2017-11-06 PCF Bulldog Investors, LLC 3,033 8.9900 3,033 8.9900 27,267

2017-10-30 PCF Bulldog Investors, LLC 7,609 8.9491 7,609 8.9491 68,094

2017-10-27 PCF Bulldog Investors, LLC 2,788 8.9200 2,788 8.9200 24,869

2017-10-26 PCF Bulldog Investors, LLC 16,645 8.9181 16,645 8.9181 148,442

2017-10-25 PCF Bulldog Investors, LLC 6,505 8.9000 6,505 8.9000 57,894

2017-10-24 PCF Bulldog Investors, LLC 2,996 8.9500 2,996 8.9500 26,814

2017-10-23 PCF Bulldog Investors, LLC 1,100 8.9245 1,100 8.9245 9,817

2017-10-20 PCF Bulldog Investors, LLC 1,700 8.9800 1,700 8.9800 15,266

2017-10-19 PCF Bulldog Investors, LLC 300 8.9700 300 8.9700 2,691

2017-10-18 PCF Bulldog Investors, LLC 400 8.9500 400 8.9500 3,580

2017-10-11 PCF Bulldog Investors, LLC 28,546 8.9125 28,546 8.9125 254,416

2017-10-04 PCF Bulldog Investors, LLC 7,339 8.9200 7,339 8.9200 65,464

2017-09-13 PCF Bulldog Investors, LLC 8,108 8.7538 8,108 8.7538 70,976

2017-09-12 PCF Bulldog Investors, LLC 800 8.7500 800 8.7500 7,000

2017-09-11 PCF Bulldog Investors, LLC 2,000 8.7500 2,000 8.7500 17,500

2017-09-11 PCF Bulldog Investors, LLC 1,000 8.7500 1,000 8.7500 8,750

2017-09-08 PCF Bulldog Investors, LLC 18,200 8.7098 18,200 8.7098 158,518

2017-09-07 PCF Bulldog Investors, LLC 1,400 8.6914 1,400 8.6914 12,168

2017-09-07 PCF Bulldog Investors, LLC 2,504 8.6900 2,504 8.6900 21,760

2017-09-06 PCF Bulldog Investors, LLC 32,371 8.6850 32,371 8.6850 281,142

2017-09-06 PCF Bulldog Investors, LLC 2,000 8.6890 2,000 8.6890 17,378

2017-09-06 PCF Bulldog Investors, LLC 1,000 8.6890 1,000 8.6890 8,689

2017-02-08 PCF Bulldog Investors, LLC 3,500 8.5000 3,500 8.5000 29,750

2017-02-07 PCF Bulldog Investors, LLC 4,084 8.5039 4,084 8.5039 34,730

2017-02-06 PCF Bulldog Investors, LLC 1,790 8.4838 1,790 8.4838 15,186

2017-02-03 PCF Bulldog Investors, LLC 57,736 8.4416 57,736 8.4416 487,384

2017-02-02 PCF Bulldog Investors, LLC 9,658 8.4307 9,658 8.4307 81,424

2017-02-01 PCF Bulldog Investors, LLC 8,511 8.4090 8,511 8.4090 71,569

2017-01-31 PCF Bulldog Investors, LLC 21,744 8.3797 21,744 8.3797 182,208

2017-01-30 PCF Bulldog Investors, LLC 10,068 8.3804 10,068 8.3804 84,374

2017-01-27 PCF Bulldog Investors, LLC 10,508 8.4737 10,508 8.4737 89,042

2017-01-26 PCF Bulldog Investors, LLC 24,900 8.4200 24,900 8.4200 209,658

2017-01-26 PCF Bulldog Investors, LLC 8,410 8.4192 8,410 8.4192 70,805

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam PCF / High Income Securities Fund - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

2021-09-16 PCF Dakos Andrew 10,000 10.0226 10,000 10.0226 100,226 348 7.1200 -29,026 -28.96

2021-09-15 PCF Dakos Andrew 20,000 9.9627 20,000 9.9627 199,254

2021-09-14 PCF Dakos Andrew 10,000 9.9502 10,000 9.9502 99,502

2021-09-13 PCF Dakos Andrew 10,000 9.9401 10,000 9.9401 99,401

2021-01-21 PCF Dakos Andrew 9,355 8.5900 9,355 8.5900 80,359

2021-01-20 PCF Dakos Andrew 1,900 8.7200 1,900 8.7200 16,568

2020-12-17 PCF Dakos Andrew 1,299 8.9600 1,299 8.9600 11,639

2020-12-16 PCF Dakos Andrew 5,000 8.8300 5,000 8.8300 44,150

2020-10-14 PCF Dakos Andrew 5,000 8.4002 5,000 8.4002 42,001

2020-10-13 PCF Dakos Andrew 2,819 8.3500 2,819 8.3500 23,539

2020-09-30 PCF Dakos Andrew 2,892 8.3314 2,892 8.3314 24,094

2020-09-29 PCF Dakos Andrew 2,497 8.3300 2,497 8.3300 20,800

2020-09-28 PCF Dakos Andrew 10,000 8.3311 10,000 8.3311 83,311

2020-09-21 PCF Dakos Andrew 5,303 8.4500 5,303 8.4500 44,810

2020-09-18 PCF Dakos Andrew 1,190 8.5378 1,190 8.5378 10,160

2020-09-17 PCF Dakos Andrew 10,000 8.6140 10,000 8.6140 86,140

2019-10-16 PCF Dakos Andrew 107 8.4647 107 8.4647 906

2019-03-25 PCF Dakos Andrew 220,000 9.2500 220,000 9.2500 2,035,000

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam PEO / Adams Natural Resources Fund, Inc. - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam PEO / Adams Natural Resources Fund, Inc. - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam PMO / Putnam Municipal Opportunities Trust - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam PMO / Putnam Municipal Opportunities Trust - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam SCZ / iShares Trust - iShares MSCI EAFE Small-Cap ETF - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

2016-08-26 SZC Bulldog Investors, LLC 4,800 16.5864 1,200 66.3456 79,615 168 75.7307 11,263 14.15

2016-08-25 SZC Bulldog Investors, LLC 3,632 16.5251 908 66.1004 60,019

2016-08-23 SZC Bulldog Investors, LLC 3,440 16.4951 860 65.9804 56,743

2016-08-19 SZC Bulldog Investors, LLC 1,700 16.3469 425 65.3876 27,790

2016-08-18 SZC Bulldog Investors, LLC 1,216 16.4120 304 65.6480 19,957

2016-08-17 SZC Bulldog Investors, LLC 6,000 16.1414 1,500 64.5656 96,848

2016-08-16 SZC Bulldog Investors, LLC 1,028 16.2015 257 64.8060 16,655

2016-08-15 SZC Bulldog Investors, LLC 4,350 16.1344 1,088 64.5376 70,185

2016-08-12 SZC Bulldog Investors, LLC 110 15.9700 28 63.8800 1,757

2016-08-11 DCA Bulldog Investors, LLC 1,880 15.8370 1,880 15.8370 29,774

2016-08-10 DCA Bulldog Investors, LLC 1,000 15.6345 1,000 15.6345 15,634

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam SCZ / iShares Trust - iShares MSCI EAFE Small-Cap ETF - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam SPE / Special Opportunities Fund, Inc. - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

2020-02-28 SPE Dakos Andrew 1,000 13.2500 1,000 13.2500 13,250 350 14.9700 1,720 12.98

2016-02-03 SPE Dakos Andrew 2,000 12.4600 2,000 12.4600 24,920

2015-02-02 SPE Dakos Andrew 3,800 14.9500 3,800 14.9500 56,810

2015-02-02 SPE Dakos Andrew 200 14.9400 200 14.9400 2,988

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam SPE / Special Opportunities Fund, Inc. - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

2024-09-20 SPE Dakos Andrew 377 13.7410 377 13.7410 5,180 199 13.3400 -151 -2.91

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam SVVC / Firsthand Technology Value Fund, Inc. - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

2014-03-06 SVVC Bulldog Investors, LLC 500 23.6400 500 23.6400 11,820 236 25.2200 790 6.68

2014-03-05 SVVC Bulldog Investors, LLC 43,328 23.3088 43,328 23.3088 1,009,924

2014-03-04 SVVC Bulldog Investors, LLC 12,146 23.6955 12,146 23.6955 287,806

2014-02-26 SVVC Bulldog Investors, LLC 277 23.6889 277 23.6889 6,562

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam SVVC / Firsthand Technology Value Fund, Inc. - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

2015-04-23 SVVC Bulldog Investors, LLC 7,918 15.2893 7,918 15.2893 121,061 281 6.4700 -69,831 -57.68

2015-04-22 SVVC Bulldog Investors, LLC 6,693 15.2616 6,693 15.2616 102,146

2015-04-21 SVVC Bulldog Investors, LLC 5,273 15.1557 5,273 15.1557 79,916

2015-04-20 SVVC Bulldog Investors, LLC 3,478 15.1083 3,478 15.1083 52,547

2015-02-09 SVVC Bulldog Investors, LLC 945 15.0000 945 15.0000 14,175

2015-02-06 SVVC Bulldog Investors, LLC 91 15.0000 91 15.0000 1,365

2015-01-30 SVVC Bulldog Investors, LLC 1,376 15.9500 1,376 15.9500 21,947

2015-01-28 SVVC Bulldog Investors, LLC 13,000 16.1528 13,000 16.1528 209,986

2015-01-26 SVVC Bulldog Investors, LLC 200 17.1000 200 17.1000 3,420

2015-01-22 SVVC Bulldog Investors, LLC 2,667 18.4000 2,667 18.4000 49,073

2015-01-21 SVVC Bulldog Investors, LLC 34,422 18.4076 34,422 18.4076 633,626

2015-01-20 SVVC Bulldog Investors, LLC 18,423 18.5195 18,423 18.5195 341,185

2015-01-16 SVVC Bulldog Investors, LLC 5,242 18.5000 5,242 18.5000 96,977

2015-01-15 SVVC Bulldog Investors, LLC 14,984 18.6025 14,984 18.6025 278,740

2014-12-16 SVVC Bulldog Investors, LLC 3,100 19.1000 3,100 19.1000 59,210

2014-12-15 SVVC Bulldog Investors, LLC 1,987 19.1500 1,987 19.1500 38,051

2014-12-12 SVVC Bulldog Investors, LLC 9,264 19.1622 9,264 19.1622 177,519

2014-12-04 SVVC Bulldog Investors, LLC 147,044 19.6000 147,044 19.6000 2,882,062

2014-12-02 SVVC Bulldog Investors, LLC 7,949 22.6609 7,949 22.6609 180,131

2014-12-01 SVVC Bulldog Investors, LLC 1,590 22.5310 1,590 22.5310 35,824

2014-11-26 SVVC Bulldog Investors, LLC 13,512 22.5413 13,512 22.5413 304,578

2014-11-24 SVVC Bulldog Investors, LLC 2,419 22.5976 2,419 22.5976 54,664

2014-11-12 SVVC Bulldog Investors, LLC 16,356 22.7064 16,356 22.7064 371,386

2014-11-12 SVVC Bulldog Investors, LLC 19,870 22.6600 19,870 22.6600 450,254

2014-11-11 SVVC Bulldog Investors, LLC 7,521 22.6504 7,521 22.6504 170,354

2014-11-07 SVVC Bulldog Investors, LLC 1,200 22.7083 1,200 22.7083 27,250

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam SWZ / Total Return Securities, Inc. - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

2022-03-03 SWZ Dakos Andrew 1,000 8.8200 1,000 8.8200 8,820 29 9.4200 600 6.80

2022-02-03 SWZ Dakos Andrew 572 9.3100 572 9.3100 5,325

2022-02-02 SWZ Dakos Andrew 428 9.3800 428 9.3800 4,015

2020-02-28 SWZ Dakos Andrew 1,000 7.7500 1,000 7.7500 7,750

2018-02-20 SWZ Dakos Andrew 5,700 12.7382 5,700 12.7382 72,608

2018-02-16 SWZ Dakos Andrew 500 12.8443 500 12.8443 6,422

2018-02-13 SWZ Dakos Andrew 7,400 12.3500 7,400 12.3500 91,390

2018-02-12 SWZ Dakos Andrew 3,800 12.3533 3,800 12.3533 46,943

2018-02-05 SWZ Dakos Andrew 6,442 12.8796 6,442 12.8796 82,970

2018-02-01 SWZ Dakos Andrew 1,353 13.3988 1,353 13.3988 18,129

2018-01-30 SWZ Dakos Andrew 5,042 13.4510 5,042 13.4510 67,820

2018-01-19 SWZ Dakos Andrew 16,103 13.1522 16,103 13.1522 211,790

2018-01-10 SWZ Dakos Andrew 292 12.9200 292 12.9200 3,773

2018-01-09 SWZ Dakos Andrew 8,230 12.9250 8,230 12.9250 106,373

2018-01-08 SWZ Dakos Andrew 1,752 12.9351 1,752 12.9351 22,662

2018-01-04 SWZ Dakos Andrew 5,533 12.8745 5,533 12.8745 71,235

2018-01-03 SWZ Dakos Andrew 3,950 12.7928 3,950 12.7928 50,532

2017-12-29 SWZ Dakos Andrew 1,332 12.7388 1,332 12.7388 16,968

2017-12-28 SWZ Dakos Andrew 14,036 12.6583 14,036 12.6583 177,672

2017-12-27 SWZ Dakos Andrew 19,600 12.6300 19,600 12.6300 247,548

2017-12-21 SWZ Dakos Andrew 7,235 12.5688 7,235 12.5688 90,935

2017-12-20 SWZ Dakos Andrew 3,163 12.4100 3,163 12.4100 39,253

2017-12-19 SWZ Dakos Andrew 3,300 12.5538 3,300 12.5538 41,428

2017-11-30 SWZ Dakos Andrew 2,873 12.6991 2,873 12.6991 36,485

2017-11-29 SWZ Dakos Andrew 2,283 12.6569 2,283 12.6569 28,896

2017-11-21 SWZ Dakos Andrew 13,060 12.5951 13,060 12.5951 164,492

2017-11-15 SWZ Dakos Andrew 1,394 12.3428 1,394 12.3428 17,206

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam SWZ / Total Return Securities, Inc. - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Pembelian Orang Dalam TRC / Tejon Ranch Co. - Analisis Keuntungan Jangka Pendek

Dalam bahagian ini, kami menganalisis keuntungan setiap pembelian orang dalam pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Analisis ini membantu untuk memahami sama ada orang dalam secara konsisten menjana pulangan tidak normal dan patut diikuti. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah bersifat teori .

Jadual berikut menunjukkan pembelian pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Maks Harga pada
Maks Maks
Keuntungan ($) Pulangan Maks (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Jualan Orang Dalam TRC / Tejon Ranch Co. - Analisis Kerugian Jangka Pendek

Dalam bahagian ini, kami menganalisis pengelakan kerugian jangka pendek bagi setiap jualan dalaman pasaran terbuka yang tidak dirancang yang dibuat dalam AEF / abrdn Emerging Markets ex-China Fund, Inc.. Corak pengelakan kerugian yang konsisten mungkin mencadangkan bahawa urus niaga jualan masa hadapan mungkin meramalkan penurunan harga. Analisis ini adalah untuk satu tahun selepas setiap perdagangan, dan hasilnya adalah teori .

Jadual berikut menunjukkan jualan pasaran terbuka terkini yang bukan sebahagian daripada pelan dagangan automatik.

Tarikh Dagangan Simbol Saham Orang dalam Saham
Dilaporkan Harga
Dilaporkan Saham
Dilaraskan Harga
Dilaraskan Asas Kos Hari ke
Min Harga pada
Min Kerugian Maks
Dielakkan ($) Kerugian Maks
Dielakkan (%)

Tiada dagangan pasaran terbuka tidak dirancang yang tidak diketahui untuk gabungan orang dalam dan sekuriti ini

Harga Larasan ialah harga larasan berpecah. Saham Larasan ialah saham terlaras berpecah.

Sejarah Dagangan Orang Dalam

Jadual ini menunjukkan senarai lengkap dagangan orang dalam yang dibuat oleh Andrew Dakos seperti yang didedahkan kepada Suruhanjaya Bursa Sekuriti (SEC).

Tarikh Fail Tarikh Tran Borang Simbol Saham Sekuriti Kod 10b5-1 Saham Baki Saham Peratus
Ubah Saham
harga Tran
Nilai Baki
Nilai

2025-07-18 2025-07-17 4 TRC TEJON RANCH CO
Common Stock A - Award 461 32,461 1.44 16.96 7,819 550,539

2025-05-22 3 TRC TEJON RANCH CO
Common Stock 32,000

2025-05-22 3 TRC TEJON RANCH CO
Common Stock 25,000

2025-02-14 3 CMU MFS HIGH YIELD MUNICIPAL TRUST
Common Stock 24,200

2024-12-16 2024-12-12 4 PCF HIGH INCOME SECURITIES FUND
Common Stock D - Sale to Issuer -94,433 10,705 -89.82 7.07 -667,641 75,684

2024-09-26 3 CXH MFS INVESTMENT GRADE MUNICIPAL TRUST
Common Stock 0

2024-09-23 2024-09-20 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock S - Sale -377 4,880 -7.17 13.74 -5,180 67,056

2024-08-19 2024-08-15 4 PCF HIGH INCOME SECURITIES FUND
Common Stock M - Exercise 70,092 105,138 200.00 6.48 454,196 681,294

2023-09-20 3 TGVC TG Venture Acquisition Corp.
Class A Common Stock 0

2022-06-09 2021-11-01 4/A PCF HIGH INCOME SECURITIES FUND
Common Stock M - Exercise 33,301 35,046 1,908.37 8.36 278,396 292,985

2022-04-07 2022-04-05 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock D - Sale to Issuer -154 782 -16.45 15.69 -2,416 12,270

2022-04-07 2022-04-05 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock D - Sale to Issuer -968 5,257 -15.55 15.69 -15,188 82,482

2022-04-07 2022-04-05 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock D - Sale to Issuer -2,016 10,162 -16.55 15.69 -31,631 159,442

2022-03-04 2022-03-03 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 1,000 3,000 50.00 8.82 8,820 26,460

2022-02-04 2022-02-03 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 572 2,000 40.06 9.31 5,325 18,620

2022-02-04 2022-02-02 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 428 1,428 42.80 9.38 4,015 13,395

2022-01-28 2022-01-27 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
2.75% Convertible Preferred Stock, Series C X - Other 200 200 25.00 5,000 5,000

2021-11-03 2021-11-01 4 PCF HIGH INCOME SECURITIES FUND
Common Stock M - Exercise 31,745 33,490 1,819.20 8.36 265,388 279,976

2021-09-17 2021-09-16 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -10,000 1,745 -85.14 10.02 -100,226 17,489

2021-09-17 2021-09-15 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -20,000 11,745 -63.00 9.96 -199,254 117,012

2021-09-15 2021-09-14 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -10,000 31,745 -23.95 9.95 -99,502 315,869

2021-09-15 2021-09-13 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -10,000 41,745 -19.33 9.94 -99,401 414,949

2021-08-05 2021-04-05 4 IRL NEW IRELAND FUND INC
Common Stock S - Sale -25,088 394,374 -5.98 12.50 -313,545 4,928,807

2021-07-14 2021-07-09 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.50% Convertible Preferred Stock Series B M - Exercise -156 0 -100.00

2021-07-14 2021-07-09 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.50% Convertible Preferred Stock Series B M - Exercise -966 0 -100.00

2021-07-14 2021-07-09 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.50% Convertible Preferred Stock Series B M - Exercise -3,200 0 -100.00

2021-07-14 2021-07-09 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock M - Exercise 303 936 47.87

2021-07-14 2021-07-09 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock M - Exercise 1,889 6,225 43.57

2021-07-14 2021-07-09 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock M - Exercise 6,257 12,178 105.67

2021-05-10 3 NDP TORTOISE ENERGY INDEPENDENCE FUND, INC.
Common Stock 0

2021-03-24 3 IRL NEW IRELAND FUND INC
Common Stock 74,594

2021-03-24 3 IRL NEW IRELAND FUND INC
Common Stock 419,462

2021-02-04 2021-02-02 4 PCF HIGH INCOME SECURITIES FUND
Common Stock M - Exercise 39,000 51,745 306.00 8.24 321,360 426,379

2021-01-22 2021-01-21 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -9,355 12,745 -42.33 8.59 -80,359 109,480

2021-01-22 2021-01-20 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -1,900 22,100 -7.92 8.72 -16,568 192,712

2020-12-18 2020-12-17 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -1,299 24,000 -5.13 8.96 -11,639 215,040

2020-12-18 2020-12-16 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -5,000 25,299 -16.50 8.83 -44,150 223,390

2020-10-15 2020-10-14 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -5,000 30,299 -14.16 8.40 -42,001 254,518

2020-10-15 2020-10-13 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -2,819 35,299 -7.40 8.35 -23,539 294,747

2020-09-30 2020-09-30 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -2,892 38,118 -7.05 8.33 -24,094 317,576

2020-09-30 2020-09-29 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -2,497 41,010 -5.74 8.33 -20,800 341,613

2020-09-30 2020-09-28 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -10,000 43,507 -18.69 8.33 -83,311 362,461

2020-09-21 2020-09-21 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -5,303 53,507 -9.02 8.45 -44,810 452,134

2020-09-21 2020-09-18 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -1,190 58,810 -1.98 8.54 -10,160 502,108

2020-09-21 2020-09-17 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -10,000 60,000 -14.29 8.61 -86,140 516,840

2020-07-09 3 PEO ADAMS NATURAL RESOURCES FUND, INC.
Common Stock 62,492

2020-07-09 3 PEO ADAMS NATURAL RESOURCES FUND, INC.
Common Stock 62,492

2020-07-09 3 PEO ADAMS NATURAL RESOURCES FUND, INC.
Common Stock 62,492

2020-07-09 3 PEO ADAMS NATURAL RESOURCES FUND, INC.
Common Stock 62,492

2020-07-09 3 PEO ADAMS NATURAL RESOURCES FUND, INC.
Common Stock 62,492

2020-06-10 2020-06-08 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.50% Convertible Preferred Stock Series B P - Purchase 1,000 3,200 45.45 25.25 25,250 80,800

2020-03-06 2020-02-28 4 TLI WESTERN ASSET CORPORATE LOAN FUND INC.
Common Stock P - Purchase 586 19,889 3.04 9.79 5,734 194,626

2020-03-03 2020-02-28 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 1,000 1,064 1,562.50 7.75 7,750 8,246

2020-03-03 2020-02-28 4 SPE SPECIAL OPPORTUNITIES FUND
3.50% Convertible Preferred Stock Series B P - Purchase 1,000 2,200 83.33 25.60 25,600 56,320

2020-03-03 2020-02-28 4 SPE SPECIAL OPPORTUNITIES FUND
Common Stock P - Purchase 1,000 5,921 20.32 13.25 13,250 78,453

2020-03-03 2020-02-28 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.50% Convertible Preferred Stock Series B P - Purchase 1,000 2,200 83.33 25.60 25,600 56,320

2020-03-03 2020-02-28 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock P - Purchase 1,000 5,921 20.32 13.25 13,250 78,453

2019-12-06 3 TLI WESTERN ASSET CORPORATE LOAN FUND INC.
Common Stock 15,606

2019-12-06 3 TLI WESTERN ASSET CORPORATE LOAN FUND INC.
Common Stock 15,606

2019-12-06 3 TLI WESTERN ASSET CORPORATE LOAN FUND INC.
Common Stock 15,606

2019-12-06 3 TLI WESTERN ASSET CORPORATE LOAN FUND INC.
Common Stock 15,606

2019-12-06 3 TLI WESTERN ASSET CORPORATE LOAN FUND INC.
Common Stock 15,606

2019-12-06 3 TLI WESTERN ASSET CORPORATE LOAN FUND INC.
Common Stock 15,606

2019-10-18 2019-10-16 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -107 0 -100.00 8.46 -906

2019-04-22 2019-04-18 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock S - Sale -457,400 1,086 -99.76 14.68 -6,712,436 15,937

2019-04-22 2019-04-17 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock S - Sale -39,782 458,486 -7.98 14.68 -584,095 6,731,675

2019-04-22 2019-04-17 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock S - Sale -39,111 498,268 -7.28 14.68 -574,149 7,314,574

2019-04-22 2019-04-01 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock J - Other -96,742 537,379 -15.26

2019-03-27 2019-03-25 4 PCF HIGH INCOME SECURITIES FUND
Common Stock S - Sale -220,000 106 -99.95 9.25 -2,035,000 980

2019-03-27 2019-03-25 4 PCF HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 70,000 70,000 9.25 647,500 647,500

2019-03-20 2019-03-19 4 PCF HIGH INCOME SECURITIES FUND
Common Stock D - Sale to Issuer -1,247,106 220,106 -85.00 9.25 -11,535,730 2,035,980

2019-03-20 2019-03-19 4 PCF HIGH INCOME SECURITIES FUND
Common Stock D - Sale to Issuer -933 0 -100.00 9.25 -8,630

2019-03-20 2019-03-19 4 PCF HIGH INCOME SECURITIES FUND
Common Stock D - Sale to Issuer -933 0 -100.00 9.25 -8,630

2019-03-20 2019-03-19 4 PCF HIGH INCOME SECURITIES FUND
Common Stock D - Sale to Issuer -3,123 0 -100.00 9.25 -28,888

2019-03-20 2019-03-19 4 PCF HIGH INCOME SECURITIES FUND
Common Stock D - Sale to Issuer -6,241 0 -100.00 9.25 -57,729

2019-03-20 2019-03-19 4 PCF HIGH INCOME SECURITIES FUND
Common Stock D - Sale to Issuer -1,247,106 220,106 -85.00 9.25 -11,535,730 2,035,980

2019-01-04 2019-01-02 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock J - Other -104,660 0 -100.00

2019-01-04 2019-01-02 4 DTLA PR Brookfield DTLA Fund Office Trust Investor Inc.
7.625% Series A Cumulative Redeemable Preferred Stock J - Other -200,936 0 -100.00

2018-11-23 2018-11-20 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock D - Sale to Issuer -1,095 64 -94.48 7.86 -8,607 503

2018-11-23 2018-11-20 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock D - Sale to Issuer -1,782,348 104,660 -94.45 7.86 -14,009,255 822,628

2018-10-23 2018-10-19 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock J - Other 367 1,159 46.34

2018-10-23 2018-10-19 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock J - Other 598,378 1,887,008 46.44

2018-10-09 2018-10-08 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 600 634,121 0.09 13.35 8,010 8,465,515

2018-10-09 2018-10-05 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 13,348 633,521 2.15 13.41 179,051 8,498,114

2018-10-05 2018-10-04 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 17,720 620,173 2.94 13.36 236,775 8,286,752

2018-10-05 2018-10-03 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 9,000 602,453 1.52 13.59 122,348 8,189,867

2018-10-03 2018-10-02 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 8,353 593,453 1.43 13.62 113,759 8,082,177

2018-10-03 2018-10-01 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 1,110 585,100 0.19 13.61 15,107 7,963,152

2018-10-03 2018-10-01 4 DTLA PR Brookfield DTLA Fund Office Trust Investor Inc.
7.625% Series A Cumulative Redeemable Preferred Stock J - Other -46,050 200,936 -18.64

2018-10-03 2018-06-08 4 DTLA PR Brookfield DTLA Fund Office Trust Investor Inc.
7.625% Series A Cumulative Redeemable Preferred Stock P - Purchase 1,155 246,986 0.47 24.79 28,635 6,123,425

2018-10-01 2018-10-01 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock J - Other -149,565 583,990 -20.39

2018-10-01 2018-09-28 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 100 733,555 0.01 13.50 1,350 9,902,992

2018-09-26 2018-09-25 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 2,200 733,455 0.30 13.44 29,579 9,861,302

2018-09-26 2018-09-24 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 300 731,255 0.04 13.45 4,034 9,833,917

2018-08-31 2018-08-30 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 12,200 730,955 1.70 13.80 168,348 10,086,448

2018-08-31 2018-08-29 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 6,408 718,755 0.90 13.80 88,418 9,917,381

2018-08-29 2018-08-27 4 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock P - Purchase 8,200 712,347 1.16 13.76 112,832 9,801,895

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 1,415,169

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 717,397

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 711,522

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 1,415,169

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 717,397

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 711,522

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 1,415,169

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 717,397

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 711,522

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 1,415,169

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 717,397

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 711,522

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 1,415,169

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 717,397

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 711,522

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 1,415,169

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 717,397

2018-08-27 3 AKP ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Common Stock 711,522

2018-06-29 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 2,935,355

2018-06-29 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 1,469,077

2018-06-29 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 2,935,355

2018-06-29 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 1,469,077

2018-06-29 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 2,935,355

2018-06-29 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 1,469,077

2018-06-08 2018-06-06 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock J - Other -54,549 1,288,630 -4.06

2018-06-07 2018-06-06 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock J - Other -90,422 1,467,199 -5.81

2018-02-21 2018-02-20 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 5,700 1,343,179 0.43 12.74 72,608 17,109,683

2018-02-21 2018-02-16 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 500 792 171.23 12.84 6,422 10,173

2018-02-14 2018-02-13 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 7,400 1,337,479 0.56 12.35 91,390 16,517,866

2018-02-14 2018-02-12 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 3,800 1,330,079 0.29 12.35 46,943 16,430,865

2018-02-07 2018-02-05 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 6,442 1,326,279 0.49 12.88 82,970 17,081,943

2018-02-06 2018-02-02 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 100 1,557,621 0.01 9.00 900 14,018,589

2018-02-05 2018-02-01 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 1,353 1,319,837 0.10 13.40 18,129 17,684,232

2018-02-02 2018-02-01 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 8,700 1,557,521 0.56 9.18 79,881 14,300,691

2018-02-02 2018-01-31 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 15,248 1,548,821 0.99 9.12 139,025 14,121,530

2018-02-01 2018-01-30 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 5,042 1,318,484 0.38 13.45 67,820 17,734,928

2018-01-31 2018-01-30 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 428 933 84.75 9.12 3,904 8,511

2018-01-31 2018-01-30 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 1,123 3,123 56.15 9.12 10,244 28,489

2018-01-31 2018-01-30 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 2,241 17,013 15.17 9.12 20,443 155,196

2018-01-31 2018-01-29 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 505 505 9.17 4,629 4,629

2018-01-29 2018-01-25 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 3,358 1,533,573 0.22 9.19 30,844 14,086,175

2018-01-23 2018-01-19 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 4,000 1,530,215 0.26 9.09 36,355 13,907,665

2018-01-23 2018-01-19 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 16,103 1,313,442 1.24 13.15 211,790 17,274,652

2018-01-19 2018-01-18 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 41,643 1,526,215 2.81 9.10 378,947 13,888,404

2018-01-19 2018-01-17 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 218,600 1,484,572 17.27 9.10 1,989,129 13,508,714

2018-01-17 2018-01-16 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 10,500 1,265,972 0.84 9.11 95,686 11,536,803

2018-01-17 2018-01-12 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 3,250 1,255,472 0.26 9.08 29,505 11,397,803

2018-01-12 2018-01-10 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 292 292 12.92 3,773 3,773

2018-01-12 2018-01-11 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 4,920 1,252,222 0.39 9.10 44,772 11,395,220

2018-01-12 2018-01-10 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 1,417 1,247,302 0.11 9.12 12,923 11,375,394

2018-01-10 2018-01-09 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 8,230 1,297,339 0.64 12.92 106,373 16,768,107

2018-01-10 2018-01-08 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 1,752 1,289,109 0.14 12.94 22,662 16,674,754

2018-01-05 2018-01-03 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 200 1,245,885 0.02 9.06 1,812 11,287,718

2018-01-05 2018-01-04 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 5,533 1,287,357 0.43 12.87 71,235 16,574,078

2018-01-05 2018-01-03 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 3,950 1,281,824 0.31 12.79 50,532 16,398,118

2018-01-03 2017-12-29 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 1,332 1,277,874 0.10 12.74 16,968 16,278,581

2017-12-29 2017-12-28 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 14,036 1,276,542 1.11 12.66 177,672 16,158,852

2017-12-29 2017-12-27 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 19,600 1,262,506 1.58 12.63 247,548 15,945,451

2017-12-26 2017-12-21 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 2,189 1,245,685 0.18 8.97 19,635 11,173,545

2017-12-26 2017-12-21 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 7,235 1,242,906 0.59 12.57 90,935 15,621,837

2017-12-21 2017-12-20 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 3,163 1,235,671 0.26 12.41 39,253 15,334,677

2017-12-21 2017-12-19 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 3,300 1,232,508 0.27 12.55 41,428 15,472,659

2017-12-20 3 NONE Brookfield DTLA Fund Office Trust Investor Inc.
7.625% Series A Cumulative Redeemable Preferred Stock 491,662

2017-12-20 3 NONE Brookfield DTLA Fund Office Trust Investor Inc.
7.625% Series A Cumulative Redeemable Preferred Stock 491,662

2017-12-07 2017-12-05 4 CH ABERDEEN CHILE FUND, INC.
Common Stock S - Sale -1,713 21,107 -7.51 7.85 -13,447 165,690

2017-12-07 2017-12-05 4 CH ABERDEEN CHILE FUND, INC.
Common Stock S - Sale -877 1,875 -31.87 7.85 -6,884 14,719

2017-12-01 2017-11-30 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 2,873 1,229,208 0.23 12.70 36,485 15,609,835

2017-12-01 2017-11-29 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 2,283 1,226,335 0.19 12.66 28,896 15,521,599

2017-11-24 2017-11-21 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 13,060 1,224,052 1.08 12.60 164,492 15,417,057

2017-11-21 2017-11-17 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 3,164 1,243,496 0.26 8.94 28,284 11,115,859

2017-11-17 2017-11-15 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 1,150 1,240,332 0.09 8.86 10,192 10,992,566

2017-11-17 2017-11-15 4 SWZ SWISS HELVETIA FUND, INC.
Common Stock P - Purchase 1,394 1,210,992 0.12 12.34 17,206 14,947,032

2017-11-15 2017-11-14 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 11,600 1,239,182 0.94 8.89 103,118 11,015,708

2017-11-15 2017-11-13 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 7,000 1,227,582 0.57 8.92 62,451 10,951,996

2017-11-13 2017-11-10 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 8,400 1,220,582 0.69 8.92 74,912 10,885,272

2017-11-13 2017-11-09 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 13,208 1,212,182 1.10 8.94 118,057 10,834,846

2017-11-13 2017-11-08 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 4,299 1,198,974 0.36 8.97 38,562 10,754,797

2017-11-13 2017-11-08 4 CH ABERDEEN CHILE FUND, INC.
Common Stock S - Sale -1,521 22,820 -6.25 8.86 -13,471 202,117

2017-11-13 2017-11-08 4 CH ABERDEEN CHILE FUND, INC.
Common Stock S - Sale -779 2,752 -22.06 8.86 -6,900 24,374

2017-11-08 2017-11-07 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 3,527 1,194,675 0.30 9.00 31,743 10,752,075

2017-11-08 2017-11-06 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 3,033 1,191,148 0.26 8.99 27,267 10,708,421

2017-11-01 2017-10-30 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 7,609 1,188,115 0.64 8.95 68,094 10,632,560

2017-10-30 2017-10-27 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 2,788 1,180,506 0.24 8.92 24,869 10,530,114

2017-10-30 2017-10-26 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 16,645 1,177,718 1.43 8.92 148,442 10,503,007

2017-10-26 2017-10-25 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 6,505 1,161,073 0.56 8.90 57,894 10,333,550

2017-10-26 2017-10-24 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 2,996 1,154,568 0.26 8.95 26,814 10,333,384

2017-10-24 2017-10-23 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 1,100 1,151,572 0.10 8.92 9,817 10,277,204

2017-10-24 2017-10-20 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 1,700 1,150,472 0.15 8.98 15,266 10,331,239

2017-10-20 2017-10-19 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 300 1,148,772 0.03 8.97 2,691 10,304,485

2017-10-20 2017-10-18 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 400 1,148,472 0.03 8.95 3,580 10,278,824

2017-10-13 2017-10-11 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 28,546 1,148,072 2.55 8.91 254,416 10,232,192

2017-10-13 2017-10-04 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 7,339 1,119,526 0.66 8.92 65,464 9,986,172

2017-10-10 2017-10-06 4 CH ABERDEEN CHILE FUND, INC.
Common Stock S - Sale -27,181 917,955 -2.88 8.99 -244,333 8,251,589

2017-09-19 2017-09-15 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 22,517 845,368 2.74 4.86 109,484 4,110,433

2017-09-14 2017-09-13 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 8,108 1,112,187 0.73 8.75 70,976 9,735,863

2017-09-14 2017-09-12 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 800 1,104,079 0.07 8.75 7,000 9,660,691

2017-09-12 2017-09-11 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 1,000 2,000 100.00 8.75 8,750 17,500

2017-09-12 2017-09-11 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 2,000 14,772 15.66 8.75 17,500 129,255

2017-09-12 2017-09-08 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 18,200 1,103,279 1.68 8.71 158,518 9,609,339

2017-09-08 2017-09-07 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 2,504 1,085,079 0.23 8.69 21,760 9,429,337

2017-09-08 2017-09-07 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 1,400 1,082,575 0.13 8.69 12,168 9,409,092

2017-09-08 2017-09-06 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 1,000 1,000 8.69 8,689 8,689

2017-09-08 2017-09-06 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Sock P - Purchase 2,000 12,772 18.57 8.69 17,378 110,976

2017-09-08 2017-09-06 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 32,371 1,081,175 3.09 8.68 281,142 9,390,005

2017-09-01 2017-09-01 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock J - Other -32,371 1,059,576 -2.96

2017-09-01 2017-09-01 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock J - Other -22,517 822,851 -2.66

2017-08-24 3 SWZ SWISS HELVETIA FUND, INC.
Common Stock 2,419,196

2017-08-24 3 SWZ SWISS HELVETIA FUND, INC.
Common Stock 2,419,196

2017-08-21 2017-08-10 4 PMO PUTNAM MUNICIPAL OPPORTUNITIES TRUST
Auction Rate Preferred Series B and C J - Other -400 0 -100.00 22,437.50 -8,975,000

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 1,918,144

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 976,539

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 997,349

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 1,918,144

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 976,539

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 997,349

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 1,918,144

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 976,539

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 997,349

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 1,918,144

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 976,539

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 997,349

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 1,918,144

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 976,539

2017-08-21 3 CH ABERDEEN CHILE FUND, INC.
Common Stock 997,349

2017-08-11 2017-07-28 4/A EMGC EMERGENT CAPITAL, INC.
Warrants (right to buy) purchase Common Stock A - Award 640,000 640,000

2017-08-11 2017-07-28 4/A EMGC EMERGENT CAPITAL, INC.
Warrants (right to buy) purchase Common Stock A - Award 960,000 960,000

2017-08-01 2017-03-14 4 EMGC EMERGENT CAPITAL, INC.
8.50% Senior Unsecured Convertible Notes due 2019 J - Other 980,078

2017-08-01 2017-07-28 4 EMGC EMERGENT CAPITAL, INC.
5.00% Senior Unsecured Convertible Notes due 2023 J - Other 3,435,885

2017-08-01 2017-07-28 4 EMGC EMERGENT CAPITAL, INC.
8.50% Senior Unsecured Convertible Notes due 2019 J - Other 0

2017-08-01 2017-07-28 4 EMGC EMERGENT CAPITAL, INC.
Warrants (right to buy) purchase Common Stock A - Award 730,093 730,093

2017-08-01 2017-07-28 4 EMGC EMERGENT CAPITAL, INC.
Warrants (right to buy) purchase Common Stock A - Award 869,907 869,907

2017-08-01 2017-07-28 4 EMGC EMERGENT CAPITAL, INC.
Common Stock A - Award 1,693,671 3,501,179 93.70 0.20 338,734 700,236

2017-08-01 2017-07-28 4 EMGC EMERGENT CAPITAL, INC.
Common Stock A - Award 3,629,201 5,854,070 163.12 0.20 725,840 1,170,814

2017-07-11 2017-07-07 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 15,500 1,408,152 1.11 7.96 123,380 11,208,890

2017-06-29 2017-06-27 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 15,500 1,392,652 1.13 7.94 123,067 11,057,378

2017-06-29 2017-06-27 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 59,500 1,377,152 4.52 7.93 471,835 10,920,815

2017-06-27 2017-06-26 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 7,775 1,317,652 0.59 7.94 61,734 10,462,157

2017-06-27 2017-06-25 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 6,825 1,309,877 0.52 7.94 54,190 10,400,423

2017-06-23 2017-06-21 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 20,000 1,303,052 1.56 7.95 158,924 10,354,312

2017-06-22 2017-06-21 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 20,200 1,726,574 1.18 9.53 192,494 16,453,214

2017-06-22 2017-06-20 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 25,000 1,706,374 1.49 9.54 238,492 16,278,296

2017-06-21 2017-06-20 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 19,100 1,283,052 1.51 7.95 151,767 10,195,003

2017-06-21 2017-06-19 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 9,100 1,263,952 0.73 7.95 72,345 10,048,418

2017-06-19 2017-06-15 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 3,700 1,681,374 0.22 9.51 35,196 15,993,902

2017-06-15 2017-06-13 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 2,800 1,254,852 0.22 7.95 22,260 9,976,073

2017-06-14 2017-06-12 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 50,000 1,677,674 3.07 9.53 476,500 15,988,233

2017-06-13 2017-06-09 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 7,500 845,368 0.90 19.82 148,650 16,755,194

2017-06-12 2017-06-08 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 500 1,252,052 0.04 7.95 3,975 9,953,813

2017-06-09 2017-06-07 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 250,000 1,627,674 18.15 9.53 2,382,500 15,511,733

2017-06-08 2017-06-06 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 11,525 1,251,552 0.93 7.95 91,624 9,949,838

2017-06-08 2017-06-07 4 XRDC CROSSROADS CAPITAL, INC.
Common Stock P - Purchase 28,479 826,327 3.57 2.17 61,799 1,793,130

2017-06-08 2017-06-07 4 XRDC CROSSROADS CAPITAL, INC.
Common Stock S - Sale -28,479 797,848 -3.45 2.17 -61,799 1,731,330

2017-06-07 2017-06-06 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 500 1,377,674 0.04 9.52 4,760 13,115,456

2017-06-07 2017-06-05 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 100,000 1,377,174 7.83 9.54 954,000 13,138,240

2017-06-05 2017-06-01 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 25,000 837,868 3.08 19.69 492,250 16,497,621

2017-06-02 2017-05-31 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 3,912 1,240,027 0.32 7.95 31,098 9,857,595

2017-05-31 2017-05-26 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 50,000 812,868 6.55 19.67 983,500 15,989,114

2017-05-30 2017-05-26 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 13 1,236,115 0.00 7.94 103 9,814,753

2017-05-30 2017-05-25 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 8,334 1,236,102 0.68 7.94 66,172 9,814,650

2017-05-26 2017-05-24 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 762,868 1.33 19.60 195,982 14,950,840

2017-05-25 2017-05-24 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 1,238 1,227,768 0.10 7.94 9,830 9,748,478

2017-05-25 2017-05-23 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 5,400 1,226,530 0.44 7.96 42,984 9,763,179

2017-05-24 2017-05-23 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 20,000 752,868 2.73 19.62 392,398 14,771,195

2017-05-24 2017-05-22 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 732,868 1.38 19.74 197,412 14,467,694

2017-05-24 2017-05-22 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 722,868 1.40 19.74 197,400 14,269,414

2017-05-23 2017-05-22 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 6,700 1,221,130 0.55 7.96 53,332 9,720,195

2017-05-23 2017-05-19 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 3,964 1,214,430 0.33 7.95 31,513 9,654,597

2017-05-19 2017-05-18 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 15,661 1,210,466 1.31 7.95 124,505 9,623,205

2017-05-19 2017-05-17 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 12,248 1,194,805 1.04 7.96 97,493 9,510,528

2017-05-19 2017-05-17 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 2,100 712,868 0.30 19.66 41,286 14,014,985

2017-05-18 2017-05-17 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -15,510 927,037 -1.65 8.69 -134,773 8,055,395

2017-05-18 2017-05-17 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -65,998 942,547 -6.54 8.75 -577,482 8,247,286

2017-05-17 2017-05-16 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 7,700 1,182,557 0.66 7.91 60,886 9,350,833

2017-05-17 2017-05-15 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 400 1,174,857 0.03 7.95 3,180 9,340,113

2017-05-17 2017-05-15 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 710,768 1.43 19.66 196,556 13,970,572

2017-05-17 2017-05-16 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -18,464 1,008,545 -1.80 8.77 -161,903 8,843,528

2017-05-17 2017-05-15 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -51,701 1,027,009 -4.79 8.74 -451,748 8,973,697

2017-05-15 2017-05-11 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 21,572 700,768 3.18 19.42 418,833 13,605,831

2017-05-11 2017-05-10 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 6,821 1,174,457 0.58 7.90 53,885 9,277,975

2017-05-11 2017-05-09 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 7,381 1,167,636 0.64 7.90 58,303 9,223,157

2017-05-10 2017-05-08 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 12,500 679,196 1.87 19.01 237,625 12,911,516

2017-05-09 2017-05-05 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 13,970 1,160,255 1.22 7.90 110,350 9,164,970

2017-05-05 2017-05-03 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 900 1,146,285 0.08 7.90 7,110 9,055,652

2017-05-05 2017-05-03 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 600 1,277,174 0.05 9.06 5,436 11,571,196

2017-05-05 2017-05-03 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 25,000 1,276,574 2.00 9.08 227,000 11,591,292

2017-05-02 2017-04-28 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 1,341 1,145,385 0.12 7.87 10,554 9,014,180

2017-05-02 2017-04-28 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 6,396 1,251,574 0.51 8.96 57,308 11,214,103

2017-05-01 2017-04-27 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 666,696 1.52 19.05 190,500 12,700,559

2017-04-26 2017-04-24 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 656,696 1.55 18.63 186,300 12,234,246

2017-04-26 2017-04-24 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 10,000 1,245,178 0.81 8.78 87,800 10,932,663

2017-04-21 2017-04-20 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 2,300 1,144,044 0.20 7.85 18,055 8,980,745

2017-04-21 2017-04-19 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 6,300 1,141,744 0.55 7.84 49,392 8,951,273

2017-04-20 2017-04-18 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 10,000 1,235,178 0.82 8.61 86,101 10,635,006

2017-04-19 2017-04-18 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 5,203 1,135,444 0.46 7.84 40,792 8,901,881

2017-04-19 2017-04-17 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 2,496 1,130,241 0.22 7.84 19,569 8,861,089

2017-04-19 2017-04-18 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 20,000 646,696 3.19 18.24 364,720 11,793,148

2017-04-19 2017-04-17 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 9,880 626,696 1.60 18.46 182,385 11,568,808

2017-04-17 2017-04-13 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 1,523 1,127,745 0.14 7.84 11,940 8,841,521

2017-04-14 2017-04-13 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 10,500 1,225,178 0.86 8.63 90,604 10,572,061

2017-04-14 2017-04-12 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 10,000 1,214,678 0.83 8.52 85,200 10,349,057

2017-04-13 2017-04-12 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 616,816 1.65 18.45 184,500 11,380,255

2017-04-13 2017-04-11 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 606,816 1.68 18.41 184,100 11,171,483

2017-04-13 2017-04-12 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 895 1,126,222 0.08 7.84 7,017 8,829,580

2017-04-13 2017-04-11 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 3,616 1,125,327 0.32 7.84 28,349 8,822,564

2017-04-12 2017-04-11 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 432 1,204,678 0.04 8.47 3,659 10,203,623

2017-04-12 2017-04-10 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 7,000 1,204,246 0.58 8.51 59,570 10,248,133

2017-04-06 2017-04-04 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 11,361 596,816 1.94 18.40 209,042 10,981,414

2017-04-04 2017-04-03 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 4,559 1,197,246 0.38 8.79 40,093 10,528,940

2017-04-04 2017-03-31 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 5,803 1,192,687 0.49 8.78 50,931 10,467,856

2017-04-04 2017-04-03 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 81,599 585,455 16.19 18.40 1,501,413 10,772,313

2017-04-04 2017-03-31 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 2,000 503,856 0.40 18.26 36,528 9,202,426

2017-03-30 2017-03-29 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 200 1,186,884 0.02 8.67 1,734 10,290,284

2017-03-30 2017-03-28 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 22,500 1,186,684 1.93 8.66 194,850 10,276,683

2017-03-30 2017-03-28 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 15,000 501,856 3.08 18.43 276,450 9,249,206

2017-03-28 2017-03-24 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 25,500 1,164,184 2.24 8.70 221,845 10,128,168

2017-03-28 2017-03-27 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 2,000 486,856 0.41 18.27 36,535 8,893,642

2017-03-28 2017-03-24 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 484,856 2.11 18.37 183,700 8,906,805

2017-03-24 2017-03-22 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 2,300 1,121,711 0.21 7.71 17,742 8,652,766

2017-03-24 2017-03-22 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 4,300 1,138,684 0.38 8.62 37,072 9,816,936

2017-03-24 3 PMO PUTNAM MUNICIPAL OPPORTUNITIES TRUST
Auction Rate Preferred Series B and C 800

2017-03-24 3 PMO PUTNAM MUNICIPAL OPPORTUNITIES TRUST
Auction Rate Preferred Series B and C 800

2017-03-24 3 PMO PUTNAM MUNICIPAL OPPORTUNITIES TRUST
Auction Rate Preferred Series B and C 800

2017-03-24 3 PMO PUTNAM MUNICIPAL OPPORTUNITIES TRUST
Auction Rate Preferred Series B and C 800

2017-03-24 3 PMO PUTNAM MUNICIPAL OPPORTUNITIES TRUST
Auction Rate Preferred Series B and C 800

2017-03-23 2017-03-21 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock P - Purchase 10,000 474,856 2.15 18.24 182,410 8,661,848

2017-03-23 2017-03-22 4 DCA Virtus Total Return Fund
Common Stock S - Sale -2,636,634 1,553,860 -62.92 4.87 -12,842,253 7,568,386

2017-03-23 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 929,712

2017-03-23 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 929,712

2017-03-23 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 929,712

2017-03-23 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 929,712

2017-03-23 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 929,712

2017-03-22 2017-03-21 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 7,557 1,119,411 0.68 7.73 58,407 8,651,704

2017-03-22 2017-03-20 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 3,900 1,111,854 0.35 7.74 30,186 8,605,750

2017-03-22 2017-03-21 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 403 1,134,384 0.04 8.64 3,482 9,801,078

2017-03-22 2017-03-20 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 503 1,133,981 0.04 8.65 4,353 9,813,472

2017-03-14 2017-03-10 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 12,500 1,133,478 1.12 8.19 102,375 9,283,185

2017-03-10 2017-03-08 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 1,400 1,120,978 0.13 8.06 11,284 9,035,083

2017-03-10 2017-03-08 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 6,000 1,107,954 0.54 7.85 47,100 8,697,439

2017-03-08 2017-03-07 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 4,201 1,101,954 0.38 7.87 33,062 8,672,378

2017-03-08 2017-03-06 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 3,100 1,097,753 0.28 7.87 24,397 8,639,316

2017-03-08 2017-03-07 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 25,402 1,119,578 2.32 8.17 207,527 9,146,616

2017-03-08 2017-03-06 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 25,000 1,094,176 2.34 8.09 202,250 8,851,884

2017-03-02 2017-03-01 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 50,000 1,069,176 4.91 8.24 412,000 8,810,010

2017-03-02 2017-02-28 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 5,300 1,019,176 0.52 8.23 43,603 8,384,761

2017-02-23 2017-02-22 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 50,000 1,013,872 5.19 8.30 415,000 8,415,138

2017-02-23 2017-02-21 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 7,500 963,872 0.78 8.25 61,862 7,950,305

2017-02-22 2017-02-17 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 2,000 1,094,653 0.18 7.83 15,652 8,566,754

2017-02-21 2017-02-17 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 23,600 956,372 2.53 8.16 192,576 7,803,996

2017-02-21 2017-02-16 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 37,446 932,772 4.18 8.21 307,432 7,658,058

2017-02-21 2017-02-16 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 1,200 895,326 0.13 8.21 9,851 7,349,910

2017-02-16 2017-02-14 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 7,400 894,126 0.83 8.20 60,675 7,331,207

2017-02-14 2017-02-09 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 48,900 886,726 5.84 8.18 400,002 7,253,419

2017-02-09 2017-02-08 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 9,600 1,092,653 0.89 7.78 74,683 8,500,294

2017-02-09 2017-02-07 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 2,574 1,083,053 0.24 7.78 20,037 8,430,809

2017-02-09 2017-02-08 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 3,500 1,091,947 0.32 8.50 29,750 9,281,550

2017-02-09 2017-02-07 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 4,084 1,088,447 0.38 8.50 34,730 9,256,044

2017-02-09 2017-02-08 4 KEF KOREA EQUITY FUND INC
Common Stock P - Purchase 50,000 837,826 6.35 8.14 407,000 6,819,904

2017-02-09 3 KEF KOREA EQUITY FUND INC
Common Stock 1,575,652

2017-02-09 3 KEF KOREA EQUITY FUND INC
Common Stock 1,575,652

2017-02-09 3 KEF KOREA EQUITY FUND INC
Common Stock 1,575,652

2017-02-09 3 KEF KOREA EQUITY FUND INC
Common Stock 1,575,652

2017-02-09 3 KEF KOREA EQUITY FUND INC
Common Stock 1,575,652

2017-02-07 2017-02-06 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 1,790 1,084,363 0.17 8.48 15,186 9,199,519

2017-02-07 2017-02-03 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 57,736 1,082,573 5.63 8.44 487,384 9,138,648

2017-02-06 2017-02-03 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 154 1,080,479 0.01 7.76 1,195 8,380,735

2017-02-06 2017-02-02 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 6,774 1,080,325 0.63 7.75 52,498 8,372,411

2017-02-03 2017-02-02 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 9,658 1,024,837 0.95 8.43 81,424 8,640,093

2017-02-03 2017-02-01 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 8,511 1,015,179 0.85 8.41 71,569 8,536,640

2017-02-02 2017-02-01 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 8,811 1,073,551 0.83 7.77 68,479 8,343,638

2017-02-02 2017-01-31 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 10,810 1,064,740 1.03 7.76 83,833 8,257,165

2017-02-01 2017-01-31 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 21,744 1,006,668 2.21 8.38 182,208 8,435,576

2017-02-01 2017-01-30 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 10,068 984,924 1.03 8.38 84,374 8,254,057

2017-01-31 2017-01-27 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 5,300 1,053,930 0.51 7.78 41,231 8,198,943

2017-01-30 2017-01-27 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 10,508 974,856 1.09 8.47 89,042 8,260,637

2017-01-30 2017-01-26 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 8,410 964,348 0.88 8.42 70,805 8,119,039

2017-01-30 2017-01-26 4 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock P - Purchase 24,900 955,938 2.67 8.42 209,658 8,048,998

2017-01-30 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 1,862,076

2017-01-30 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 1,862,076

2017-01-30 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 1,862,076

2017-01-30 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 1,862,076

2017-01-30 3 PCF PUTNAM HIGH INCOME SECURITIES FUND
Common Stock 1,862,076

2017-01-27 2017-01-26 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 2,100 1,048,630 0.20 7.75 16,279 8,128,875

2017-01-27 2017-01-25 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 973 1,046,530 0.09 7.72 7,511 8,078,374

2017-01-27 3 SCZ Cushing Renaissance Fund
Common Stock 915,100

2017-01-27 3 SCZ Cushing Renaissance Fund
Common Stock 915,100

2017-01-27 3 SCZ Cushing Renaissance Fund
Common Stock 915,100

2017-01-27 3 SCZ Cushing Renaissance Fund
Common Stock 915,100

2017-01-27 3 SCZ Cushing Renaissance Fund
Common Stock 915,100

2016-12-16 2016-12-14 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 1,780 1,045,557 0.17 7.20 12,815 7,527,279

2016-12-16 2016-12-15 4 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock S - Sale -45,096 4,295,140 -1.04 5.30 -238,806 22,744,914

2016-12-15 2016-12-14 4 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock S - Sale -73,483 4,340,236 -1.66 5.32 -390,790 23,081,809

2016-12-15 2016-12-13 4 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock S - Sale -17,651 4,413,719 -0.40 5.35 -94,419 23,609,866

2016-12-14 2016-12-13 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 4,349 1,043,777 0.42 7.19 31,281 7,507,470

2016-12-14 2016-12-12 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 6,167 1,039,428 0.60 7.20 44,399 7,483,362

2016-12-12 2016-12-08 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 1,267 1,179,781 0.11 13.13 16,635 15,489,935

2016-12-09 2016-12-08 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 4,895 1,033,261 0.48 7.12 34,860 7,358,368

2016-12-09 2016-12-07 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 6,574 1,028,366 0.64 7.13 46,892 7,335,335

2016-12-08 2016-12-06 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 1,327 1,178,514 0.11 13.13 17,423 15,473,182

2016-12-07 2016-12-06 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 10,616 1,021,792 1.05 7.10 75,336 7,251,147

2016-12-07 2016-12-06 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 4,959 1,011,176 0.49 7.11 35,258 7,189,461

2016-12-07 2016-12-05 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 5,761 1,006,217 0.58 7.09 40,849 7,134,682

2016-12-06 2016-12-05 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 1,940 1,177,187 0.17 13.28 25,763 15,632,690

2016-12-06 2016-12-02 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 8,890 1,175,247 0.76 13.18 117,161 15,488,580

2016-12-05 2016-12-02 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 3,668 1,000,456 0.37 7.08 25,965 7,081,928

2016-12-05 2016-12-01 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 1,650 996,788 0.17 7.08 11,685 7,058,854

2016-12-02 2016-12-01 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 6,377 1,166,357 0.55 13.08 83,439 15,260,965

2016-12-02 2016-11-30 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 1,802 1,159,980 0.16 13.06 23,538 15,152,007

2016-12-01 2016-11-30 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 40 995,138 0.00 7.05 282 7,015,723

2016-12-01 2016-11-29 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 500 995,098 0.05 7.00 3,500 6,965,686

2016-11-30 2016-11-29 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 4,230 1,158,178 0.37 12.88 54,474 14,914,900

2016-11-30 2016-11-28 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 7,848 1,153,948 0.68 12.99 101,951 14,990,592

2016-11-29 2016-11-28 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 2,295 994,598 0.23 7.03 16,124 6,987,648

2016-11-29 2016-11-25 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 9,154 992,303 0.93 6.97 63,763 6,911,986

2016-11-28 2016-11-23 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 7,635 1,146,100 0.67 13.05 99,630 14,955,574

2016-11-25 2016-11-23 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 3,342 983,149 0.34 7.00 23,380 6,877,815

2016-11-25 2016-11-22 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 501 979,807 0.05 7.05 3,532 6,907,639

2016-11-23 2016-11-22 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 3,478 1,138,465 0.31 13.05 45,392 14,858,448

2016-11-23 2016-11-21 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 1,877 1,134,987 0.17 13.00 24,401 14,754,831

2016-11-22 2016-11-21 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 2,734 979,306 0.28 6.96 19,022 6,813,717

2016-11-22 2016-11-18 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 1,707 976,572 0.18 6.92 11,812 6,757,878

2016-11-21 2016-11-17 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 1,704 1,133,110 0.15 12.90 21,975 14,612,473

2016-11-16 2016-11-15 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 1,950 1,131,406 0.17 12.86 25,071 14,546,148

2016-11-16 2016-11-14 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 7,434 1,129,456 0.66 12.88 95,778 14,551,685

2016-11-15 2016-11-14 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 8,035 974,865 0.83 6.71 53,952 6,545,829

2016-11-15 2016-11-11 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 300 966,830 0.03 6.72 2,017 6,500,288

2016-11-15 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 1,933,060

2016-11-15 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 1,933,060

2016-11-15 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 1,933,060

2016-11-15 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 1,933,060

2016-11-15 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 1,933,060

2016-11-14 2016-11-10 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 10,274 1,122,022 0.92 13.06 134,178 14,653,607

2016-11-14 2016-11-09 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 14,082 1,111,748 1.28 13.05 183,832 14,513,203

2016-11-09 2016-11-08 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 2,255 1,097,666 0.21 13.01 29,327 14,275,476

2016-11-09 2016-11-07 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 3,314 1,095,411 0.30 13.05 43,244 14,294,018

2016-11-07 2016-11-04 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 3,083 1,092,097 0.28 12.98 40,018 14,175,637

2016-11-07 2016-11-03 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 4,692 1,089,014 0.43 13.07 61,339 14,236,898

2016-11-03 2016-11-02 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 6,580 1,084,322 0.61 12.99 85,469 14,084,475

2016-11-03 2016-11-01 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 1,362 1,077,742 0.13 13.19 17,965 14,215,956

2016-11-01 2016-10-31 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -10,436 964,292 -1.07 7.01 -73,156 6,759,687

2016-11-01 2016-10-31 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 3,508 1,076,380 0.33 13.26 46,520 14,273,875

2016-11-01 2016-10-28 4 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock P - Purchase 4,184 1,072,872 0.39 13.40 56,048 14,372,086

2016-11-01 3 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock 2,137,376

2016-11-01 3 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock 2,137,376

2016-11-01 3 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock 2,137,376

2016-11-01 3 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock 2,137,376

2016-11-01 3 CTF Nuveen Long/Short Commodity Total Return Fund
Common Stock 2,137,376

2016-10-31 2016-10-26 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock D - Sale to Issuer -139 633 -18.01 15.61 -2,170 9,881

2016-10-31 2016-10-26 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock D - Sale to Issuer -951 4,336 -17.99 15.61 -14,845 67,685

2016-10-31 2016-10-26 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock D - Sale to Issuer -1,079 4,921 -17.98 15.61 -16,843 76,817

2016-10-21 2016-10-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 300 1,951,679 0.02 8.86 2,658 17,291,876

2016-10-21 2016-10-19 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 10,900 1,951,379 0.56 8.89 96,901 17,347,759

2016-10-07 2016-10-05 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,500 1,940,479 0.08 9.11 13,670 17,684,167

2016-10-04 2016-09-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 15,004 1,938,979 0.78 9.10 136,595 17,652,271

2016-09-30 2016-09-28 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 18,049 2,194,974 0.83 11.89 214,570 26,094,290

2016-09-29 2016-09-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 4,524 1,923,975 0.24 9.05 40,955 17,417,361

2016-09-29 2016-09-27 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 20,700 1,919,451 1.09 9.02 186,714 17,313,448

2016-09-26 2016-09-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 39,426 1,898,751 2.12 9.07 357,550 17,219,583

2016-09-26 2016-09-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 65,780 1,859,325 3.67 9.08 597,210 16,880,626

2016-09-23 2016-09-22 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 1,043 2,176,925 0.05 11.97 12,485 26,057,792

2016-09-23 2016-09-21 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 50,100 2,175,882 2.36 11.85 593,820 25,790,077

2016-09-22 2016-09-21 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 55,000 1,793,545 3.16 9.00 495,038 16,143,160

2016-09-22 2016-09-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 34,240 1,738,545 2.01 9.00 308,033 15,640,472

2016-09-21 2016-09-19 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 1,000 2,125,782 0.05 11.78 11,781 25,043,838

2016-09-20 2016-09-16 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 9,795 1,704,305 0.58 8.96 87,798 15,276,708

2016-09-19 2016-09-16 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 11,200 2,124,782 0.53 11.65 130,492 24,756,048

2016-09-19 2016-09-15 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 14,300 2,113,582 0.68 11.74 167,875 24,812,396

2016-09-15 2016-09-14 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 32,453 4,190,476 0.78 4.51 146,516 18,918,742

2016-09-15 2016-09-13 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 41,954 4,158,023 1.02 4.54 190,467 18,877,009

2016-09-14 2016-09-12 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 640 1,694,510 0.04 9.07 5,805 15,370,731

2016-09-14 2016-09-13 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 1,004 2,099,282 0.05 11.71 11,756 24,580,493

2016-09-14 2016-09-12 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 7,017 2,098,278 0.34 12.04 84,480 25,261,798

2016-09-13 2016-09-08 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.50% Convertible Preferred Stock, Series B X - Other 156 156 25.00 3,900 3,900

2016-09-13 2016-09-08 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.50% Convertible Preferred Stock, Series B X - Other 966 966 25.00 24,150 24,150

2016-09-13 2016-09-08 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.50% Convertible Preferred Stock, Series B X - Other 1,200 1,200 25.00 30,000 30,000

2016-09-13 2016-08-26 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Subscription Rights (right to buy) X - Other -156 0 -100.00

2016-09-13 2016-08-26 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Subscription Rights (right to buy) X - Other -966 0 -100.00

2016-09-13 2016-08-26 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Subscription Rights (right to buy) X - Other -1,200 0 -100.00

2016-09-12 2016-09-08 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -12,866 974,728 -1.30 7.22 -92,894 7,037,634

2016-09-12 2016-09-09 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 36,369 4,116,069 0.89 4.59 167,112 18,912,925

2016-09-12 2016-09-08 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 101,268 4,079,069 2.55 4.66 471,635 18,997,448

2016-09-09 2016-09-08 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 7,300 2,091,261 0.35 12.29 89,690 25,693,860

2016-09-09 2016-09-07 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 14,200 2,083,961 0.69 12.26 174,058 25,544,360

2016-09-08 2016-09-06 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 56,478 3,978,432 1.44 4.67 263,950 18,593,202

2016-09-07 2016-09-02 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -1,017 987,594 -0.10 7.24 -7,363 7,150,181

2016-09-07 2016-09-06 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 2,546 1,693,870 0.15 9.19 23,397 15,565,988

2016-09-07 2016-09-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,000 1,691,324 0.06 9.16 9,160 15,492,528

2016-09-07 2016-09-02 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 37,634 2,069,761 1.85 12.22 459,737 25,284,200

2016-09-02 2016-09-01 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -2,849 988,611 -0.29 7.22 -20,574 7,139,155

2016-09-02 2016-08-31 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -2,385 991,460 -0.24 7.22 -17,220 7,158,341

2016-09-02 2016-08-31 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 30,149 2,032,127 1.51 12.13 365,777 24,654,374

2016-08-31 2016-08-30 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -1,121 993,845 -0.11 7.22 -8,094 7,175,561

2016-08-31 2016-08-29 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -2,532 994,966 -0.25 7.22 -18,286 7,185,744

2016-08-31 2016-08-30 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 28,253 2,001,978 1.43 12.17 343,960 24,372,681

2016-08-31 2016-08-29 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 17,204 1,973,725 0.88 12.16 209,135 23,992,996

2016-08-31 2016-08-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,400 1,690,324 0.08 9.11 12,754 15,398,852

2016-08-31 2016-08-29 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 14,240 1,688,924 0.85 9.13 129,981 15,416,329

2016-08-29 2016-08-26 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 700 1,956,521 0.04 12.13 8,489 23,726,926

2016-08-29 2016-08-25 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 7,400 1,955,821 0.38 12.13 89,743 23,719,024

2016-08-29 2016-08-26 4 SZC Cushing Renaissance Fund
Common Stock P - Purchase 4,800 459,250 1.06 16.59 79,615 7,617,304

2016-08-29 2016-08-25 4 SZC Cushing Renaissance Fund
Common Stock P - Purchase 3,632 454,450 0.81 16.53 60,019 7,509,832

2016-08-25 2016-08-23 4 SZC Cushing Renaissance Fund
Common Stock P - Purchase 3,440 450,818 0.77 16.50 56,743 7,436,288

2016-08-25 2016-08-24 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 4,849 1,948,421 0.25 12.15 58,933 23,680,524

2016-08-25 2016-08-23 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 15,320 1,943,572 0.79 12.18 186,533 23,664,544

2016-08-24 2016-08-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 40,000 1,674,684 2.45 9.13 365,208 15,290,200

2016-08-24 2016-08-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 18,688 1,634,688 1.16 9.10 169,984 14,868,959

2016-08-23 2016-08-22 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 2,381 1,928,252 0.12 12.08 28,763 23,293,670

2016-08-23 2016-08-19 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 2,710 1,925,871 0.14 12.05 32,668 23,215,412

2016-08-22 2016-08-19 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 8,353 1,615,996 0.52 9.10 76,012 14,705,564

2016-08-22 2016-08-18 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 2,393 1,607,643 0.15 9.11 21,800 14,645,628

2016-08-22 2016-08-19 4 SZC Cushing Renaissance Fund
Common Stock P - Purchase 1,700 447,378 0.38 16.35 27,790 7,313,243

2016-08-22 2016-08-18 4 SZC Cushing Renaissance Fund
Common Stock P - Purchase 1,216 445,678 0.27 16.41 19,957 7,314,467

2016-08-19 2016-08-18 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 8,202 1,923,161 0.43 12.12 99,416 23,310,634

2016-08-19 2016-08-17 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 6,899 1,914,959 0.36 12.10 83,453 23,164,110

2016-08-18 2016-08-17 4 SZC Cushing Renaissance Fund
Common Stock P - Purchase 6,000 444,462 1.37 16.14 96,848 7,174,239

2016-08-18 2016-08-16 4 SZC Cushing Renaissance Fund
Common Stock P - Purchase 1,028 438,462 0.24 16.20 16,655 7,103,742

2016-08-17 2016-08-15 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 300 1,605,250 0.02 9.13 2,739 14,655,932

2016-08-16 2016-08-15 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 18,200 3,921,954 0.47 4.61 83,949 18,090,405

2016-08-16 2016-08-12 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 15,061 3,903,754 0.39 4.61 69,412 17,991,231

2016-08-16 2016-08-15 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 16,300 1,908,060 0.86 12.18 198,492 23,235,210

2016-08-16 2016-08-12 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 6,635 1,891,760 0.35 12.14 80,540 22,963,318

2016-08-16 2016-08-15 4 SZC Cushing Renaissance Fund
Common Stock P - Purchase 4,350 437,434 1.00 16.13 70,185 7,057,735

2016-08-16 2016-08-12 4 SZC Cushing Renaissance Fund
Common Stock P - Purchase 110 433,084 0.03 15.97 1,757 6,916,351

2016-08-15 2016-08-11 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 4,345 1,604,950 0.27 9.09 39,475 14,581,131

2016-08-12 2016-08-11 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 3,000 1,885,125 0.16 12.11 36,330 22,828,864

2016-08-12 2016-08-10 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 107 1,882,125 0.01 12.09 1,294 22,754,891

2016-08-12 2016-08-11 4 DCA Cushing Renaissance Fund
Common Stock P - Purchase 1,880 432,974 0.44 15.84 29,774 6,857,009

2016-08-12 2016-08-10 4 DCA Cushing Renaissance Fund
Common Stock P - Purchase 1,000 431,094 0.23 15.63 15,634 6,739,939

2016-08-12 2016-08-11 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 4,216 3,888,693 0.11 4.60 19,383 17,878,655

2016-08-12 2016-08-10 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 12,600 3,884,477 0.33 4.57 57,597 17,756,721

2016-08-12 3 SZC Cushing Renaissance Fund
Common Stock 860,188

2016-08-12 3 SZC Cushing Renaissance Fund
Common Stock 860,188

2016-08-12 3 SZC Cushing Renaissance Fund
Common Stock 860,188

2016-08-12 3 SZC Cushing Renaissance Fund
Common Stock 860,188

2016-08-12 3 SZC Cushing Renaissance Fund
Common Stock 860,188

2016-08-11 2016-08-10 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,110 1,600,605 0.07 9.07 10,068 14,517,487

2016-08-11 2016-08-09 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,700 1,599,495 0.11 9.09 15,460 14,545,808

2016-08-10 2016-08-09 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 32,369 3,871,877 0.84 4.57 147,871 17,687,896

2016-08-10 2016-08-08 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 31,565 3,893,508 0.82 4.56 143,829 17,741,159

2016-08-10 2016-08-09 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 17,452 1,882,018 0.94 12.06 210,536 22,704,101

2016-08-10 2016-08-08 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 17,952 1,864,566 0.97 12.03 215,884 22,422,525

2016-08-09 2016-08-05 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -6,351 997,498 -0.63 7.15 -45,410 7,132,111

2016-08-09 2016-08-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 73,274 1,597,795 4.81 9.07 664,251 14,484,491

2016-08-09 2016-08-05 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 300 1,524,521 0.02 9.05 2,715 13,796,915

2016-08-08 2016-08-05 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 43,200 3,807,943 1.15 4.55 196,720 17,340,230

2016-08-08 2016-08-04 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 32,300 3,764,743 0.87 4.57 147,611 17,204,876

2016-08-08 2016-08-05 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 16,300 1,846,614 0.89 11.96 195,016 22,093,259

2016-08-08 2016-08-04 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 14,600 1,830,314 0.80 11.88 173,435 21,742,483

2016-08-05 2016-08-04 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -6,792 1,003,849 -0.67 7.12 -48,359 7,147,405

2016-08-05 2016-08-03 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -6,785 1,010,641 -0.67 7.12 -48,309 7,195,764

2016-08-05 2016-08-04 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 3,000 1,524,221 0.20 9.00 27,001 13,718,446

2016-08-05 2016-08-03 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 6,045 1,521,221 0.40 9.00 54,403 13,690,533

2016-08-04 2016-08-03 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 21,994 1,815,714 1.23 11.87 261,159 21,559,970

2016-08-04 2016-08-02 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 13,396 1,793,720 0.75 11.87 159,033 21,294,506

2016-08-03 2016-08-01 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 17,636 3,732,443 0.47 4.60 81,044 17,152,069

2016-08-03 2016-08-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 2,659 1,515,176 0.18 8.96 23,826 13,576,583

2016-08-03 2016-08-01 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 2,901 1,512,517 0.19 9.04 26,236 13,678,901

2016-08-02 2016-07-25 4 HIL Hill International, Inc.
Common Stock P - Purchase 946 29,212 3.35 4.23 4,002 123,567

2016-08-02 2016-07-19 4 HIL Hill International, Inc.
Common Stock P - Purchase 4,054 28,266 16.74 4.23 17,148 119,565

2016-08-01 2016-07-29 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 900 1,780,324 0.05 12.11 10,903 21,567,557

2016-08-01 2016-07-28 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 10,100 1,779,424 0.57 12.10 122,259 21,539,750

2016-07-29 2016-07-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 2,442 1,509,616 0.16 9.06 22,136 13,684,518

2016-07-29 2016-07-27 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 7,833 1,507,174 0.52 9.07 71,038 13,668,712

2016-07-28 2016-07-27 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -9,710 1,017,426 -0.95 7.18 -69,765 7,310,104

2016-07-28 2016-07-26 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -7,617 1,027,136 -0.74 7.20 -54,842 7,395,379

2016-07-27 2016-07-26 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 2,100 1,769,324 0.12 12.12 25,449 21,442,084

2016-07-27 2016-07-25 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 2,376 1,767,224 0.13 12.09 28,726 21,365,738

2016-07-26 2016-07-25 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -10,150 1,034,753 -0.97 7.20 -73,082 7,450,429

2016-07-26 2016-07-22 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -9,029 1,044,903 -0.86 7.28 -65,731 7,606,894

2016-07-26 2016-07-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 11,700 1,499,341 0.79 9.05 105,865 13,566,487

2016-07-25 2016-07-22 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 12,231 1,764,848 0.70 12.11 148,071 21,365,603

2016-07-25 2016-07-21 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 12,239 1,752,617 0.70 12.07 147,695 21,149,881

2016-07-22 2016-07-21 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -3,205 1,053,932 -0.30 7.28 -23,332 7,672,625

2016-07-22 2016-07-20 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -900 1,057,137 -0.09 7.25 -6,525 7,664,243

2016-07-22 2016-07-20 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 17,600 3,714,807 0.48 4.60 81,036 17,104,086

2016-07-22 2016-07-21 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,500 1,487,641 0.10 9.20 13,795 13,681,388

2016-07-22 2016-07-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 7,800 1,486,141 0.53 9.24 72,056 13,728,971

2016-07-21 2016-07-20 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 25,751 1,740,378 1.50 12.09 311,255 21,036,123

2016-07-21 2016-07-19 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 8,873 1,714,627 0.52 12.03 106,703 20,619,418

2016-07-20 2016-07-19 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -4,918 1,058,037 -0.46 7.23 -35,558 7,649,819

2016-07-20 2016-07-18 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -3,057 1,062,955 -0.29 7.22 -22,072 7,674,535

2016-07-20 2016-07-18 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 600 1,478,341 0.04 9.22 5,532 13,630,304

2016-07-19 2016-07-18 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 7,359 1,705,754 0.43 12.09 88,998 20,628,877

2016-07-19 2016-07-15 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 7,800 1,698,395 0.46 12.06 94,098 20,489,267

2016-07-19 2016-07-15 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 18,448 3,697,207 0.50 4.56 84,123 16,859,264

2016-07-18 2016-07-14 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 3,800 1,477,741 0.26 9.19 34,919 13,579,258

2016-07-15 2016-07-14 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 19,600 3,678,759 0.54 4.56 89,382 16,776,245

2016-07-15 2016-07-13 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 35,100 3,659,159 0.97 4.55 159,775 16,656,492

2016-07-15 2016-07-14 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 10,075 1,690,595 0.60 12.09 121,760 20,431,517

2016-07-15 2016-07-13 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 14,994 1,680,520 0.90 12.00 180,001 20,174,475

2016-07-14 2016-07-13 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 10,000 1,473,941 0.68 9.13 91,294 13,456,197

2016-07-14 2016-07-12 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 3,163 1,463,941 0.22 9.16 28,962 13,404,576

2016-07-13 2016-07-11 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -4,424 1,066,012 -0.41 7.21 -31,894 7,685,200

2016-07-13 2016-07-12 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 19,194 3,624,059 0.53 4.56 87,525 16,525,709

2016-07-13 2016-07-11 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 38,358 3,604,865 1.08 4.54 174,264 16,377,262

2016-07-13 2016-07-12 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 15,192 1,665,526 0.92 12.00 182,269 19,982,481

2016-07-13 2016-07-11 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 23,724 1,650,334 1.46 11.88 281,791 19,602,502

2016-07-12 2016-07-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 20,500 1,460,778 1.42 9.07 185,935 13,249,256

2016-07-11 2016-07-08 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -8,813 1,070,436 -0.82 7.18 -63,277 7,685,730

2016-07-11 2016-07-07 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -13,120 1,079,120 -1.20 7.15 -93,808 7,715,708

2016-07-11 2016-07-08 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 10,900 1,626,610 0.67 11.76 128,135 19,121,614

2016-07-11 2016-07-07 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 7,900 1,615,710 0.49 11.59 91,555 18,724,786

2016-07-06 2016-07-05 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -1,654 1,092,369 -0.15 7.08 -11,712 7,734,956

2016-07-06 2016-07-01 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -300 1,094,023 -0.03 7.15 -2,145 7,822,264

2016-07-05 2016-06-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 2,800 1,440,278 0.19 8.97 25,106 12,914,109

2016-07-05 2016-06-30 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 1,700 1,607,810 0.11 11.51 19,575 18,513,450

2016-07-01 2016-06-30 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -700 1,094,323 -0.06 7.14 -4,998 7,813,466

2016-07-01 2016-06-29 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -409 1,095,023 -0.04 7.13 -2,918 7,812,880

2016-06-30 2016-06-29 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 10,100 1,606,110 0.63 11.43 115,440 18,357,355

2016-06-30 2016-06-28 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 5,500 1,596,010 0.35 11.22 61,701 17,904,519

2016-06-28 2016-06-24 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -100 1,095,432 -0.01 7.11 -711 7,788,522

2016-06-28 2016-06-24 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 8,100 1,590,510 0.51 11.38 92,167 18,097,777

2016-06-27 2016-06-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 17,248 1,437,478 1.21 8.98 154,830 12,903,809

2016-06-24 2016-06-23 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -2,608 1,095,532 -0.24 7.18 -18,714 7,861,209

2016-06-24 2016-06-22 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -6,933 1,098,140 -0.63 7.17 -49,708 7,873,334

2016-06-24 2016-06-22 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -3,951 1,105,073 -0.36 7.18 -28,368 7,934,424

2016-06-23 2016-06-21 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 5,270 1,420,230 0.37 8.91 46,951 12,652,971

2016-06-22 2016-06-21 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -2,766 1,109,024 -0.25 7.16 -19,807 7,941,610

2016-06-22 2016-06-21 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -12,470 1,111,790 -1.11 7.16 -89,257 7,957,859

2016-06-22 2016-06-20 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock S - Sale -3,802 1,124,260 -0.34 7.21 -27,416 8,107,039

2016-06-21 2016-06-20 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 25,000 1,582,410 1.61 11.61 290,185 18,367,666

2016-06-21 2016-06-17 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 15,361 1,557,410 1.00 11.41 175,237 17,766,778

2016-06-15 2016-06-14 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 19,573 1,542,049 1.29 11.30 221,271 17,432,710

2016-06-15 2016-06-13 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 18,378 1,522,476 1.22 11.41 209,610 17,364,600

2016-06-14 2016-06-13 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 100 1,414,960 0.01 8.85 885 12,522,396

2016-06-14 2016-06-10 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,198 1,414,860 0.08 8.89 10,650 12,578,105

2016-06-13 2016-06-10 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 2,398 1,504,098 0.16 11.82 28,336 17,773,475

2016-06-13 2016-06-09 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 22,368 1,501,700 1.51 11.98 267,971 17,990,516

2016-06-10 2016-06-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 20,300 1,413,662 1.46 8.98 182,288 12,694,261

2016-06-09 2016-06-07 4 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock P - Purchase 5,000 1,128,062 0.45 6.95 34,750 7,840,031

2016-06-09 2016-06-08 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 24,600 1,479,332 1.69 12.07 296,991 17,859,679

2016-06-09 2016-06-07 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 2,099 1,454,732 0.14 11.98 25,146 17,427,398

2016-06-09 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 2,246,124

2016-06-09 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 2,246,124

2016-06-09 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 2,246,124

2016-06-09 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 2,246,124

2016-06-09 3 PHF PACHOLDER HIGH YIELD FUND INC
Common Stock 2,246,124

2016-06-07 2016-06-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 54,952 2,378,630 2.36 13.90 763,954 33,068,190

2016-06-07 2016-06-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 25,000 2,323,678 1.09 13.96 348,980 32,436,686

2016-06-07 2016-06-03 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 1,700 1,452,633 0.12 11.89 20,213 17,271,806

2016-06-03 2016-06-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 21,580 2,298,678 0.95 13.83 298,531 31,799,222

2016-06-03 2016-06-01 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 10,306 2,277,098 0.45 13.80 142,210 31,421,220

2016-06-03 2016-06-02 4 EMG EMERGENT CAPITAL, INC.
Common Stock A - Award 11,508 42,720 36.87

2016-05-31 2016-05-26 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 8,600 1,450,933 0.60 11.79 101,390 17,105,775

2016-05-27 2016-05-25 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 100 3,566,507 0.00 4.28 428 15,264,650

2016-05-26 2016-05-25 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 31,100 1,442,333 2.20 11.74 365,263 16,939,913

2016-05-26 2016-05-24 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 7,848 1,411,233 0.56 11.63 91,297 16,417,156

2016-05-24 2016-05-23 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 9,756 1,403,385 0.70 11.50 112,179 16,136,822

2016-05-24 2016-05-20 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 22,000 1,393,629 1.60 11.47 252,296 15,982,137

2016-05-23 2016-05-20 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 17,000 3,566,407 0.48 4.25 72,292 15,166,146

2016-05-23 2016-05-19 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 34,500 3,549,407 0.98 4.23 146,032 15,023,930

2016-05-20 2016-05-19 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 8,932 1,371,629 0.66 11.34 101,248 15,547,963

2016-05-20 2016-05-18 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 17,500 1,362,697 1.30 11.39 199,364 15,524,117

2016-05-19 2016-05-17 4 HIL Hill International, Inc.
Common Stock P - Purchase 6,300 24,212 35.17 3.83 24,129 92,732

2016-05-19 3/A HIL Hill International, Inc.
Common Stock 2,793,921

2016-05-19 3/A HIL Hill International, Inc.
Common Stock 17,912

2016-05-18 2016-05-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 700 2,266,792 0.03 14.08 9,852 31,905,097

2016-05-18 2016-05-17 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 81,097 3,514,907 2.36 4.29 348,060 15,085,629

2016-05-18 2016-05-16 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 57,799 3,433,810 1.71 4.30 248,478 14,761,949

2016-05-16 2016-05-13 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 10,700 3,376,011 0.32 4.28 45,839 14,462,831

2016-05-16 2016-05-12 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 83,267 3,365,311 2.54 4.31 358,614 14,493,721

2016-05-12 2016-05-11 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -3,767 1,078,710 -0.35 8.21 -30,945 8,861,387

2016-05-12 2016-05-10 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -130 1,082,477 -0.01 8.43 -1,096 9,125,281

2016-05-11 2016-05-10 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 18,267 3,282,044 0.56 4.30 78,466 14,098,020

2016-05-11 2016-05-09 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 6,200 3,263,777 0.19 4.26 26,412 13,903,690

2016-05-11 2016-05-10 4 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock P - Purchase 15,387 4,431,370 0.35 5.35 82,314 23,706,057

2016-05-11 2016-05-09 4 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock P - Purchase 33,580 4,415,983 0.77 5.35 179,549 23,611,820

2016-05-10 2016-05-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 19,545 2,266,092 0.87 13.98 273,147 31,669,316

2016-05-09 2016-05-06 4 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock P - Purchase 18,552 4,382,403 0.43 5.31 98,515 23,271,436

2016-05-09 2016-05-05 4 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock P - Purchase 11,043 4,363,851 0.25 5.27 58,194 22,996,622

2016-05-06 2016-05-05 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 23,191 3,257,577 0.72 4.28 99,190 13,932,983

2016-05-06 2016-05-04 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 21,561 3,234,386 0.67 4.26 91,912 13,787,864

2016-05-05 2016-05-04 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock S - Sale -14,799 480,946 -2.99 8.05 -119,133 3,871,663

2016-05-05 3 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock 8,705,616

2016-05-05 3 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock 8,705,616

2016-05-05 3 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock 8,705,616

2016-05-05 3 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock 8,705,616

2016-05-05 3 NRO NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC
Common Stock 8,705,616

2016-05-04 2016-05-03 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 49,889 3,212,825 1.58 4.28 213,380 13,741,574

2016-05-04 2016-05-02 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 17,103 3,162,936 0.54 4.28 73,249 13,546,222

2016-04-29 2016-04-27 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock S - Sale -43,965 495,745 -8.15 8.00 -351,720 3,965,960

2016-04-29 2016-04-28 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 25,033 3,145,833 0.80 4.27 106,916 13,435,853

2016-04-29 2016-04-27 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 38,197 3,120,800 1.24 4.25 162,280 13,258,719

2016-04-27 2016-04-26 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock S - Sale -6,323 539,710 -1.16 8.01 -50,619 4,320,702

2016-04-27 2016-04-26 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock S - Sale -36,125 546,033 -6.21 8.01 -289,361 4,373,724

2016-04-27 2016-04-25 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock S - Sale -7,665 582,158 -1.30 7.98 -61,138 4,643,409

2016-04-27 2016-04-26 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 4,900 3,082,603 0.16 4.23 20,734 13,043,726

2016-04-27 2016-04-25 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 5,702 3,077,703 0.19 4.21 23,994 12,950,974

2016-04-27 2016-04-25 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 65,857 2,246,547 3.02 13.44 885,118 30,193,592

2016-04-25 2016-04-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,900 2,180,690 0.23 13.50 66,129 29,429,938

2016-04-22 2016-04-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 19,734 1,393,362 1.44 8.86 174,863 12,346,581

2016-04-21 2016-04-20 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 8,447 2,175,790 0.39 13.62 115,033 29,630,343

2016-04-21 2016-04-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 10,688 2,167,343 0.50 13.76 147,094 29,828,058

2016-04-21 2016-04-20 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 29,990 3,073,001 0.99 4.28 128,435 13,160,434

2016-04-21 2016-04-19 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 7,150 3,043,011 0.24 4.27 30,550 13,001,873

2016-04-20 2016-04-18 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 200 1,345,197 0.01 11.01 2,202 14,810,619

2016-04-20 2016-04-15 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 2,700 1,344,997 0.20 10.92 29,484 14,687,367

2016-04-19 2016-04-15 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 1,200 3,035,861 0.04 4.19 5,022 12,706,293

2016-04-18 2016-04-14 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 48,058 1,373,628 3.63 8.72 419,075 11,978,311

2016-04-15 2016-04-14 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 898 3,034,661 0.03 4.16 3,736 12,624,190

2016-04-15 2016-04-13 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 19,100 3,033,763 0.63 4.15 79,292 12,594,364

2016-04-12 2016-04-11 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 45,848 3,014,663 1.54 4.13 189,302 12,447,242

2016-04-12 2016-04-08 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 7,800 2,968,815 0.26 4.10 31,991 12,176,298

2016-04-08 2016-04-07 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 7,200 2,961,015 0.24 4.08 29,341 12,066,432

2016-04-08 2016-04-06 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 14,000 2,953,815 0.48 4.18 58,547 12,352,559

2016-04-07 2016-04-06 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 200 1,325,570 0.02 8.60 1,720 11,399,902

2016-04-07 2016-04-05 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 11,129 1,325,370 0.85 8.55 95,108 11,326,612

2016-04-06 2016-04-04 4 JGV Nuveen Global Equity Income Fund
Common Stock P - Purchase 8,135 1,342,297 0.61 10.81 87,931 14,508,888

2016-04-06 2016-04-05 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 21,000 2,939,815 0.72 4.16 87,463 12,244,035

2016-04-06 2016-04-04 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 78,757 2,918,815 2.77 4.20 330,567 12,251,142

2016-04-04 2016-04-01 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 39,300 2,840,058 1.40 4.19 164,557 11,891,891

2016-04-04 2016-03-31 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 20,286 2,800,758 0.73 4.22 85,686 11,830,122

2016-04-04 2016-03-31 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 4,321 1,314,241 0.33 8.62 37,241 11,326,917

2016-04-04 3 JGV Nuveen Global Equity Income Fund
Common Stock 2,668,324

2016-04-04 3 JGV Nuveen Global Equity Income Fund
Common Stock 2,668,324

2016-04-04 3 JGV Nuveen Global Equity Income Fund
Common Stock 2,668,324

2016-04-04 3 JGV Nuveen Global Equity Income Fund
Common Stock 2,668,324

2016-04-04 3 JGV Nuveen Global Equity Income Fund
Common Stock 2,668,324

2016-03-31 2016-03-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 600 1,561,109 0.04 8.63 5,178 13,472,371

2016-03-30 2016-03-29 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 300 1,309,320 0.02 8.52 2,556 11,155,406

2016-03-30 2016-03-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 7,392 1,309,020 0.57 8.52 62,966 11,150,363

2016-03-30 2016-03-29 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 20,000 2,780,472 0.72 4.13 82,530 11,473,618

2016-03-30 2016-03-28 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 100,000 2,760,472 3.76 4.08 408,430 11,274,596

2016-03-25 2016-03-24 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 55,700 2,660,472 2.14 4.10 228,370 10,907,935

2016-03-25 2016-03-23 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 32,600 2,604,772 1.27 4.11 133,846 10,694,412

2016-03-23 2016-03-22 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 84,500 2,572,172 3.40 4.11 347,210 10,569,055

2016-03-23 2016-03-21 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 23,146 2,487,672 0.94 4.10 94,873 10,196,719

2016-03-21 2016-03-18 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 100,000 2,464,526 4.23 4.12 412,230 10,159,516

2016-03-21 2016-03-17 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 89,128 2,364,526 3.92 4.11 366,628 9,726,478

2016-03-17 2016-03-16 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 67,000 2,275,398 3.03 4.04 270,874 9,199,207

2016-03-17 2016-03-15 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 52,474 2,208,398 2.43 4.03 211,586 8,904,702

2016-03-16 3 HIL Hill International, Inc.
Common Stock 6,340,612

2016-03-16 3 HIL Hill International, Inc.
Common Stock 4,245,725

2016-03-16 3 HIL Hill International, Inc.
Common Stock 6,340,612

2016-03-16 3 HIL Hill International, Inc.
Common Stock 4,245,725

2016-03-16 3 HIL Hill International, Inc.
Common Stock 6,340,612

2016-03-16 3 HIL Hill International, Inc.
Common Stock 4,245,725

2016-03-16 3 HIL Hill International, Inc.
Common Stock 6,340,612

2016-03-16 3 HIL Hill International, Inc.
Common Stock 4,245,725

2016-03-16 3 HIL Hill International, Inc.
Common Stock 6,340,612

2016-03-16 3 HIL Hill International, Inc.
Common Stock 4,245,725

2016-03-16 3 HIL Hill International, Inc.
Common Stock 6,340,612

2016-03-16 3 HIL Hill International, Inc.
Common Stock 4,245,725

2016-03-15 2016-03-11 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 33,160 1,301,628 2.61 8.33 276,326 10,846,596

2016-03-15 2016-03-14 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 43,655 2,155,924 2.07 4.04 176,314 8,707,346

2016-03-15 2016-03-11 4 DCA Virtus Total Return Fund
Common Stock P - Purchase 10,316 2,112,269 0.49 4.05 41,731 8,544,762

2016-03-11 2016-03-10 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 2,302 1,268,468 0.18 8.22 18,922 10,426,553

2016-03-11 2016-03-09 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 8,700 1,266,166 0.69 8.20 71,310 10,378,256

2016-03-11 3 DCA Virtus Total Return Fund
Common Stock 4,203,906

2016-03-11 3 DCA Virtus Total Return Fund
Common Stock 4,203,906

2016-03-11 3 DCA Virtus Total Return Fund
Common Stock 4,203,906

2016-03-11 3 DCA Virtus Total Return Fund
Common Stock 4,203,906

2016-03-11 3 DCA Virtus Total Return Fund
Common Stock 4,203,906

2016-03-09 2016-03-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 4,002 1,257,466 0.32 8.19 32,764 10,294,874

2016-03-09 2016-03-07 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 3,600 1,253,464 0.29 8.23 29,634 10,318,140

2016-03-08 2016-03-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 6,810 2,156,655 0.32 13.01 88,596 28,057,435

2016-03-07 2016-03-04 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 9,200 1,249,864 0.74 8.21 75,498 10,256,759

2016-03-07 2016-03-03 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 4,295 1,240,664 0.35 8.11 34,840 10,063,894

2016-03-03 2016-03-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 20,104 1,236,369 1.65 8.05 161,889 9,955,985

2016-03-03 2016-03-01 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 64,000 1,216,265 5.55 8.00 512,026 9,730,607

2016-03-01 2016-02-26 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 900 1,152,265 0.08 7.88 7,090 9,077,313

2016-02-29 2016-02-25 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 200 2,149,845 0.01 12.54 2,508 26,959,056

2016-02-25 2016-02-24 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 28,475 1,151,365 2.54 7.72 219,853 8,889,574

2016-02-25 2016-02-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 4,700 1,122,890 0.42 7.78 36,571 8,737,319

2016-02-23 2016-02-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 36,499 1,118,190 3.37 7.83 285,886 8,758,447

2016-02-23 2016-02-19 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 600 1,081,691 0.06 7.76 4,656 8,393,922

2016-02-23 2016-02-22 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 1,400 2,149,645 0.07 12.43 17,407 26,727,826

2016-02-23 2016-02-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 6,288 2,148,245 0.29 12.29 77,287 26,404,509

2016-02-17 2016-02-12 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 35,460 1,081,091 3.39 7.33 259,869 7,922,775

2016-02-12 2016-02-11 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 48,759 1,045,631 4.89 7.26 354,054 7,592,640

2016-02-12 2016-02-10 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 5,450 996,872 0.55 7.46 40,650 7,435,469

2016-02-10 2016-02-09 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 2,340 2,141,957 0.11 11.94 27,935 25,571,111

2016-02-10 2016-02-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 25,180 2,139,617 1.19 12.07 303,875 25,821,112

2016-02-10 2016-02-09 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 17,902 991,422 1.84 7.41 132,659 7,346,734

2016-02-10 2016-02-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 21,400 973,520 2.25 7.44 159,299 7,246,786

2016-02-08 2016-02-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 10,628 2,114,437 0.51 12.44 132,208 26,302,751

2016-02-08 2016-02-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 25,000 2,103,809 1.20 12.64 315,958 26,588,569

2016-02-08 2016-02-05 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,525 952,120 0.16 7.65 11,666 7,283,337

2016-02-08 2016-02-04 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 6,943 950,595 0.74 7.72 53,577 7,335,456

2016-02-04 2016-02-03 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock P - Purchase 2,000 6,000 50.00 12.46 24,920 74,760

2016-02-04 2016-02-03 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 17,596 943,652 1.90 7.67 134,949 7,237,150

2016-02-04 2016-02-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 16,089 926,056 1.77 7.61 122,392 7,044,693

2016-02-04 2016-02-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 28,900 2,078,809 1.41 12.57 363,209 26,126,056

2016-02-04 2016-02-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 39,257 2,049,909 1.95 12.52 491,474 25,663,631

2016-02-02 2016-02-01 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,037 2,010,652 0.20 12.59 50,835 25,318,532

2016-02-02 2016-01-29 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 7,073 2,006,615 0.35 12.53 88,625 25,142,886

2016-02-02 2016-02-01 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 4,060 909,967 0.45 7.72 31,352 7,026,856

2016-02-02 2016-01-29 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 54,282 905,907 6.37 7.69 417,401 6,965,972

2016-01-29 2016-01-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 450 851,625 0.05 7.57 3,406 6,446,801

2016-01-29 2016-01-27 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 20,812 851,175 2.51 7.52 156,490 6,400,155

2016-01-28 2016-01-27 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,900 1,999,542 0.25 12.39 60,691 24,766,327

2016-01-28 2016-01-26 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 3,600 1,994,642 0.18 12.47 44,906 24,881,164

2016-01-27 2016-01-26 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 40,538 830,363 5.13 7.52 304,777 6,242,918

2016-01-27 2016-01-25 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 6,705 789,825 0.86 7.49 50,231 5,917,053

2016-01-25 2016-01-21 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,483 783,120 0.19 7.66 11,360 5,998,699

2016-01-21 2016-01-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 3,929 781,637 0.51 7.49 29,446 5,857,978

2016-01-21 2016-01-19 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,050 777,708 0.14 7.72 8,106 6,003,906

2016-01-20 2016-01-15 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -5,317 1,082,607 -0.49 7.70 -40,941 8,336,074

2016-01-19 2016-01-15 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 16,762 776,658 2.21 7.74 129,793 6,013,896

2016-01-19 2016-01-14 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,392 759,896 0.18 7.91 11,014 6,012,677

2016-01-19 2016-01-13 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,761 758,504 0.23 7.87 13,868 5,973,067

2016-01-15 2016-01-14 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -18,466 1,087,924 -1.67 7.92 -146,169 8,611,571

2016-01-15 2016-01-13 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -13,443 1,106,390 -1.20 7.86 -105,655 8,695,672

2016-01-15 2016-01-13 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 1,900 1,991,042 0.10 12.55 23,845 24,987,577

2016-01-13 2016-01-11 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 4,380 756,743 0.58 8.05 35,248 6,089,814

2016-01-12 2016-01-11 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,069 1,989,142 0.20 12.70 51,678 25,262,700

2016-01-12 2016-01-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 400 1,985,073 0.02 12.78 5,112 25,369,233

2016-01-08 2016-01-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 146 1,984,673 0.01 12.89 1,882 25,582,435

2016-01-08 2016-01-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 8,300 1,984,527 0.42 12.98 107,756 25,764,320

2016-01-07 2016-01-05 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 1,615 752,363 0.22 8.41 13,585 6,328,802

2016-01-06 2016-01-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 8,478 1,976,227 0.43 13.00 110,220 25,692,334

2016-01-06 2016-01-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 85 1,967,749 0.00 12.78 1,086 25,147,832

2016-01-05 2016-01-04 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 8,930 750,748 1.20 8.30 74,089 6,228,656

2016-01-05 2015-12-31 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 2,666 741,818 0.36 8.44 22,504 6,261,686

2016-01-04 2015-12-30 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,620 1,967,664 0.24 13.02 60,173 25,627,643

2015-12-30 2015-12-28 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 7,148 1,963,044 0.37 12.92 92,364 25,365,866

2015-12-30 2015-12-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock P - Purchase 13,615 739,152 1.88 8.41 114,482 6,215,160

2015-12-24 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 1,451,074

2015-12-24 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 1,451,074

2015-12-24 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 1,451,074

2015-12-24 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 1,451,074

2015-12-24 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 1,451,074

2015-12-23 2015-12-22 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 20,062 1,955,896 1.04 12.75 255,760 24,934,740

2015-12-23 2015-12-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 1,200 1,935,834 0.06 12.67 15,204 24,527,017

2015-12-21 2015-12-18 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 2,500 1,934,634 0.13 12.66 31,650 24,492,466

2015-12-21 2015-12-17 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,483 1,932,134 0.23 12.70 56,939 24,540,420

2015-12-17 2015-12-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 7,701 1,927,651 0.40 12.68 97,621 24,435,675

2015-12-17 2015-12-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,008 1,919,950 0.21 12.60 50,484 24,183,114

2015-12-10 2015-12-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 1,000 1,915,942 0.05 12.67 12,670 24,274,985

2015-12-08 2015-12-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 264 1,914,942 0.01 12.69 3,350 24,300,614

2015-12-08 2015-12-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 100 1,914,678 0.01 12.76 1,276 24,431,291

2015-12-08 2015-12-04 4 EMG EMERGENT CAPITAL, INC.
Common Stock J - Other -44,385 1,807,508 -2.40

2015-12-04 2015-12-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 1,196 1,914,578 0.06 12.59 15,058 24,104,537

2015-12-04 2015-12-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 9,921 1,913,382 0.52 12.92 128,150 24,715,155

2015-12-02 2015-11-30 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 2,082 1,903,461 0.11 12.94 26,940 24,629,834

2015-11-24 2015-11-23 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 191,098 1,901,379 11.17 12.73 2,432,678 24,204,555

2015-11-24 2015-11-20 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 27,897 1,710,281 1.66 12.73 355,266 21,780,258

2015-11-18 2015-11-17 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 8,598 1,682,384 0.51 12.59 108,232 21,178,018

2015-11-18 2015-11-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 8,212 1,673,786 0.49 12.48 102,450 20,881,652

2015-11-05 2015-11-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 300 1,665,571 0.02 13.07 3,921 21,769,013

2015-11-05 2015-11-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 100 1,665,271 0.01 13.02 1,302 21,681,828

2015-11-02 2015-10-29 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 8,300 1,665,171 0.50 12.99 107,802 21,627,574

2015-10-29 2015-10-28 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 15,716 1,656,871 0.96 13.02 204,572 21,567,158

2015-10-29 2015-10-27 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 5,079 1,641,155 0.31 13.00 66,041 21,339,446

2015-10-28 2015-10-27 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -17,766 1,119,833 -1.56 8.77 -155,817 9,821,495

2015-10-28 2015-10-26 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock S - Sale -2,958 1,137,599 -0.26 8.79 -25,996 9,997,675

2015-10-23 2015-10-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,200 1,636,076 0.26 13.16 55,272 21,530,760

2015-10-21 2015-10-20 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 1,300 1,631,876 0.08 13.19 17,147 21,524,444

2015-10-21 2015-10-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 11,070 1,630,576 0.68 13.17 145,748 21,468,164

2015-10-19 2015-10-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 3,097 1,619,506 0.19 13.05 40,416 21,134,553

2015-10-19 2015-10-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 19,533 1,616,409 1.22 13.00 253,972 21,016,873

2015-10-14 2015-10-12 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 145 1,596,876 0.01 13.00 1,885 20,762,741

2015-10-09 2015-10-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 16,700 1,596,731 1.06 12.84 214,466 20,505,699

2015-10-09 2015-10-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,860 1,580,031 0.31 12.67 61,579 20,019,783

2015-10-07 2015-10-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 900 1,575,171 0.06 12.58 11,321 19,814,391

2015-10-07 2015-10-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 9,363 1,574,271 0.60 12.54 117,374 19,734,904

2015-10-05 2015-10-01 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 9,200 1,564,908 0.59 12.32 113,325 19,276,380

2015-10-01 2015-09-30 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock P - Purchase 700 1,140,557 0.06 8.19 5,730 9,336,257

2015-10-01 2015-09-29 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock P - Purchase 25,000 1,139,857 2.24 8.13 203,340 9,271,141

2015-09-28 2015-09-24 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock P - Purchase 17,548 1,114,857 1.60 8.26 144,873 9,204,036

2015-09-28 2015-09-24 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 14,460 1,555,708 0.94 11.85 171,386 18,438,873

2015-09-24 2015-09-22 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock P - Purchase 6,853 1,097,309 0.63 8.40 57,554 9,215,640

2015-09-23 2015-09-22 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 7,900 1,541,248 0.52 11.83 93,441 18,229,881

2015-09-23 2015-09-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 5,691 1,533,348 0.37 11.93 67,903 18,295,448

2015-09-22 2015-09-18 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock P - Purchase 100 1,090,456 0.01 8.51 851 9,279,781

2015-09-21 2015-09-18 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 36,712 1,527,657 2.46 11.87 435,834 18,135,886

2015-09-21 2015-09-17 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 36,959 1,490,945 2.54 11.74 434,010 17,508,167

2015-09-18 3 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock 2,180,712

2015-09-18 3 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock 2,180,712

2015-09-18 3 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock 2,180,712

2015-09-18 3 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock 2,180,712

2015-09-18 3 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock 2,180,712

2015-09-17 2015-09-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 700 1,453,986 0.05 11.70 8,192 17,015,853

2015-09-17 2015-09-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 29,142 1,453,286 2.05 11.67 340,003 16,955,633

2015-09-15 2015-09-14 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 15,133 1,424,144 1.07 11.52 174,309 16,404,003

2015-09-15 2015-09-11 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 7,885 1,409,011 0.56 11.37 89,630 16,016,369

2015-09-10 2015-09-09 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 6,714 14,089 91.04 8.62 57,875 121,447

2015-09-08 2015-09-03 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 1,975 7,375 36.57 8.59 16,965 63,351

2015-09-08 2015-08-24 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 1,000 1,587,717 0.06 8.53 8,530 13,543,226

2015-09-08 2015-08-24 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 50,000 1,586,717 3.25 8.52 426,000 13,518,829

2015-09-08 2015-08-18 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 700 1,536,717 0.05 8.60 6,020 13,215,766

2015-09-08 2015-08-17 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 25,400 1,536,017 1.68 8.65 219,677 13,284,550

2015-09-08 2015-07-15 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 100,000 915,317 12.27 8.52 852,000 7,798,501

2015-09-08 2015-07-22 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 500,300 1,510,617 49.52 8.64 4,322,592 13,051,731

2015-09-08 2015-07-17 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 33,300 1,010,317 3.41 8.65 288,015 8,738,333

2015-09-08 2015-07-17 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 61,700 977,017 6.74 8.67 534,939 8,470,737

2015-09-08 2015-07-07 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 22,062 811,617 2.79 8.51 187,814 6,909,296

2015-09-08 3/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock 779,108

2015-09-08 3/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock 5,400

2015-09-08 2015-07-09 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 3,700 815,317 0.46 8.52 31,508 6,942,995

2015-09-08 2015-07-06 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 6,730 789,555 0.86 8.49 57,141 6,703,717

2015-09-08 2015-07-02 4/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 3,717 782,825 0.48 8.45 31,409 6,614,871

2015-08-26 2015-08-24 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 1,000 1,593,117 0.06 8.53 8,530 13,589,288

2015-08-26 2015-08-24 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 50,000 1,592,117 3.24 8.52 426,000 13,564,837

2015-08-19 2015-08-18 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 700 1,542,117 0.05 8.60 6,020 13,262,206

2015-08-19 2015-08-17 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 25,400 1,541,417 1.68 8.65 219,677 13,331,253

2015-08-13 2015-08-12 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 5,800 1,401,126 0.42 12.38 71,794 17,343,558

2015-08-12 2015-08-11 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 8,852 1,395,326 0.64 12.40 109,759 17,301,066

2015-07-29 3 BDCV BDCA VENTURE, INC.
Common Stock, par value $0.001 per share 1,652,654

2015-07-29 3 BDCV BDCA VENTURE, INC.
Common Stock, par value $0.001 per share 1,652,654

2015-07-24 2015-07-22 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 500,300 1,516,017 49.26 8.64 4,322,592 13,098,387

2015-07-23 2015-07-22 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,321 1,386,474 0.31 12.30 53,159 17,057,096

2015-07-23 2015-07-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 97,726 1,382,153 7.61 12.36 1,207,893 17,083,411

2015-07-23 2015-07-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 6,953 1,284,427 0.54 12.38 86,110 15,907,115

2015-07-22 2015-07-20 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 3,500 559,507 0.63 14.05 49,192 7,863,759

2015-07-21 2015-07-17 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 33,300 1,015,717 3.39 8.65 288,015 8,785,038

2015-07-21 2015-07-17 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 61,700 982,417 6.70 8.67 534,939 8,517,555

2015-07-20 2015-07-17 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 10,951 556,007 2.01 14.06 153,960 7,816,902

2015-07-20 2015-07-16 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 109,734 545,056 25.21 14.03 1,539,568 7,647,136

2015-07-17 2015-07-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 7,445 1,277,474 0.59 12.24 91,139 15,638,453

2015-07-16 2015-07-14 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 10,622 435,322 2.50 13.98 148,516 6,086,629

2015-07-16 2015-07-15 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 100,000 920,717 12.18 8.52 852,000 7,844,509

2015-07-15 2015-07-13 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 11,200 1,270,029 0.89 12.20 136,603 15,490,163

2015-07-13 2015-07-10 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 1,000 826,327 0.12 4.60 4,600 3,801,104

2015-07-13 2015-07-09 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 10,000 825,327 1.23 4.78 47,820 3,946,714

2015-07-13 2015-07-09 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 3,700 820,717 0.45 8.52 31,508 6,988,980

2015-07-09 2015-07-07 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 9,027 424,700 2.17 14.16 127,777 6,011,628

2015-07-09 2015-07-07 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 22,062 817,017 2.78 8.51 187,814 6,955,266

2015-07-09 2015-07-08 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 400 815,327 0.05 4.62 1,848 3,766,811

2015-07-09 2015-07-07 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 178 814,927 0.02 4.69 836 3,825,593

2015-07-09 2015-07-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 18,834 1,258,829 1.52 12.04 226,784 15,157,812

2015-07-07 2015-07-06 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 6,730 794,955 0.85 8.49 57,141 6,749,565

2015-07-07 2015-07-02 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock P - Purchase 3,717 788,225 0.47 8.45 31,409 6,660,501

2015-07-07 3/A CMK MFS INTERMARKET INCOME TRUST I
Common Stock 784,508

2015-07-02 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 1,565,470

2015-07-02 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 1,565,470

2015-07-02 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 1,565,470

2015-07-02 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 1,565,470

2015-07-02 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 1,565,470

2015-07-01 2015-06-29 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 862 814,749 0.11 4.50 3,879 3,666,370

2015-06-26 2015-06-24 4 IFT IMPERIAL HOLDINGS, INC.
Subscription Rights (Rights to Buy) X - Other -971,288 0 -100.00

2015-06-26 2015-06-24 4 IFT IMPERIAL HOLDINGS, INC.
Subscription Rights (Rights to Buy) X - Other -808,577 0 -100.00

2015-06-26 2015-06-24 4 IFT IMPERIAL HOLDINGS, INC.
Subscription Rights (Rights to Buy) M - Exercise -11,964 0 -100.00

2015-06-26 2015-06-24 4 IFT IMPERIAL HOLDINGS, INC.
Common Stock X - Other 971,288 2,224,869 77.48 5.75 5,584,906 12,792,997

2015-06-26 2015-06-24 4 IFT IMPERIAL HOLDINGS, INC.
Common Stock X - Other 808,577 1,871,893 76.04 5.75 4,649,318 10,763,385

2015-06-26 2015-06-24 4 IFT IMPERIAL HOLDINGS, INC.
Common Stock M - Exercise 11,964 31,212 62.16 5.75 68,793 179,469

2015-06-23 2015-06-19 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 21,176 813,887 2.67 4.75 100,520 3,863,440

2015-06-19 2015-06-18 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 5,294 792,711 0.67 4.75 25,146 3,765,377

2015-06-19 2015-06-17 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 4,600 787,417 0.59 4.80 22,080 3,779,602

2015-06-18 2015-06-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 8,739 1,239,995 0.71 12.19 106,568 15,121,119

2015-06-15 2015-06-12 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 5,500 1,231,256 0.45 12.22 67,238 15,052,105

2015-06-15 2015-06-11 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 16,912 1,225,756 1.40 12.22 206,636 14,976,655

2015-06-11 2015-06-09 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock P - Purchase 1,028 589,823 0.17 8.18 8,409 4,824,752

2015-06-04 2015-06-02 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock P - Purchase 25,300 588,795 4.49 8.33 210,746 4,904,603

2015-06-04 2015-06-01 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock P - Purchase 18,655 563,495 3.42 8.33 155,394 4,693,857

2015-06-04 2015-06-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 5,431 1,208,844 0.45 12.42 67,473 15,018,194

2015-06-02 2015-05-29 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 547 1,203,413 0.05 12.48 6,829 15,023,288

2015-06-01 2015-05-29 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock P - Purchase 288 544,840 0.05 8.30 2,390 4,522,172

2015-06-01 2015-05-29 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock P - Purchase 68,732 544,552 14.44 8.33 572,270 4,533,994

2015-06-01 2015-05-28 4 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock P - Purchase 553 475,820 0.12 8.28 4,579 3,939,790

2015-05-29 2015-05-28 4 IFT IMPERIAL HOLDINGS, INC.
Common Stock A - Award 7,281 19,248 60.84

2015-05-28 3 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock 950,534

2015-05-28 3 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock 950,534

2015-05-28 3 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock 950,534

2015-05-28 3 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock 950,534

2015-05-28 3 LBF DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
Common Stock 950,534

2015-05-20 2015-05-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 1,800 1,202,866 0.15 12.69 22,834 15,259,077

2015-05-20 2015-05-18 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 11,333 1,201,066 0.95 12.68 143,722 15,231,559

2015-05-18 2015-05-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 6,948 1,189,733 0.59 12.69 88,171 15,097,831

2015-05-18 2015-05-14 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 12,874 1,182,785 1.10 12.57 161,821 14,867,134

2015-05-14 2015-05-12 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,831 1,169,911 0.41 12.51 60,432 14,634,651

2015-05-14 2015-05-13 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 100 782,817 0.01 5.10 510 3,992,367

2015-05-14 2015-05-12 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 2,351 782,717 0.30 5.10 11,990 3,991,857

2015-05-12 2015-05-11 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 13,804 1,165,080 1.20 12.58 173,671 14,658,104

2015-05-12 2015-05-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 12,500 1,151,276 1.10 12.67 158,321 14,581,716

2015-05-12 2015-05-11 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 3,158 780,366 0.41 5.10 16,102 3,979,008

2015-05-12 2015-05-08 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 800 777,208 0.10 5.10 4,080 3,963,761

2015-05-08 2015-05-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 7,435 1,138,776 0.66 13.38 99,517 15,242,517

2015-05-08 2015-05-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 4,300 1,131,341 0.38 12.28 52,795 13,890,379

2015-05-07 2015-05-05 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 3,397 415,673 0.82 13.82 46,947 5,744,601

2015-05-04 2015-04-29 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 20,419 776,408 2.70 5.10 104,133 3,959,526

2015-04-27 2015-04-23 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 8,538 755,989 1.14 5.02 42,839 3,793,099

2015-04-24 2015-04-23 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -7,918 580,825 -1.34 15.29 -121,061 8,880,408

2015-04-24 2015-04-22 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -6,693 588,743 -1.12 15.26 -102,146 8,985,160

2015-04-23 2015-04-22 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 4,389 747,451 0.59 5.00 21,945 3,737,255

2015-04-23 2015-04-21 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 16,122 743,062 2.22 5.02 80,874 3,727,496

2015-04-22 2015-04-21 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -5,273 595,436 -0.88 15.16 -79,916 9,024,249

2015-04-22 2015-04-20 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -3,478 600,709 -0.58 15.11 -52,547 9,075,692

2015-04-21 2015-04-20 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 2,697 726,940 0.37 5.00 13,485 3,634,700

2015-04-21 2015-04-17 4 BDCV BDCA VENTURE, INC.
Common Stock P - Purchase 4,100 724,243 0.57 5.00 20,500 3,621,143

2015-04-14 2015-04-10 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 9,500 1,127,041 0.85 12.95 122,982 14,590,109

2015-04-13 3 BDCV BDCA VENTURE, INC.
Common Stock 1,440,286

2015-04-13 3 BDCV BDCA VENTURE, INC.
Common Stock 1,440,286

2015-04-13 3 BDCV BDCA VENTURE, INC.
Common Stock 1,440,286

2015-04-13 3 BDCV BDCA VENTURE, INC.
Common Stock 1,440,286

2015-04-13 3 BDCV BDCA VENTURE, INC.
Common Stock 1,440,286

2015-04-08 2015-04-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 31,839 1,117,541 2.93 13.24 421,650 14,799,819

2015-04-06 2015-04-02 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 3,058 412,276 0.75 13.93 42,608 5,744,324

2015-04-03 2015-04-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 19,800 1,085,702 1.86 13.10 259,455 14,226,822

2015-04-03 2015-04-01 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 3,700 1,065,902 0.35 13.04 48,253 13,900,854

2015-04-02 2015-03-31 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 400 409,218 0.10 13.94 5,576 5,704,499

2015-04-01 2015-03-31 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 1,541 1,062,202 0.15 13.02 20,066 13,831,038

2015-04-01 2015-03-30 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 100,000 1,060,661 10.41 13.04 1,303,720 13,828,050

2015-03-31 2015-03-30 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 732 408,818 0.18 13.90 10,175 5,682,570

2015-03-31 2015-03-27 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 2,621 408,086 0.65 13.90 36,428 5,671,742

2015-03-30 2015-03-27 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 25,000 960,661 2.67 12.94 323,482 12,430,281

2015-03-30 2015-03-26 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 6,300 935,661 0.68 12.94 81,543 12,110,541

2015-03-27 2015-03-26 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 2,017 405,465 0.50 13.90 28,031 5,634,990

2015-03-27 2015-03-25 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 4,506 403,448 1.13 13.89 62,603 5,605,224

2015-03-26 2015-03-25 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 9,682 929,361 1.05 13.22 127,996 12,286,152

2015-03-26 2015-03-24 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock P - Purchase 50,050 919,679 5.76 13.23 662,111 12,166,433

2015-03-24 2015-03-20 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 4,304 398,942 1.09 13.82 59,489 5,514,136

2015-03-20 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 1,739,258

2015-03-20 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 1,739,258

2015-03-20 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 1,739,258

2015-03-20 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 1,739,258

2015-03-20 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 1,739,258

2015-03-18 2015-03-17 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 3,403 394,638 0.87 13.72 46,689 5,414,433

2015-03-18 2015-03-16 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 3,448 391,235 0.89 13.71 47,264 5,362,971

2015-03-16 2015-03-13 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 4,550 387,787 1.19 13.69 62,269 5,307,059

2015-03-16 2015-03-12 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 4,516 383,237 1.19 13.70 61,864 5,249,925

2015-03-03 2015-03-02 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 800 378,721 0.21 13.77 11,016 5,214,988

2015-03-03 2015-02-27 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 400 377,921 0.11 13.78 5,512 5,207,751

2015-03-03 2015-02-26 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 3,886 377,521 1.04 13.85 53,809 5,227,458

2015-03-03 2015-02-25 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 1,454 373,635 0.39 13.78 20,036 5,148,690

2015-03-03 2015-02-24 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 351 372,181 0.09 13.77 4,833 5,124,932

2015-03-03 2015-02-23 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 1,637 371,830 0.44 13.82 22,623 5,138,691

2015-03-03 2015-02-20 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 400 370,193 0.11 13.80 5,520 5,108,663

2015-03-03 2015-02-18 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 100 369,793 0.03 13.70 1,370 5,066,164

2015-03-03 2015-02-17 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 9,998 369,693 2.78 13.68 136,735 5,055,995

2015-03-03 2015-02-13 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 5,516 359,695 1.56 13.78 76,010 4,956,597

2015-03-03 2015-02-11 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 500 354,179 0.14 13.80 6,900 4,887,670

2015-03-03 2015-02-10 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 3,085 353,679 0.88 13.86 42,766 4,902,875

2015-03-03 2015-02-06 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 681 350,594 0.19 13.95 9,500 4,890,786

2015-03-03 2015-01-26 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 2,283 349,913 0.66 13.88 31,681 4,855,673

2015-03-03 2015-01-14 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 2,045 347,630 0.59 13.90 28,426 4,832,057

2015-03-03 2015-01-13 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 3,321 345,585 0.97 13.74 45,631 4,748,338

2015-03-03 2015-01-12 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 6,634 342,264 1.98 13.76 91,290 4,709,895

2015-03-02 2015-01-08 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 19,705 335,630 6.24 13.70 269,905 4,597,225

2015-03-02 2014-12-30 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 300 315,925 0.10 13.25 3,975 4,186,006

2015-03-02 2014-12-29 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 7,527 315,625 2.44 13.20 99,376 4,167,071

2015-03-02 2014-12-26 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 8,524 308,098 2.85 13.16 112,137 4,053,152

2015-03-02 2014-12-24 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 9,663 299,574 3.33 13.15 127,079 3,939,728

2015-03-02 2014-12-23 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 22,176 289,911 8.28 13.14 291,375 3,809,199

2015-03-02 2014-12-22 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 18,220 267,735 7.30 13.06 237,878 3,495,521

2015-03-02 2014-12-19 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 1,726 249,515 0.70 13.00 22,438 3,243,695

2015-03-02 2014-12-18 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 33,869 247,289 15.87 12.98 439,596 3,209,638

2015-03-02 2014-12-17 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 55,159 213,920 34.74 12.93 713,443 2,766,905

2015-03-02 2014-12-16 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 25,033 158,761 18.72 12.91 323,103 2,049,144

2015-03-02 2014-12-15 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 11,092 133,728 9.04 12.89 142,946 1,723,393

2015-03-02 2014-12-12 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 22,109 122,636 21.99 12.86 284,384 1,577,442

2015-03-02 2014-12-11 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 5,088 100,527 5.33 12.86 65,452 1,293,179

2015-03-02 2014-12-10 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 9,180 95,439 10.64 12.86 118,074 1,227,546

2015-03-02 2014-12-09 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 8,016 86,259 10.25 12.78 102,448 1,102,425

2015-03-02 2014-12-08 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 4,910 78,243 6.70 12.76 62,657 998,475

2015-03-02 2014-12-05 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 5,414 73,333 7.97 12.75 69,054 935,348

2015-03-02 2014-12-04 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 3,326 67,919 5.15 12.77 42,466 867,183

2015-03-02 2014-12-03 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 400 64,593 0.62 12.76 5,102 823,884

2015-03-02 2014-12-02 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 5,364 64,193 9.12 12.80 68,655 821,625

2015-03-02 2014-12-01 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 885 58,829 1.53 12.77 11,301 751,246

2015-03-02 2014-11-28 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 502 57,944 0.87 12.77 6,410 739,939

2015-03-02 2014-11-25 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 200 57,442 0.35 12.77 2,554 733,534

2015-03-02 2014-11-24 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 4,365 57,242 8.26 12.77 55,729 730,820

2015-03-02 2014-11-20 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 1,937 52,877 3.80 12.75 24,697 674,182

2015-03-02 2014-11-19 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 9,173 50,940 21.96 12.69 116,448 646,668

2015-03-02 2014-11-18 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock P - Purchase 210 41,767 0.51 12.70 2,667 530,441

2015-02-10 2015-02-09 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -945 604,187 -0.16 15.00 -14,175 9,062,805

2015-02-10 2015-02-06 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -91 605,132 -0.02 15.00 -1,365 9,076,980

2015-02-04 2015-02-02 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock J - Other -852 4,148 -17.04 23.27 -19,826 96,525

2015-02-04 2015-02-02 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock J - Other -127,314 605,223 -17.38 23.27 -2,962,622 14,083,660

2015-02-04 2015-01-30 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -1,376 732,537 -0.19 15.95 -21,947 11,683,965

2015-02-03 2015-02-02 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock P - Purchase 200 4,000 5.26 14.94 2,988 59,760

2015-02-03 2015-02-02 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock P - Purchase 3,800 3,800 14.95 56,810 56,810

2015-01-30 2015-01-28 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -13,000 733,913 -1.74 16.15 -209,986 11,854,750

2015-01-28 2015-01-26 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -200 746,913 -0.03 17.10 -3,420 12,772,212

2015-01-26 2015-01-22 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -2,667 747,113 -0.36 18.40 -49,073 13,746,879

2015-01-22 2015-01-21 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -34,422 749,780 -4.39 18.41 -633,626 13,801,650

2015-01-22 2015-01-20 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -18,423 784,202 -2.30 18.52 -341,185 14,523,029

2015-01-20 2015-01-16 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -5,242 802,625 -0.65 18.50 -96,977 14,848,562

2015-01-20 2015-01-15 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -14,984 807,867 -1.82 18.60 -278,740 15,028,346

2015-01-07 2014-02-20 4/A SPE SPECIAL OPPORTUNITIES FUND, INC.
3.00% Convertible Preferred Stock, Series A C - Conversion -1,154 0 -100.00

2015-01-07 2014-02-20 4/A SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock C - Conversion 4,287 5,287 428.70

2014-12-18 2014-12-16 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -3,100 822,851 -0.38 19.10 -59,210 15,716,454

2014-12-16 2014-12-15 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -1,987 825,951 -0.24 19.15 -38,051 15,816,962

2014-12-15 2014-12-12 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -9,264 827,938 -1.11 19.16 -177,519 15,865,114

2014-12-05 2014-12-04 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -147,044 837,202 -14.94 19.60 -2,882,062 16,409,159

2014-12-03 2014-12-02 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -7,949 984,246 -0.80 22.66 -180,131 22,303,900

2014-12-02 2014-12-01 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -1,590 992,195 -0.16 22.53 -35,824 22,355,146

2014-12-02 2014-11-26 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -13,512 993,785 -1.34 22.54 -304,578 22,401,206

2014-12-02 2014-11-24 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -2,419 1,007,297 -0.24 22.60 -54,664 22,762,495

2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 1,410

2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 1,410

2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 1,410

2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 1,410

2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 1,410

2014-11-14 2014-11-12 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -19,870 1,009,716 -1.93 22.66 -450,254 22,880,165

2014-11-14 2014-11-12 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -16,356 1,029,586 -1.56 22.71 -371,386 23,378,192

2014-11-14 2014-11-11 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -7,521 1,045,942 -0.71 22.65 -170,354 23,691,005

2014-11-14 2014-11-07 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock S - Sale -1,200 1,053,463 -0.11 22.71 -27,250 23,922,354

2014-06-09 2014-06-05 4 IFT Imperial Holdings, Inc.
Common Stock A - Award 7,246 11,967 153.48

2014-04-01 2014-03-31 4 IFT Imperial Holdings, Inc.
Common Stock P - Purchase 5,000 1,063,316 0.47 5.75 28,750 6,114,067

2014-04-01 2014-03-31 4 IFT Imperial Holdings, Inc.
Common Stock P - Purchase 5,000 1,058,316 0.47 5.75 28,749 6,085,105

2014-04-01 2014-03-28 4 IFT Imperial Holdings, Inc.
Common Stock P - Purchase 5,000 1,053,316 0.48 5.89 29,450 6,204,031

2014-04-01 2014-03-28 4 IFT Imperial Holdings, Inc.
Common Stock P - Purchase 5,000 1,048,316 0.48 5.73 28,650 6,006,851

2014-03-10 2014-03-06 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock P - Purchase 500 1,054,633 0.05 23.64 11,820 24,931,524

2014-03-06 2014-03-05 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock P - Purchase 43,328 1,054,163 4.29 23.31 1,009,924 24,571,275

2014-03-06 2014-03-04 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock P - Purchase 12,146 1,010,835 1.22 23.70 287,806 23,952,241

2014-03-06 2014-02-26 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock P - Purchase 277 998,689 0.03 23.69 6,562 23,657,844

2014-02-28 2014-02-20 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.00% Convertible Preferred Stock, Series A C - Conversion -208 0 -100.00

2014-02-28 2014-02-20 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.00% Convertible Preferred Stock, Series A C - Conversion -1,154 0 -100.00

2014-02-28 2014-02-20 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock C - Conversion 772 772

2014-02-28 2014-02-20 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Common Stock C - Conversion 3,827 4,827 382.70

2014-02-24 2014-02-21 4 IFT Imperial Holdings, Inc.
Senior Convertible Notes P - Purchase 6,302 6,302 1,000.00 6,302,000 6,302,000

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,003,648

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,003,648

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,003,648

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,003,648

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,997,060

2014-02-19 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 4,003,648

2014-01-02 2013-12-31 4 IFT Imperial Holdings, Inc.
Common Stock J - Other -106,596 1,043,316 -9.27

2013-09-03 2013-08-30 4 IFT Imperial Holdings, Inc.
Common Stock J - Other -25,000 1,149,912 -2.13

2013-06-07 2013-06-06 4 IFT Imperial Holdings, Inc.
Common Stock A - Award 2,881 4,721 156.58

2013-04-30 2013-04-29 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -1,137 0 -100.00 17.16 -19,511

2013-04-30 2013-04-29 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -4,752 0 -100.00 17.16 -81,544

2013-04-30 2013-04-29 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -1,530 0 -100.00 17.16 -26,255

2013-04-30 2013-04-29 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -3,870 0 -100.00 17.16 -66,409

2013-04-26 2013-04-25 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -108 1,137 -8.67 17.16 -1,853 19,511

2013-04-26 2013-04-25 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -450 4,752 -8.65 17.16 -7,722 81,544

2013-04-26 2013-04-25 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -145 1,530 -8.66 17.16 -2,488 26,255

2013-04-26 2013-04-25 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -366 3,870 -8.64 17.16 -6,281 66,409

2013-04-23 2013-04-19 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -2,386 1,245 -65.71 17.00 -40,565 21,167

2013-04-23 2013-04-19 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -9,974 5,202 -65.72 17.00 -169,571 88,441

2013-04-23 2013-04-19 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -3,211 1,675 -65.72 17.00 -54,591 28,477

2013-04-23 2013-04-19 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -8,121 4,236 -65.72 17.00 -138,068 72,018

2013-04-17 2013-04-15 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -2,629 3,631 -42.00 17.22 -45,280 62,538

2013-04-17 2013-04-15 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -10,988 15,176 -42.00 17.22 -189,251 261,382

2013-04-17 2013-04-15 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -3,537 4,886 -41.99 17.22 -60,919 84,154

2013-04-17 2013-04-15 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -8,946 12,357 -41.99 17.22 -154,081 212,830

2013-04-16 2013-04-12 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -967 6,260 -13.38 17.42 -16,846 109,058

2013-04-16 2013-04-12 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -4,041 26,164 -13.38 17.42 -70,400 455,814

2013-04-16 2013-04-12 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -1,301 8,423 -13.38 17.42 -22,665 146,740

2013-04-16 2013-04-12 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -3,291 21,303 -13.38 17.42 -57,334 371,128

2013-04-15 2013-02-07 4/A MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -1,600 24,594 -6.11 15.74 -25,178 387,021

2013-04-03 2013-04-01 4 IFT Imperial Holdings, Inc.
Common Stock A - Award 1,840 1,840 4.17 7,673 7,673

2013-03-27 3/A IFT Imperial Holdings, Inc.
Common Stock 1,253,581

2013-03-27 3/A IFT Imperial Holdings, Inc.
Common Stock 1,174,912

2013-02-11 2013-02-07 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -470 7,227 -6.11 15.74 -7,396 113,727

2013-02-11 2013-02-07 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -1,965 30,205 -6.11 15.74 -30,922 475,318

2013-02-11 2013-02-07 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -632 9,724 -6.10 15.74 -9,945 153,021

2013-02-11 2013-02-07 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -1,600 29,184 -5.20 15.74 -25,178 459,251

2013-02-07 2013-02-06 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -4,590 26,194 -14.91 15.79 -72,459 413,506

2013-02-07 2013-02-06 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -1,489 7,697 -16.21 15.79 -23,506 121,507

2013-02-07 2013-02-06 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -6,224 32,170 -16.21 15.79 -98,254 507,845

2013-02-07 2013-02-06 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -2,003 10,356 -16.21 15.79 -31,620 163,483

2013-02-07 2013-02-05 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -400 30,784 -1.28 15.87 -6,347 488,465

2013-02-05 2013-02-01 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -1,137 9,186 -11.01 15.83 -17,995 145,381

2013-02-05 2013-02-01 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -3,858 31,184 -11.01 15.83 -61,058 493,530

2013-02-05 2013-02-01 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -4,751 38,394 -11.01 15.83 -75,191 607,639

2013-02-05 2013-02-01 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -1,529 12,359 -11.01 15.83 -24,199 195,598

2013-01-09 2013-01-08 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock S - Sale -8,021 0 -100.00 15.00 -120,348

2012-10-19 2012-03-15 4 MXE MEXICO EQUITY & INCOME FUND INC
Common Stock J - Other 13,888 13,888

2012-08-13 3 IFT Imperial Holdings, Inc.
Common Stock 1,360,177

2012-08-13 3 IFT Imperial Holdings, Inc.
Common Stock 1,063,316

2012-08-01 2012-07-30 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.00% Convertible Preferred Stock, Series A X - Other 208 208 50.00 10,400 10,400

2012-08-01 2012-07-30 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Subscription Rights (right to buy) X - Other -100 0 -100.00

2012-08-01 2012-07-30 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
3.00% Convertible Preferred Stock, Series X - Other 1,154 1,154 50.00 57,700 57,700

2012-08-01 2012-07-30 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Subscription Rights (right to buy) X - Other -560 0 -100.00

2012-07-06 2012-07-05 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Subscription Rights (right to buy) J - Other 100 100 0.85 85 85

2012-07-06 2012-07-03 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Subscription Rights (right to buy) J - Other 60 60 0.89 53 53

2012-07-06 2012-07-03 4 SPE SPECIAL OPPORTUNITIES FUND, INC.
Subscription Rights (right to buy) J - Other 400 500 400.00 0.84 336 420

P

Pasaran terbuka atau pembelian persendirian sekuriti bukan derivatif atau derivatif

S

Pasaran terbuka atau jualan persendirian sekuriti bukan derivatif atau derivatif

A

Pemberian, penganugerahan atau pemerolehan lain sekuriti daripada syarikat (seperti opsyen)

C

Penukaran derivatif

D

Penjualan atau pemindahan sekuriti kembali kepada syarikat

F

Pembayaran harga pelaksanaan atau liabiliti cukai menggunakan sebahagian daripada sekuriti yang diterima daripada syarikat

G

Hadiah sekuriti oleh atau kepada orang dalam

K

Swap ekuiti dan urus niaga lindung nilai yang serupa

M

Pelaksanaan atau penukaran sekuriti derivatif yang diterima daripada syarikat (seperti opsyen)

V

Transaksi dilaporkan secara sukarela pada Borang 4

J

Lain-lain (disertai dengan nota kaki yang menerangkan transaksi)

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Min
2017-12-05	CH	Bulldog Investors, LLC	877	7.8500	877	7.8500	6,884	197
2017-12-05	CH	Bulldog Investors, LLC	1,713	7.8500	1,713	7.8500	13,447
2017-11-08	CH	Bulldog Investors, LLC	779	8.8570	779	8.8570	6,900
2017-11-08	CH	Bulldog Investors, LLC	1,521	8.8570	1,521	8.8570	13,471
2017-10-06	CH	Bulldog Investors, LLC	27,181	8.9891	27,181	8.9891	244,333

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Min	Harga pada Min	Kerugian Maks Dielakkan ($)	Kerugian Maks Dielakkan (%)
2013-04-29	MXE	Dakos Andrew	3,870	17.1600	3,870	17.1600	66,409	318	13.6	-13,777	-20.75
2013-04-29	MXE	Dakos Andrew	1,530	17.1600	1,530	17.1600	26,255
2013-04-29	MXE	Dakos Andrew	4,752	17.1600	4,752	17.1600	81,544
2013-04-29	MXE	Dakos Andrew	1,137	17.1600	1,137	17.1600	19,511
2013-04-25	MXE	Dakos Andrew	366	17.1600	366	17.1600	6,281
2013-04-25	MXE	Dakos Andrew	145	17.1600	145	17.1600	2,488
2013-04-25	MXE	Dakos Andrew	450	17.1600	450	17.1600	7,722
2013-04-25	MXE	Dakos Andrew	108	17.1600	108	17.1600	1,853
2013-04-19	MXE	Dakos Andrew	8,121	17.0013	8,121	17.0013	138,068
2013-04-19	MXE	Dakos Andrew	3,211	17.0013	3,211	17.0013	54,591
2013-04-19	MXE	Dakos Andrew	9,974	17.0013	9,974	17.0013	169,571
2013-04-19	MXE	Dakos Andrew	2,386	17.0013	2,386	17.0013	40,565
2013-04-15	MXE	Dakos Andrew	8,946	17.2234	8,946	17.2234	154,081
2013-04-15	MXE	Dakos Andrew	3,537	17.2234	3,537	17.2234	60,919
2013-04-15	MXE	Dakos Andrew	10,988	17.2234	10,988	17.2234	189,251
2013-04-15	MXE	Dakos Andrew	2,629	17.2234	2,629	17.2234	45,280
2013-04-12	MXE	Dakos Andrew	3,291	17.4214	3,291	17.4214	57,334
2013-04-12	MXE	Dakos Andrew	1,301	17.4214	1,301	17.4214	22,665
2013-04-12	MXE	Dakos Andrew	4,041	17.4214	4,041	17.4214	70,400
2013-04-12	MXE	Dakos Andrew	967	17.4214	967	17.4214	16,846
2013-02-07	MXE	Dakos Andrew	1,600	15.7364	1,600	15.7364	25,178
2013-02-07	MXE	Dakos Andrew	632	15.7364	632	15.7364	9,945
2013-02-07	MXE	Dakos Andrew	1,965	15.7364	1,965	15.7364	30,922
2013-02-07	MXE	Dakos Andrew	470	15.7364	470	15.7364	7,396
2013-02-07	MXE	Dakos Andrew	1,600	15.7364	1,600	15.7364	25,178
2013-02-06	MXE	Dakos Andrew	2,003	15.7863	2,003	15.7863	31,620
2013-02-06	MXE	Dakos Andrew	6,224	15.7863	6,224	15.7863	98,254
2013-02-06	MXE	Dakos Andrew	1,489	15.7863	1,489	15.7863	23,506
2013-02-06	MXE	Dakos Andrew	4,590	15.7863	4,590	15.7863	72,459
2013-02-05	MXE	Dakos Andrew	400	15.8675	400	15.8675	6,347
2013-02-01	MXE	Dakos Andrew	1,529	15.8264	1,529	15.8264	24,199
2013-02-01	MXE	Dakos Andrew	4,751	15.8264	4,751	15.8264	75,191
2013-02-01	MXE	Dakos Andrew	3,858	15.8264	3,858	15.8264	61,058
2013-02-01	MXE	Dakos Andrew	1,137	15.8264	1,137	15.8264	17,995
2013-01-08	MXE	Dakos Andrew	8,021	15.0041	8,021	15.0041	120,348

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Maks	Harga pada Maks	Maks Keuntungan ($)	Pulangan Maks (%)
2016-05-10	NRO	Bulldog Investors, LLC	15,387	5.3496	15,387	5.3496	82,314	80	5.9900	9,854	11.97
2016-05-09	NRO	Bulldog Investors, LLC	33,580	5.3469	33,580	5.3469	179,549
2016-05-06	NRO	Bulldog Investors, LLC	18,552	5.3102	18,552	5.3102	98,515
2016-05-05	NRO	Bulldog Investors, LLC	11,043	5.2698	11,043	5.2698	58,194

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Min	Harga pada Min	Kerugian Maks Dielakkan ($)	Kerugian Maks Dielakkan (%)
2016-12-15	NRO	Bulldog Investors, LLC	45,096	5.2955	45,096	5.2955	238,806	89	5.08	-9,717	-4.07
2016-12-14	NRO	Bulldog Investors, LLC	73,483	5.3181	73,483	5.3181	390,790
2016-12-13	NRO	Bulldog Investors, LLC	17,651	5.3492	17,651	5.3492	94,419

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Maks	Harga pada Maks	Maks Keuntungan ($)	Pulangan Maks (%)
2019-03-25	PCF	Dakos Andrew	70,000	9.2500	70,000	9.2500	647,500	332	9.5235	19,145	2.96
2018-02-02	PCF	Bulldog Investors, LLC	100	9.0000	100	9.0000	900
2018-02-01	PCF	Bulldog Investors, LLC	8,700	9.1817	8,700	9.1817	79,881
2018-01-31	PCF	Bulldog Investors, LLC	15,248	9.1176	15,248	9.1176	139,025
2018-01-30	PCF	Bulldog Investors, LLC	2,241	9.1222	2,241	9.1222	20,443
2018-01-30	PCF	Bulldog Investors, LLC	1,123	9.1222	1,123	9.1222	10,244
2018-01-30	PCF	Bulldog Investors, LLC	428	9.1222	428	9.1222	3,904
2018-01-29	PCF	Bulldog Investors, LLC	505	9.1662	505	9.1662	4,629
2018-01-25	PCF	Bulldog Investors, LLC	3,358	9.1852	3,358	9.1852	30,844
2018-01-19	PCF	Bulldog Investors, LLC	4,000	9.0887	4,000	9.0887	36,355
2018-01-18	PCF	Bulldog Investors, LLC	41,643	9.0999	41,643	9.0999	378,947
2018-01-17	PCF	Bulldog Investors, LLC	218,600	9.0994	218,600	9.0994	1,989,129
2018-01-16	PCF	Bulldog Investors, LLC	10,500	9.1130	10,500	9.1130	95,686
2018-01-12	PCF	Bulldog Investors, LLC	3,250	9.0785	3,250	9.0785	29,505
2018-01-11	PCF	Bulldog Investors, LLC	4,920	9.1000	4,920	9.1000	44,772
2018-01-10	PCF	Bulldog Investors, LLC	1,417	9.1200	1,417	9.1200	12,923
2018-01-03	PCF	Bulldog Investors, LLC	200	9.0600	200	9.0600	1,812
2017-12-21	PCF	Bulldog Investors, LLC	2,189	8.9698	2,189	8.9698	19,635
2017-11-17	PCF	Bulldog Investors, LLC	3,164	8.9392	3,164	8.9392	28,284
2017-11-15	PCF	Bulldog Investors, LLC	1,150	8.8626	1,150	8.8626	10,192
2017-11-14	PCF	Bulldog Investors, LLC	11,600	8.8895	11,600	8.8895	103,118
2017-11-13	PCF	Bulldog Investors, LLC	7,000	8.9216	7,000	8.9216	62,451
2017-11-10	PCF	Bulldog Investors, LLC	8,400	8.9181	8,400	8.9181	74,912
2017-11-09	PCF	Bulldog Investors, LLC	13,208	8.9383	13,208	8.9383	118,057
2017-11-08	PCF	Bulldog Investors, LLC	4,299	8.9700	4,299	8.9700	38,562
2017-11-07	PCF	Bulldog Investors, LLC	3,527	9.0000	3,527	9.0000	31,743
2017-11-06	PCF	Bulldog Investors, LLC	3,033	8.9900	3,033	8.9900	27,267
2017-10-30	PCF	Bulldog Investors, LLC	7,609	8.9491	7,609	8.9491	68,094
2017-10-27	PCF	Bulldog Investors, LLC	2,788	8.9200	2,788	8.9200	24,869
2017-10-26	PCF	Bulldog Investors, LLC	16,645	8.9181	16,645	8.9181	148,442
2017-10-25	PCF	Bulldog Investors, LLC	6,505	8.9000	6,505	8.9000	57,894
2017-10-24	PCF	Bulldog Investors, LLC	2,996	8.9500	2,996	8.9500	26,814
2017-10-23	PCF	Bulldog Investors, LLC	1,100	8.9245	1,100	8.9245	9,817
2017-10-20	PCF	Bulldog Investors, LLC	1,700	8.9800	1,700	8.9800	15,266
2017-10-19	PCF	Bulldog Investors, LLC	300	8.9700	300	8.9700	2,691
2017-10-18	PCF	Bulldog Investors, LLC	400	8.9500	400	8.9500	3,580
2017-10-11	PCF	Bulldog Investors, LLC	28,546	8.9125	28,546	8.9125	254,416
2017-10-04	PCF	Bulldog Investors, LLC	7,339	8.9200	7,339	8.9200	65,464
2017-09-13	PCF	Bulldog Investors, LLC	8,108	8.7538	8,108	8.7538	70,976
2017-09-12	PCF	Bulldog Investors, LLC	800	8.7500	800	8.7500	7,000
2017-09-11	PCF	Bulldog Investors, LLC	2,000	8.7500	2,000	8.7500	17,500
2017-09-11	PCF	Bulldog Investors, LLC	1,000	8.7500	1,000	8.7500	8,750
2017-09-08	PCF	Bulldog Investors, LLC	18,200	8.7098	18,200	8.7098	158,518
2017-09-07	PCF	Bulldog Investors, LLC	1,400	8.6914	1,400	8.6914	12,168
2017-09-07	PCF	Bulldog Investors, LLC	2,504	8.6900	2,504	8.6900	21,760
2017-09-06	PCF	Bulldog Investors, LLC	32,371	8.6850	32,371	8.6850	281,142
2017-09-06	PCF	Bulldog Investors, LLC	2,000	8.6890	2,000	8.6890	17,378
2017-09-06	PCF	Bulldog Investors, LLC	1,000	8.6890	1,000	8.6890	8,689
2017-02-08	PCF	Bulldog Investors, LLC	3,500	8.5000	3,500	8.5000	29,750
2017-02-07	PCF	Bulldog Investors, LLC	4,084	8.5039	4,084	8.5039	34,730
2017-02-06	PCF	Bulldog Investors, LLC	1,790	8.4838	1,790	8.4838	15,186
2017-02-03	PCF	Bulldog Investors, LLC	57,736	8.4416	57,736	8.4416	487,384
2017-02-02	PCF	Bulldog Investors, LLC	9,658	8.4307	9,658	8.4307	81,424
2017-02-01	PCF	Bulldog Investors, LLC	8,511	8.4090	8,511	8.4090	71,569
2017-01-31	PCF	Bulldog Investors, LLC	21,744	8.3797	21,744	8.3797	182,208
2017-01-30	PCF	Bulldog Investors, LLC	10,068	8.3804	10,068	8.3804	84,374
2017-01-27	PCF	Bulldog Investors, LLC	10,508	8.4737	10,508	8.4737	89,042
2017-01-26	PCF	Bulldog Investors, LLC	24,900	8.4200	24,900	8.4200	209,658
2017-01-26	PCF	Bulldog Investors, LLC	8,410	8.4192	8,410	8.4192	70,805

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Min	Harga pada Min	Kerugian Maks Dielakkan ($)	Kerugian Maks Dielakkan (%)
2021-09-16	PCF	Dakos Andrew	10,000	10.0226	10,000	10.0226	100,226	348	7.1200	-29,026	-28.96
2021-09-15	PCF	Dakos Andrew	20,000	9.9627	20,000	9.9627	199,254
2021-09-14	PCF	Dakos Andrew	10,000	9.9502	10,000	9.9502	99,502
2021-09-13	PCF	Dakos Andrew	10,000	9.9401	10,000	9.9401	99,401
2021-01-21	PCF	Dakos Andrew	9,355	8.5900	9,355	8.5900	80,359
2021-01-20	PCF	Dakos Andrew	1,900	8.7200	1,900	8.7200	16,568
2020-12-17	PCF	Dakos Andrew	1,299	8.9600	1,299	8.9600	11,639
2020-12-16	PCF	Dakos Andrew	5,000	8.8300	5,000	8.8300	44,150
2020-10-14	PCF	Dakos Andrew	5,000	8.4002	5,000	8.4002	42,001
2020-10-13	PCF	Dakos Andrew	2,819	8.3500	2,819	8.3500	23,539
2020-09-30	PCF	Dakos Andrew	2,892	8.3314	2,892	8.3314	24,094
2020-09-29	PCF	Dakos Andrew	2,497	8.3300	2,497	8.3300	20,800
2020-09-28	PCF	Dakos Andrew	10,000	8.3311	10,000	8.3311	83,311
2020-09-21	PCF	Dakos Andrew	5,303	8.4500	5,303	8.4500	44,810
2020-09-18	PCF	Dakos Andrew	1,190	8.5378	1,190	8.5378	10,160
2020-09-17	PCF	Dakos Andrew	10,000	8.6140	10,000	8.6140	86,140
2019-10-16	PCF	Dakos Andrew	107	8.4647	107	8.4647	906
2019-03-25	PCF	Dakos Andrew	220,000	9.2500	220,000	9.2500	2,035,000

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Maks	Harga pada Maks	Maks Keuntungan ($)	Pulangan Maks (%)
2016-08-26	SZC	Bulldog Investors, LLC	4,800	16.5864	1,200	66.3456	79,615	168	75.7307	11,263	14.15
2016-08-25	SZC	Bulldog Investors, LLC	3,632	16.5251	908	66.1004	60,019
2016-08-23	SZC	Bulldog Investors, LLC	3,440	16.4951	860	65.9804	56,743
2016-08-19	SZC	Bulldog Investors, LLC	1,700	16.3469	425	65.3876	27,790
2016-08-18	SZC	Bulldog Investors, LLC	1,216	16.4120	304	65.6480	19,957
2016-08-17	SZC	Bulldog Investors, LLC	6,000	16.1414	1,500	64.5656	96,848
2016-08-16	SZC	Bulldog Investors, LLC	1,028	16.2015	257	64.8060	16,655
2016-08-15	SZC	Bulldog Investors, LLC	4,350	16.1344	1,088	64.5376	70,185
2016-08-12	SZC	Bulldog Investors, LLC	110	15.9700	28	63.8800	1,757
2016-08-11	DCA	Bulldog Investors, LLC	1,880	15.8370	1,880	15.8370	29,774
2016-08-10	DCA	Bulldog Investors, LLC	1,000	15.6345	1,000	15.6345	15,634

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Maks	Harga pada Maks	Maks Keuntungan ($)	Pulangan Maks (%)
2020-02-28	SPE	Dakos Andrew	1,000	13.2500	1,000	13.2500	13,250	350	14.9700	1,720	12.98
2016-02-03	SPE	Dakos Andrew	2,000	12.4600	2,000	12.4600	24,920
2015-02-02	SPE	Dakos Andrew	3,800	14.9500	3,800	14.9500	56,810
2015-02-02	SPE	Dakos Andrew	200	14.9400	200	14.9400	2,988

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Maks	Harga pada Maks	Maks Keuntungan ($)	Pulangan Maks (%)
2014-03-06	SVVC	Bulldog Investors, LLC	500	23.6400	500	23.6400	11,820	236	25.2200	790	6.68
2014-03-05	SVVC	Bulldog Investors, LLC	43,328	23.3088	43,328	23.3088	1,009,924
2014-03-04	SVVC	Bulldog Investors, LLC	12,146	23.6955	12,146	23.6955	287,806
2014-02-26	SVVC	Bulldog Investors, LLC	277	23.6889	277	23.6889	6,562

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Min	Harga pada Min	Kerugian Maks Dielakkan ($)	Kerugian Maks Dielakkan (%)
2015-04-23	SVVC	Bulldog Investors, LLC	7,918	15.2893	7,918	15.2893	121,061	281	6.4700	-69,831	-57.68
2015-04-22	SVVC	Bulldog Investors, LLC	6,693	15.2616	6,693	15.2616	102,146
2015-04-21	SVVC	Bulldog Investors, LLC	5,273	15.1557	5,273	15.1557	79,916
2015-04-20	SVVC	Bulldog Investors, LLC	3,478	15.1083	3,478	15.1083	52,547
2015-02-09	SVVC	Bulldog Investors, LLC	945	15.0000	945	15.0000	14,175
2015-02-06	SVVC	Bulldog Investors, LLC	91	15.0000	91	15.0000	1,365
2015-01-30	SVVC	Bulldog Investors, LLC	1,376	15.9500	1,376	15.9500	21,947
2015-01-28	SVVC	Bulldog Investors, LLC	13,000	16.1528	13,000	16.1528	209,986
2015-01-26	SVVC	Bulldog Investors, LLC	200	17.1000	200	17.1000	3,420
2015-01-22	SVVC	Bulldog Investors, LLC	2,667	18.4000	2,667	18.4000	49,073
2015-01-21	SVVC	Bulldog Investors, LLC	34,422	18.4076	34,422	18.4076	633,626
2015-01-20	SVVC	Bulldog Investors, LLC	18,423	18.5195	18,423	18.5195	341,185
2015-01-16	SVVC	Bulldog Investors, LLC	5,242	18.5000	5,242	18.5000	96,977
2015-01-15	SVVC	Bulldog Investors, LLC	14,984	18.6025	14,984	18.6025	278,740
2014-12-16	SVVC	Bulldog Investors, LLC	3,100	19.1000	3,100	19.1000	59,210
2014-12-15	SVVC	Bulldog Investors, LLC	1,987	19.1500	1,987	19.1500	38,051
2014-12-12	SVVC	Bulldog Investors, LLC	9,264	19.1622	9,264	19.1622	177,519
2014-12-04	SVVC	Bulldog Investors, LLC	147,044	19.6000	147,044	19.6000	2,882,062
2014-12-02	SVVC	Bulldog Investors, LLC	7,949	22.6609	7,949	22.6609	180,131
2014-12-01	SVVC	Bulldog Investors, LLC	1,590	22.5310	1,590	22.5310	35,824
2014-11-26	SVVC	Bulldog Investors, LLC	13,512	22.5413	13,512	22.5413	304,578
2014-11-24	SVVC	Bulldog Investors, LLC	2,419	22.5976	2,419	22.5976	54,664
2014-11-12	SVVC	Bulldog Investors, LLC	16,356	22.7064	16,356	22.7064	371,386
2014-11-12	SVVC	Bulldog Investors, LLC	19,870	22.6600	19,870	22.6600	450,254
2014-11-11	SVVC	Bulldog Investors, LLC	7,521	22.6504	7,521	22.6504	170,354
2014-11-07	SVVC	Bulldog Investors, LLC	1,200	22.7083	1,200	22.7083	27,250

Tarikh Dagangan	Simbol Saham	Orang dalam	Saham Dilaporkan	Harga Dilaporkan	Saham Dilaraskan	Harga Dilaraskan	Asas Kos	Hari ke Maks	Harga pada Maks	Maks Keuntungan ($)	Pulangan Maks (%)
2022-03-03	SWZ	Dakos Andrew	1,000	8.8200	1,000	8.8200	8,820	29	9.4200	600	6.80
2022-02-03	SWZ	Dakos Andrew	572	9.3100	572	9.3100	5,325
2022-02-02	SWZ	Dakos Andrew	428	9.3800	428	9.3800	4,015
2020-02-28	SWZ	Dakos Andrew	1,000	7.7500	1,000	7.7500	7,750
2018-02-20	SWZ	Dakos Andrew	5,700	12.7382	5,700	12.7382	72,608
2018-02-16	SWZ	Dakos Andrew	500	12.8443	500	12.8443	6,422
2018-02-13	SWZ	Dakos Andrew	7,400	12.3500	7,400	12.3500	91,390
2018-02-12	SWZ	Dakos Andrew	3,800	12.3533	3,800	12.3533	46,943
2018-02-05	SWZ	Dakos Andrew	6,442	12.8796	6,442	12.8796	82,970
2018-02-01	SWZ	Dakos Andrew	1,353	13.3988	1,353	13.3988	18,129
2018-01-30	SWZ	Dakos Andrew	5,042	13.4510	5,042	13.4510	67,820
2018-01-19	SWZ	Dakos Andrew	16,103	13.1522	16,103	13.1522	211,790
2018-01-10	SWZ	Dakos Andrew	292	12.9200	292	12.9200	3,773
2018-01-09	SWZ	Dakos Andrew	8,230	12.9250	8,230	12.9250	106,373
2018-01-08	SWZ	Dakos Andrew	1,752	12.9351	1,752	12.9351	22,662
2018-01-04	SWZ	Dakos Andrew	5,533	12.8745	5,533	12.8745	71,235
2018-01-03	SWZ	Dakos Andrew	3,950	12.7928	3,950	12.7928	50,532
2017-12-29	SWZ	Dakos Andrew	1,332	12.7388	1,332	12.7388	16,968
2017-12-28	SWZ	Dakos Andrew	14,036	12.6583	14,036	12.6583	177,672
2017-12-27	SWZ	Dakos Andrew	19,600	12.6300	19,600	12.6300	247,548
2017-12-21	SWZ	Dakos Andrew	7,235	12.5688	7,235	12.5688	90,935
2017-12-20	SWZ	Dakos Andrew	3,163	12.4100	3,163	12.4100	39,253
2017-12-19	SWZ	Dakos Andrew	3,300	12.5538	3,300	12.5538	41,428
2017-11-30	SWZ	Dakos Andrew	2,873	12.6991	2,873	12.6991	36,485
2017-11-29	SWZ	Dakos Andrew	2,283	12.6569	2,283	12.6569	28,896
2017-11-21	SWZ	Dakos Andrew	13,060	12.5951	13,060	12.5951	164,492
2017-11-15	SWZ	Dakos Andrew	1,394	12.3428	1,394	12.3428	17,206