Firsthand Technology Value Fund, Inc.
US ˙ OTCPK ˙ US33766Y1001

Pengenalan

Halaman ini menyediakan analisis menyeluruh tentang sejarah dagangan orang dalam yang diketahui Full Value Offshore Fund, Ltd.. 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 Full Value Offshore Fund, Ltd. telah melaporkan pegangan atau perdagangan dalam syarikat berikut:

Sekuriti Tajuk Pegangan Terkini Dilaporkan
US:JFC / JPMorgan China Region Fund, Inc. 10% Owner 0
10% Owner 181,712
US:FAV / First Trust Dividend and Income Fund 10% Owner 1,656,926
US:JGV / Nuveen Global Equity Income Fund 10% Owner 82,892
US:DCA / Virtus Total Return Fund 10% Owner 149,130
US:RIT / LMP Real Estate Income Fund, Inc. 10% Owner 87,441
10% Owner 1,407,421
US:AYN / 10% Owner 423,254
US:SVVC / Firsthand Technology Value Fund, Inc. 10% Owner 824,942
Bagaimana Mentafsir Carta

Carta berikut menunjukkan prestasi saham sekuriti selepas setiap dagangan pasaran terbuka dan tidak dirancang yang dibuat oleh Full Value Offshore Fund, Ltd.. 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 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 SVVC / Firsthand Technology Value 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 General Partnership 500 23.6400 500 23.6400 11,820 236 25.2200 790 6.68
2014-03-05 SVVC Bulldog Investors General Partnership 43,328 23.3088 43,328 23.3088 1,009,924
2014-03-04 SVVC Bulldog Investors General Partnership 12,146 23.6955 12,146 23.6955 287,806
2014-02-26 SVVC Bulldog Investors General Partnership 277 23.6889 277 23.6889 6,562

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

SVVC / Firsthand Technology Value Fund, Inc. Insider Trades
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 SVVC / Firsthand Technology Value 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 (%)
2014-12-04 SVVC Bulldog Investors General Partnership 2,290 19.6000 2,290 19.6000 44,884 364 7.5500 -27,594 -61.48
2014-12-04 SVVC Bulldog Investors General Partnership 144,754 19.6000 144,754 19.6000 2,837,178
2014-12-02 SVVC Bulldog Investors General Partnership 124 22.6609 124 22.6609 2,810
2014-12-02 SVVC Bulldog Investors General Partnership 7,825 22.6609 7,825 22.6609 177,322
2014-12-01 SVVC Bulldog Investors General Partnership 25 22.5310 25 22.5310 563
2014-12-01 SVVC Bulldog Investors General Partnership 1,565 22.5310 1,565 22.5310 35,261
2014-11-26 SVVC Bulldog Investors General Partnership 210 22.5413 210 22.5413 4,734
2014-11-26 SVVC Bulldog Investors General Partnership 13,302 22.5413 13,302 22.5413 299,844
2014-11-24 SVVC Bulldog Investors General Partnership 38 22.5976 38 22.5976 859
2014-11-24 SVVC Bulldog Investors General Partnership 2,381 22.5976 2,381 22.5976 53,805
2014-11-12 SVVC Bulldog Investors General Partnership 309 22.6600 309 22.6600 7,002
2014-11-12 SVVC Bulldog Investors General Partnership 255 22.7064 255 22.7064 5,790
2014-11-12 SVVC Bulldog Investors General Partnership 19,561 22.6600 19,561 22.6600 443,252
2014-11-12 SVVC Bulldog Investors General Partnership 16,101 22.7064 16,101 22.7064 365,596
2014-11-11 SVVC Bulldog Investors General Partnership 109 22.6504 109 22.6504 2,469
2014-11-11 SVVC Bulldog Investors General Partnership 7,412 22.6504 7,412 22.6504 167,885
2014-11-07 SVVC Bulldog Investors General Partnership 1,200 22.7083 1,200 22.7083 27,250

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

SVVC / Firsthand Technology Value Fund, Inc. Insider Trades
Sejarah Dagangan Orang Dalam

Jadual ini menunjukkan senarai lengkap dagangan orang dalam yang dibuat oleh Full Value Offshore Fund, Ltd. 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
2017-09-01 2017-09-01 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		J - Other -22,517 0 -100.00
2017-06-22 2017-06-21 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 4,000 181,712 2.25 9.53 38,118 1,731,606
2017-06-22 2017-06-21 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 16,200 479,730 3.49 9.53 154,376 4,571,539
2017-06-22 2017-06-20 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 5,000 177,712 2.89 9.54 47,698 1,695,319
2017-06-22 2017-06-20 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 20,000 463,530 4.51 9.54 190,794 4,421,937
2017-06-19 2017-06-15 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 3,700 172,712 2.19 9.51 35,196 1,642,906
2017-06-14 2017-06-12 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 5,000 169,012 3.05 9.53 47,650 1,610,684
2017-06-14 2017-06-12 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 450,000 443,530 -6,955.18 9.53 4,288,500 4,226,841
2017-06-13 2017-06-09 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		P - Purchase 7,500 61,349 13.93 19.82 148,650 1,215,937
2017-06-09 2017-06-07 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 50,000 164,012 43.86 9.53 476,500 1,563,034
2017-06-09 2017-06-07 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 200,000 398,530 100.74 9.53 1,906,000 3,797,991
2017-06-07 2017-06-06 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 500 114,012 0.44 9.52 4,760 1,085,394
2017-06-07 2017-06-05 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 10,000 113,512 9.66 9.54 95,400 1,082,904
2017-06-07 2017-06-05 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 90,000 198,530 82.93 9.54 858,600 1,893,976
2017-06-05 2017-06-01 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		P - Purchase 20,000 761,501 2.70 19.69 393,800 14,993,955
2017-06-05 2017-06-01 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		P - Purchase 5,000 53,849 10.24 19.69 98,450 1,060,287
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		835,384
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		861,716
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		1,554,368
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		835,384
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		861,716
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		1,554,368
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		835,384
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		861,716
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		1,554,368
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		835,384
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		861,716
2017-05-31 3 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		1,554,368
2017-05-05 2017-05-03 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 600 37,544 1.62 9.06 5,436 340,149
2017-05-05 2017-05-03 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 820 36,944 2.27 9.08 7,446 335,452
2017-05-05 2017-05-03 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 24,180 108,530 28.67 9.08 219,554 985,452
2017-05-02 2017-04-28 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 210 36,124 0.58 8.96 1,882 323,671
2017-05-02 2017-04-28 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 6,186 84,350 7.91 8.96 55,427 755,776
2017-04-26 2017-04-24 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 328 35,914 0.92 8.78 2,880 315,325
2017-04-26 2017-04-24 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 9,672 78,164 14.12 8.78 84,920 686,280
2017-04-20 2017-04-18 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 328 35,586 0.93 8.61 2,824 306,399
2017-04-20 2017-04-18 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 9,672 68,492 16.44 8.61 83,277 589,723
2017-04-14 2017-04-13 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 345 35,258 0.99 8.63 2,977 304,241
2017-04-14 2017-04-13 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 10,155 58,820 20.87 8.63 87,627 507,558
2017-04-14 2017-04-12 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 328 34,913 0.95 8.52 2,795 297,459
2017-04-14 2017-04-12 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 9,672 48,665 24.80 8.52 82,405 414,626
2017-04-12 2017-04-11 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 432 38,993 1.12 8.47 3,659 330,271
2017-04-12 2017-04-10 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 230 34,585 0.67 8.51 1,957 294,318
2017-04-12 2017-04-10 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 6,770 38,561 21.30 8.51 57,613 328,154
2017-04-04 2017-04-03 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 150 34,355 0.44 8.79 1,319 302,128
2017-04-04 2017-04-03 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 4,409 31,791 16.10 8.79 38,774 279,580
2017-04-04 2017-03-31 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 190 34,205 0.56 8.78 1,668 300,207
2017-04-04 2017-03-31 4 KEF KOREA EQUITY FUND INC
Common Stock 		P - Purchase 5,613 27,382 25.78 8.78 49,264 240,324
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,450,551
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,283,336
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,219,689
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,469,230
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,375,498
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,308,924
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,208,653
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,228,548
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,220,899
2017-03-30 3 KEF KOREA EQUITY FUND INC
Common Stock 		1,290,396
2016-10-21 2016-10-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 300 1,656,926 0.02 8.86 2,658 14,680,364
2016-10-21 2016-10-19 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 302 73,453 0.41 8.89 2,685 652,997
2016-10-21 2016-10-19 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 10,598 1,656,626 0.64 8.89 94,216 14,727,405
2016-10-07 2016-10-05 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,500 221,100 0.68 9.11 13,670 2,014,951
2016-10-04 2016-09-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 433 73,151 0.60 9.10 3,942 665,959
2016-10-04 2016-09-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 14,571 1,646,028 0.89 9.10 132,653 14,985,274
2016-09-30 2016-09-28 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 521 82,892 0.63 11.89 6,194 985,437
2016-09-30 2016-09-28 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 17,528 2,028,952 0.87 11.89 208,376 24,120,587
2016-09-29 2016-09-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 131 72,718 0.18 9.05 1,186 658,302
2016-09-29 2016-09-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 4,393 1,631,457 0.27 9.05 39,769 14,769,254
2016-09-29 2016-09-27 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 597 72,587 0.83 9.02 5,385 654,735
2016-09-29 2016-09-27 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 20,103 1,627,064 1.25 9.02 181,329 14,676,117
2016-09-26 2016-09-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,137 71,990 1.60 9.07 10,311 652,870
2016-09-26 2016-09-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 38,289 1,606,961 2.44 9.07 347,239 14,573,369
2016-09-26 2016-09-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,898 70,853 2.75 9.08 17,232 643,267
2016-09-26 2016-09-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 63,882 1,568,672 4.25 9.08 579,978 14,241,816
2016-09-23 2016-09-22 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 1,043 2,011,424 0.05 11.97 12,485 24,076,745
2016-09-23 2016-09-21 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 1,445 82,371 1.79 11.85 17,127 976,319
2016-09-23 2016-09-21 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 48,655 2,010,381 2.48 11.85 576,693 23,828,443
2016-09-22 2016-09-21 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,587 68,955 2.36 9.00 14,284 620,643
2016-09-22 2016-09-21 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 53,413 1,504,790 3.68 9.00 480,754 13,544,163
2016-09-22 2016-09-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,029 67,368 1.55 9.00 9,257 606,063
2016-09-22 2016-09-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 33,211 1,451,377 2.34 9.00 298,776 13,057,023
2016-09-21 2016-09-19 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 1,000 1,961,726 0.05 11.78 11,781 23,111,094
2016-09-20 2016-09-16 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 294 66,339 0.45 8.96 2,635 594,636
2016-09-20 2016-09-16 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 9,501 1,418,166 0.67 8.96 85,163 12,711,873
2016-09-19 2016-09-16 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 337 80,926 0.42 11.65 3,926 942,877
2016-09-19 2016-09-16 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 10,863 1,960,726 0.56 11.65 126,566 22,844,615
2016-09-19 2016-09-15 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 430 80,589 0.54 11.74 5,048 946,075
2016-09-19 2016-09-15 4 JGV Nuveen Global Equity Income Fund
Common Stock 		P - Purchase 13,870 1,949,863 0.72 11.74 162,827 22,890,417
2016-09-15 2016-09-14 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 976 149,130 0.66 4.51 4,406 673,277
2016-09-15 2016-09-13 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 1,261 148,154 0.86 4.54 5,725 672,604
2016-09-14 2016-09-12 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 640 66,045 0.98 9.07 5,805 599,088
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		4,035,075
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		2,179,241
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		2,182,012
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		4,035,075
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		2,179,241
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		2,182,012
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		4,035,075
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		2,179,241
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		2,182,012
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		4,035,075
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		2,179,241
2016-09-14 3 JGV Nuveen Global Equity Income Fund
Common Stock 		2,182,012
2016-09-12 2016-09-09 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 1,093 146,893 0.75 4.59 5,022 674,959
2016-09-12 2016-09-08 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 3,045 145,800 2.13 4.66 14,181 679,034
2016-09-08 2016-09-06 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 1,698 142,755 1.20 4.67 7,936 667,165
2016-09-07 2016-09-06 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 77 65,405 0.12 9.19 708 601,046
2016-09-07 2016-09-06 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,469 1,408,665 0.18 9.19 22,689 12,945,068
2016-09-07 2016-09-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 30 65,328 0.05 9.16 275 598,404
2016-09-07 2016-09-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 970 1,406,196 0.07 9.16 8,885 12,880,755
2016-08-31 2016-08-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 42 65,298 0.06 9.11 383 594,865
2016-08-31 2016-08-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,358 1,405,226 0.10 9.11 12,371 12,801,609
2016-08-31 2016-08-29 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 428 65,256 0.66 9.13 3,907 595,650
2016-08-31 2016-08-29 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 13,812 1,403,868 0.99 9.13 126,075 12,814,367
2016-08-24 2016-08-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 25,000 219,600 12.85 9.13 228,255 2,004,992
2016-08-24 2016-08-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 451 64,828 0.70 9.13 4,118 591,893
2016-08-24 2016-08-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 14,549 1,390,056 1.06 9.13 132,835 12,691,489
2016-08-24 2016-08-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 562 64,377 0.88 9.10 5,112 585,567
2016-08-24 2016-08-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 18,126 1,375,507 1.34 9.10 164,872 12,511,474
2016-08-22 2016-08-19 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 251 63,815 0.39 9.10 2,284 580,716
2016-08-22 2016-08-19 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 8,102 1,357,381 0.60 9.10 73,728 12,352,167
2016-08-22 2016-08-18 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 72 63,564 0.11 9.11 656 579,068
2016-08-22 2016-08-18 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,321 1,349,279 0.17 9.11 21,144 12,291,932
2016-08-17 2016-08-15 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 300 63,492 0.47 9.13 2,739 579,682
2016-08-16 2016-08-15 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 547 141,057 0.39 4.61 2,523 650,640
2016-08-16 2016-08-12 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 453 140,510 0.32 4.61 2,088 647,568
2016-08-15 2016-08-11 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 131 63,192 0.21 9.09 1,190 574,106
2016-08-15 2016-08-11 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 4,214 1,346,958 0.31 9.09 38,285 12,237,248
2016-08-12 2016-08-11 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 127 140,057 0.09 4.60 584 643,926
2016-08-12 2016-08-10 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 380 139,930 0.27 4.57 1,737 639,648
2016-08-11 2016-08-10 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,110 194,600 0.57 9.07 10,068 1,765,022
2016-08-11 2016-08-09 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 51 63,061 0.08 9.09 464 573,477
2016-08-11 2016-08-09 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,649 1,342,744 0.12 9.09 14,996 12,210,914
2016-08-10 2016-08-09 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 975 139,550 0.70 4.57 4,454 637,506
2016-08-10 2016-08-08 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 951 138,575 0.69 4.56 4,333 631,431
2016-08-09 2016-08-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,207 63,010 3.63 9.07 20,007 571,205
2016-08-09 2016-08-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 71,067 1,341,095 5.60 9.07 644,244 12,157,429
2016-08-09 2016-08-05 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 300 193,490 0.16 9.05 2,715 1,751,084
2016-08-08 2016-08-05 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 1,301 137,624 0.95 4.55 5,924 626,698
2016-08-08 2016-08-04 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 973 136,323 0.72 4.57 4,447 622,996
2016-08-05 2016-08-04 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 90 60,803 0.15 9.00 810 547,245
2016-08-05 2016-08-04 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,910 1,270,028 0.23 9.00 26,191 11,430,633
2016-08-05 2016-08-03 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 182 60,713 0.30 9.00 1,638 546,399
2016-08-05 2016-08-03 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 5,863 1,267,118 0.46 9.00 52,765 11,403,682
2016-08-03 2016-08-01 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 531 135,350 0.39 4.60 2,440 621,987
2016-08-03 2016-08-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 80 60,531 0.13 8.96 717 542,382
2016-08-03 2016-08-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,579 1,261,255 0.20 8.96 23,109 11,301,349
2016-08-03 2016-08-01 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 87 60,451 0.14 9.04 787 546,707
2016-08-03 2016-08-01 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,814 1,258,676 0.22 9.04 25,449 11,383,214
2016-07-29 2016-07-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 74 60,364 0.12 9.06 671 547,194
2016-07-29 2016-07-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,368 1,255,862 0.19 9.06 21,466 11,384,263
2016-07-29 2016-07-27 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 236 60,290 0.39 9.07 2,140 546,776
2016-07-29 2016-07-27 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 7,597 1,253,494 0.61 9.07 68,898 11,368,062
2016-07-26 2016-07-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 352 193,190 0.18 9.05 3,185 1,748,041
2016-07-26 2016-07-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 11,348 1,245,897 0.92 9.05 102,680 11,273,250
2016-07-22 2016-07-20 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 530 134,819 0.39 4.60 2,440 620,747
2016-07-22 2016-07-21 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,500 192,838 0.78 9.20 13,795 1,773,473
2016-07-22 2016-07-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 235 60,054 0.39 9.24 2,171 554,779
2016-07-22 2016-07-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 7,565 1,234,549 0.62 9.24 69,885 11,404,764
2016-07-20 2016-07-18 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 600 59,819 1.01 9.22 5,532 551,531
2016-07-19 2016-07-15 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 627 134,289 0.47 4.56 2,859 612,358
2016-07-18 2016-07-14 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 129 59,219 0.22 9.19 1,185 544,175
2016-07-18 2016-07-14 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 3,671 1,226,984 0.30 9.19 33,734 11,275,001
2016-07-15 2016-07-14 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 667 133,662 0.50 4.56 3,042 609,539
2016-07-15 2016-07-13 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 1,194 132,995 0.91 4.55 5,435 605,393
2016-07-14 2016-07-13 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 10,000 191,338 5.51 9.13 91,294 1,746,801
2016-07-14 2016-07-12 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 3,163 181,338 1.78 9.16 28,962 1,660,421
2016-07-13 2016-07-12 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 653 131,801 0.50 4.56 2,978 601,013
2016-07-13 2016-07-11 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 1,305 131,148 1.01 4.54 5,929 595,818
2016-07-12 2016-07-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,012 178,175 0.57 9.07 9,179 1,616,047
2016-07-12 2016-07-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 663 59,090 1.13 9.07 6,013 535,946
2016-07-12 2016-07-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 18,825 1,223,313 1.56 9.07 170,743 11,095,449
2016-07-05 2016-06-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,800 177,163 1.61 8.97 25,106 1,588,514
2016-06-27 2016-06-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 17,248 174,363 10.98 8.98 154,830 1,565,204
2016-06-23 2016-06-21 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 179 58,427 0.31 8.91 1,595 520,532
2016-06-23 2016-06-21 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 5,091 1,204,488 0.42 8.91 45,356 10,730,904
2016-06-14 2016-06-13 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 100 58,248 0.17 8.85 885 515,495
2016-06-14 2016-06-10 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,198 157,115 0.77 8.89 10,650 1,396,752
2016-06-10 2016-06-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 763 58,148 1.33 8.98 6,852 522,152
2016-06-10 2016-06-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 19,537 1,199,397 1.66 8.98 175,436 10,770,225
2016-06-07 2016-06-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 2,066 87,441 2.42 13.90 28,722 1,215,622
2016-06-07 2016-06-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 52,886 2,129,267 2.55 13.90 735,232 29,601,496
2016-06-07 2016-06-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 940 85,375 1.11 13.96 13,122 1,191,767
2016-06-07 2016-06-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 24,060 2,076,381 1.17 13.96 335,858 28,984,618
2016-06-03 2016-06-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 811 84,435 0.97 13.83 11,219 1,168,048
2016-06-03 2016-06-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 20,769 2,052,321 1.02 13.83 287,312 28,391,193
2016-06-03 2016-06-01 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 10,306 161,622 6.81 13.80 142,210 2,230,190
2016-05-27 2016-05-25 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 100 129,843 0.08 4.28 428 555,728
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		568,344
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		727,263
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		458,797
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		568,344
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		727,263
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		458,797
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		568,344
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		727,263
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		458,797
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		568,344
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		727,263
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		458,797
2016-05-18 2016-05-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 700 83,624 0.84 14.08 9,852 1,177,008
2016-05-10 2016-05-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 10,000 151,316 7.08 13.98 139,753 2,114,686
2016-05-10 2016-05-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 363 82,924 0.44 13.98 5,073 1,158,888
2016-05-10 2016-05-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 9,182 2,031,552 0.45 13.98 128,321 28,391,549
2016-04-27 2016-04-25 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 10,000 141,316 7.62 13.44 134,400 1,899,287
2016-04-27 2016-04-25 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 2,126 82,561 2.64 13.44 28,573 1,109,620
2016-04-27 2016-04-25 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 53,731 2,022,370 2.73 13.44 722,145 27,180,653
2016-04-25 2016-04-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 187 80,435 0.23 13.50 2,524 1,085,527
2016-04-25 2016-04-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 4,713 1,968,639 0.24 13.50 63,605 26,568,161
2016-04-22 2016-04-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 751 57,385 1.33 8.86 6,655 508,488
2016-04-22 2016-04-20 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 18,983 1,179,860 1.64 8.86 168,208 10,454,739
2016-04-21 2016-04-20 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 322 80,248 0.40 13.62 4,385 1,092,833
2016-04-21 2016-04-20 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 8,125 1,963,926 0.42 13.62 110,648 26,745,137
2016-04-21 2016-04-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 407 79,926 0.51 13.76 5,601 1,099,982
2016-04-21 2016-04-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 10,281 1,955,801 0.53 13.76 141,492 26,916,711
2016-04-18 2016-04-14 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,829 56,634 3.34 8.72 15,949 493,860
2016-04-18 2016-04-14 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 46,229 1,160,877 4.15 8.72 403,126 10,123,080
2016-04-07 2016-04-06 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 200 54,805 0.37 8.60 1,720 471,323
2016-04-07 2016-04-05 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 444 54,605 0.82 8.55 3,794 466,654
2016-04-07 2016-04-05 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 10,685 1,114,648 0.97 8.55 91,314 9,525,782
2016-04-04 2016-03-31 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 172 54,161 0.32 8.62 1,482 466,792
2016-04-04 2016-03-31 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 4,149 1,103,963 0.38 8.62 35,759 9,514,616
2016-03-31 2016-03-30 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 600 53,989 1.12 8.63 5,178 465,925
2016-03-30 2016-03-29 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 300 53,389 0.57 8.52 2,556 454,874
2016-03-30 2016-03-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 295 53,089 0.56 8.52 2,513 452,217
2016-03-30 2016-03-28 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 7,097 1,099,814 0.65 8.52 60,453 9,368,326
2016-03-15 2016-03-11 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,664 155,917 1.08 8.33 13,866 1,299,272
2016-03-15 2016-03-11 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,221 52,794 2.37 8.33 10,175 439,938
2016-03-15 2016-03-11 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 30,275 1,092,717 2.85 8.33 252,285 9,105,720
2016-03-11 2016-03-10 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 89 51,573 0.17 8.22 732 423,920
2016-03-11 2016-03-10 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,213 1,062,442 0.21 8.22 18,190 8,733,061
2016-03-11 2016-03-09 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 337 51,484 0.66 8.20 2,762 421,994
2016-03-11 2016-03-09 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 8,363 1,060,229 0.80 8.20 68,548 8,690,273
2016-03-09 2016-03-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 155 51,147 0.30 8.19 1,269 418,740
2016-03-09 2016-03-08 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 3,847 1,051,866 0.37 8.19 31,495 8,611,627
2016-03-09 2016-03-07 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 3,600 50,992 7.60 8.23 29,634 419,751
2016-03-08 2016-03-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 6,810 131,316 5.47 13.01 88,596 1,708,382
2016-03-07 2016-03-04 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 993 47,392 2.14 8.21 8,149 388,913
2016-03-07 2016-03-04 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 8,207 1,048,019 0.79 8.21 67,349 8,600,358
2016-03-07 2016-03-03 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 4,295 46,399 10.20 8.11 34,840 376,375
2016-03-03 2016-03-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 940 154,253 0.61 8.05 7,569 1,242,138
2016-03-03 2016-03-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,069 42,104 5.17 8.05 16,661 339,047
2016-03-03 2016-03-02 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 17,095 1,039,812 1.67 8.05 137,659 8,373,190
2016-03-03 2016-03-01 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 3,212 153,313 2.14 8.00 25,697 1,226,565
2016-03-03 2016-03-01 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 2,357 152,458 1.57 8.00 18,857 1,219,725
2016-03-03 2016-03-01 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 58,431 1,022,717 6.06 8.00 467,471 8,182,145
2016-03-01 2016-02-26 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 900 150,101 0.60 7.88 7,090 1,182,466
2016-02-29 2016-02-25 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 200 124,506 0.16 12.54 2,508 1,561,305
2016-02-25 2016-02-24 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,104 37,678 3.02 7.72 8,524 290,908
2016-02-25 2016-02-24 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 27,371 964,286 2.92 7.72 211,329 7,445,156
2016-02-25 2016-02-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 182 36,574 0.50 7.78 1,416 284,586
2016-02-25 2016-02-23 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 4,518 936,915 0.48 7.78 35,155 7,290,229
2016-02-23 2016-02-22 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 54 79,519 0.07 12.43 671 988,707
2016-02-23 2016-02-22 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,346 1,945,520 0.07 12.43 16,736 24,189,817
2016-02-23 2016-02-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 315 124,306 0.25 12.29 3,872 1,527,870
2016-02-23 2016-02-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 232 79,465 0.29 12.29 2,852 976,720
2016-02-23 2016-02-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 5,741 1,944,174 0.30 12.29 70,564 23,896,231
2016-02-23 2016-02-22 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 36,499 149,201 32.39 7.83 285,886 1,168,647
2016-02-23 2016-02-19 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 600 36,392 1.68 7.76 4,656 282,402
2016-02-17 2016-02-12 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,780 112,702 1.60 7.33 13,045 825,937
2016-02-17 2016-02-12 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 1,306 35,792 3.79 7.33 9,571 262,302
2016-02-17 2016-02-12 4 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		P - Purchase 32,374 932,397 3.60 7.33 237,253 6,833,071
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,945,454
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,079,917
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,156,353
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,945,454
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,079,917
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,156,353
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,945,454
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,079,917
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,156,353
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,945,454
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,079,917
2016-02-12 3 FAV FIRST TRUST DIVIDEND & INCOME FUND
Common Stock 		1,156,353
2016-02-10 2016-02-09 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 82 79,233 0.10 11.94 979 945,899
2016-02-10 2016-02-09 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 2,258 1,938,433 0.12 11.94 26,956 23,141,401
2016-02-10 2016-02-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 968 79,151 1.24 12.07 11,682 955,202
2016-02-10 2016-02-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 24,212 1,936,175 1.27 12.07 292,193 23,365,954
2016-02-08 2016-02-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 409 78,183 0.53 12.44 5,088 972,565
2016-02-08 2016-02-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 10,219 1,911,963 0.54 12.44 127,120 23,784,055
2016-02-08 2016-02-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,291 123,991 1.05 12.64 16,316 1,567,035
2016-02-08 2016-02-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 911 77,774 1.19 12.64 11,513 982,931
2016-02-08 2016-02-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 22,798 1,901,744 1.21 12.64 288,128 24,034,811
2016-02-04 2016-02-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,492 122,700 1.23 12.57 18,751 1,542,069
2016-02-04 2016-02-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,054 76,863 1.39 12.57 13,246 965,999
2016-02-04 2016-02-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 26,354 1,878,946 1.42 12.57 331,212 23,614,218
2016-02-04 2016-02-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,509 75,809 2.03 12.52 18,892 949,083
2016-02-04 2016-02-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 37,748 1,852,592 2.08 12.52 472,582 23,193,340
2016-02-02 2016-02-01 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 4,037 121,208 3.45 12.59 50,835 1,526,275
2016-02-02 2016-01-29 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 7,073 117,171 6.42 12.53 88,625 1,468,153
2016-01-28 2016-01-27 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 188 74,300 0.25 12.39 2,329 920,280
2016-01-28 2016-01-27 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 4,712 1,814,844 0.26 12.39 58,363 22,478,658
2016-01-28 2016-01-26 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 138 74,112 0.19 12.47 1,721 924,473
2016-01-28 2016-01-26 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 3,462 1,810,132 0.19 12.47 43,185 22,579,587
2016-01-15 2016-01-13 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 73 73,974 0.10 12.55 916 928,374
2016-01-15 2016-01-13 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,827 1,806,670 0.10 12.55 22,929 22,673,708
2016-01-12 2016-01-11 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 191 110,098 0.17 12.70 2,426 1,398,278
2016-01-12 2016-01-11 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 150 73,901 0.20 12.70 1,905 938,565
2016-01-12 2016-01-11 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 3,728 1,804,843 0.21 12.70 47,347 22,922,048
2016-01-12 2016-01-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 400 1,801,115 0.02 12.78 5,112 23,018,250
2016-01-08 2016-01-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 146 73,751 0.20 12.89 1,882 950,650
2016-01-08 2016-01-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 320 73,605 0.44 12.98 4,154 955,584
2016-01-08 2016-01-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 7,980 1,800,715 0.45 12.98 103,601 23,377,963
2016-01-06 2016-01-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 327 73,285 0.45 13.00 4,251 952,756
2016-01-06 2016-01-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 8,151 1,792,735 0.46 13.00 105,969 23,306,810
2016-01-06 2016-01-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 85 72,958 0.12 12.78 1,086 932,403
2016-01-04 2015-12-30 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 178 72,873 0.24 13.02 2,318 949,127
2016-01-04 2015-12-30 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 4,442 1,784,584 0.25 13.02 57,854 23,243,136
2015-12-30 2015-12-28 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 3,600 109,907 3.39 12.92 46,518 1,420,185
2015-12-30 2015-12-28 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 137 72,695 0.19 12.92 1,770 939,343
2015-12-30 2015-12-28 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 3,411 1,780,142 0.19 12.92 44,076 23,002,461
2015-12-23 2015-12-22 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 773 72,558 1.08 12.75 9,855 925,006
2015-12-23 2015-12-22 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 19,289 1,776,731 1.10 12.75 245,906 22,650,655
2015-12-23 2015-12-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 46 71,785 0.06 12.67 583 909,516
2015-12-23 2015-12-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,154 1,757,442 0.07 12.67 14,621 22,266,790
2015-12-21 2015-12-18 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 96 71,739 0.13 12.66 1,215 908,216
2015-12-21 2015-12-18 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 2,404 1,756,288 0.14 12.66 30,435 22,234,606
2015-12-21 2015-12-17 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 173 71,643 0.24 12.70 2,197 909,952
2015-12-21 2015-12-17 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 4,310 1,753,884 0.25 12.70 54,742 22,276,431
2015-12-17 2015-12-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 298 71,470 0.42 12.68 3,778 905,982
2015-12-17 2015-12-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 7,403 1,749,574 0.42 12.68 93,843 22,178,300
2015-12-17 2015-12-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 155 71,172 0.22 12.60 1,952 896,461
2015-12-17 2015-12-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 3,853 1,742,171 0.22 12.60 48,531 21,943,863
2015-12-10 2015-12-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,000 1,738,318 0.06 12.67 12,670 22,024,489
2015-12-08 2015-12-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 264 1,737,318 0.02 12.69 3,350 22,046,565
2015-12-08 2015-12-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 100 71,017 0.14 12.76 1,276 906,177
2015-12-04 2015-12-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 46 70,917 0.06 12.59 579 892,845
2015-12-04 2015-12-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,150 1,737,054 0.07 12.59 14,478 21,869,510
2015-12-04 2015-12-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 384 70,871 0.54 12.92 4,960 915,441
2015-12-04 2015-12-02 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 9,537 1,735,904 0.55 12.92 123,189 22,422,672
2015-12-02 2015-11-30 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 81 70,487 0.12 12.94 1,048 912,067
2015-12-02 2015-11-30 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 2,001 1,726,367 0.12 12.94 25,892 22,338,326
2015-11-24 2015-11-23 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 7,400 70,406 11.74 12.73 94,202 896,268
2015-11-24 2015-11-23 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 183,698 1,724,366 11.92 12.73 2,338,476 21,951,179
2015-11-24 2015-11-20 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,080 63,006 1.74 12.73 13,754 802,375
2015-11-24 2015-11-20 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 26,817 1,540,668 1.77 12.73 341,512 19,620,253
2015-11-18 2015-11-17 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 427 106,307 0.40 12.59 5,375 1,338,203
2015-11-18 2015-11-17 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 314 61,926 0.51 12.59 3,953 779,531
2015-11-18 2015-11-17 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 7,857 1,513,851 0.52 12.59 98,905 19,056,508
2015-11-18 2015-11-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 408 105,880 0.39 12.48 5,090 1,320,927
2015-11-18 2015-11-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 300 61,612 0.49 12.48 3,743 768,653
2015-11-18 2015-11-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 7,504 1,505,994 0.50 12.48 93,618 18,788,329
2015-11-05 2015-11-04 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 300 105,469 0.29 13.07 3,921 1,378,480
2015-11-05 2015-11-03 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 100 105,169 0.10 13.02 1,302 1,369,300
2015-11-02 2015-10-29 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 412 105,069 0.39 12.99 5,351 1,364,657
2015-11-02 2015-10-29 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 303 61,312 0.50 12.99 3,935 796,333
2015-11-02 2015-10-29 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 7,585 1,498,490 0.51 12.99 98,515 19,462,688
2015-10-29 2015-10-28 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 781 104,657 0.75 13.02 10,166 1,362,299
2015-10-29 2015-10-28 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 574 61,009 0.95 13.02 7,472 794,142
2015-10-29 2015-10-28 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 14,361 1,490,905 0.97 13.02 186,934 19,406,812
2015-10-29 2015-10-27 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 252 103,876 0.24 13.00 3,277 1,350,668
2015-10-29 2015-10-27 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 186 60,435 0.31 13.00 2,419 785,818
2015-10-29 2015-10-27 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 4,641 1,476,544 0.32 13.00 60,346 19,199,059
2015-10-23 2015-10-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 209 103,624 0.20 13.16 2,750 1,363,692
2015-10-23 2015-10-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 154 60,249 0.26 13.16 2,027 792,877
2015-10-23 2015-10-21 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 3,837 1,471,903 0.26 13.16 50,495 19,370,243
2015-10-21 2015-10-20 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 1,300 1,468,066 0.09 13.19 17,147 19,363,791
2015-10-21 2015-10-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 550 103,415 0.53 13.17 7,241 1,361,562
2015-10-21 2015-10-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 405 60,095 0.68 13.17 5,332 791,211
2015-10-21 2015-10-19 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 10,115 1,466,766 0.69 13.17 133,174 19,311,441
2015-10-19 2015-10-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 154 102,865 0.15 13.05 2,010 1,342,388
2015-10-19 2015-10-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 113 59,690 0.19 13.05 1,475 778,954
2015-10-19 2015-10-16 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 2,830 1,456,651 0.19 13.05 36,932 19,009,296
2015-10-19 2015-10-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 970 102,711 0.95 13.00 12,612 1,335,469
2015-10-19 2015-10-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 714 59,577 1.21 13.00 9,284 774,632
2015-10-19 2015-10-15 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 17,849 1,435,821 1.26 13.00 232,076 18,668,832
2015-10-14 2015-10-12 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 145 101,741 0.14 13.00 1,885 1,322,847
2015-10-09 2015-10-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 803 101,596 0.80 12.84 10,312 1,304,726
2015-10-09 2015-10-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 594 58,863 1.02 12.84 7,628 755,936
2015-10-09 2015-10-08 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 15,303 1,435,972 1.08 12.84 196,526 18,441,183
2015-10-09 2015-10-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 218 100,793 0.22 12.67 2,762 1,277,098
2015-10-09 2015-10-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 161 58,269 0.28 12.67 2,040 738,297
2015-10-09 2015-10-07 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 4,481 1,420,669 0.32 12.67 56,777 18,000,587
2015-10-07 2015-10-06 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 900 100,575 0.90 12.58 11,321 1,265,153
2015-10-07 2015-10-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 450 99,675 0.45 12.54 5,641 1,249,516
2015-10-07 2015-10-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 333 58,108 0.58 12.54 4,174 728,436
2015-10-07 2015-10-05 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 8,580 1,416,188 0.61 12.54 107,558 17,753,191
2015-10-05 2015-10-01 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 442 99,225 0.45 12.32 5,445 1,222,244
2015-10-05 2015-10-01 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 327 55,775 0.59 12.32 4,028 687,031
2015-10-05 2015-10-01 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 8,431 1,407,608 0.60 12.32 103,852 17,338,775
2015-09-28 2015-09-24 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 695 98,783 0.71 11.85 8,237 1,170,816
2015-09-28 2015-09-24 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 515 57,448 0.90 11.85 6,104 680,897
2015-09-28 2015-09-24 4 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		P - Purchase 13,250 1,399,177 0.96 11.85 157,044 16,583,605
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		2,926,875
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		1,597,881
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		1,639,036
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		2,926,875
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		1,597,881
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		1,639,036
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		2,926,875
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		1,597,881
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		1,639,036
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		2,926,875
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		1,597,881
2015-09-24 3 RIT LMP REAL ESTATE INCOME FUND INC.
Common Stock 		1,639,036
2015-08-26 2015-08-24 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		P - Purchase 1,000 1,407,421 0.07 8.53 8,530 12,005,301
2015-08-26 2015-08-24 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		P - Purchase 2,279 131,325 1.77 8.52 19,417 1,118,889
2015-08-26 2015-08-24 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		P - Purchase 1,672 48,671 3.56 8.52 14,245 414,677
2015-08-26 2015-08-24 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		P - Purchase 46,049 1,406,421 3.39 8.52 392,337 11,982,707
2015-08-19 2015-08-18 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		P - Purchase 700 129,046 0.55 8.60 6,020 1,109,796
2015-08-19 2015-08-17 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		P - Purchase 770 46,999 1.67 8.65 6,659 406,480
2015-08-19 2015-08-17 4 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		P - Purchase 24,630 1,360,372 1.84 8.65 213,017 11,765,449
2015-07-29 2015-07-20 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 2,550 423,254 0.61 14.05 35,840 5,948,750
2015-07-29 2015-07-17 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 7,981 420,704 1.93 14.06 112,205 5,914,678
2015-07-29 2015-07-16 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 81,293 412,723 24.53 14.03 1,140,541 5,790,504
2015-07-29 2015-07-14 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 7,741 331,430 2.39 13.98 108,234 4,634,021
2015-07-29 2015-07-07 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 6,573 323,689 2.07 14.16 93,041 4,581,818
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		2,846,059
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		1,556,546
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		1,638,663
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		2,846,059
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		1,556,546
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		1,638,663
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		2,846,059
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		1,556,546
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		1,638,663
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		2,846,059
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		1,556,546
2015-07-29 3 CMK MFS INTERMARKET INCOME TRUST I
Common Stock 		1,638,663
2015-05-07 2015-05-05 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 2,507 317,116 0.80 13.82 34,647 4,382,543
2015-04-06 2015-04-02 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 2,302 314,609 0.74 13.93 32,074 4,383,510
2015-04-02 2015-03-31 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 400 312,307 0.13 13.94 5,576 4,353,560
2015-03-31 2015-03-30 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 732 311,907 0.24 13.90 10,175 4,335,507
2015-03-31 2015-03-27 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 1,944 311,175 0.63 13.90 27,018 4,324,835
2015-03-27 2015-03-26 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 1,496 309,231 0.49 13.90 20,791 4,297,569
2015-03-27 2015-03-25 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 3,343 307,735 1.10 13.89 46,445 4,275,455
2015-03-24 2015-03-20 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 3,172 304,392 1.05 13.82 43,843 4,207,276
2015-03-18 2015-03-17 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 2,508 301,220 0.84 13.72 34,410 4,132,738
2015-03-18 2015-03-16 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 2,542 298,712 0.86 13.71 34,845 4,094,684
2015-03-16 2015-03-13 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 3,354 296,170 1.15 13.69 45,901 4,053,235
2015-03-16 2015-03-12 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 3,328 292,816 1.15 13.70 45,590 4,011,257
2015-03-03 2015-03-02 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 800 289,488 0.28 13.77 11,016 3,986,250
2015-03-03 2015-02-27 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 400 288,688 0.14 13.78 5,512 3,978,121
2015-03-03 2015-02-26 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 2,864 288,288 1.00 13.85 39,657 3,991,866
2015-03-03 2015-02-25 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 997 285,424 0.35 13.78 13,739 3,933,143
2015-03-03 2015-02-24 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 351 284,427 0.12 13.77 4,833 3,916,560
2015-03-03 2015-02-23 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 1,637 284,076 0.58 13.82 22,623 3,925,930
2015-03-03 2015-02-20 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 400 282,439 0.14 13.80 5,520 3,897,658
2015-03-03 2015-02-18 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 100 282,039 0.04 13.70 1,370 3,863,934
2015-03-03 2015-02-17 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 7,368 281,939 2.68 13.68 100,766 3,855,854
2015-03-03 2015-02-13 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 4,131 274,571 1.53 13.78 56,925 3,783,588
2015-03-03 2015-02-11 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 500 270,440 0.19 13.80 6,900 3,732,072
2015-03-03 2015-02-10 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 2,284 269,940 0.85 13.86 31,662 3,742,043
2015-03-03 2015-02-06 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 681 267,656 0.26 13.95 9,500 3,733,801
2015-03-03 2015-01-26 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 1,691 266,975 0.64 13.88 23,466 3,704,759
2015-03-03 2015-01-14 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 1,537 265,284 0.58 13.90 21,364 3,687,448
2015-03-03 2015-01-13 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 2,532 263,747 0.97 13.74 34,790 3,623,884
2015-03-03 2015-01-12 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 5,058 261,215 1.97 13.76 69,603 3,594,580
2015-03-02 2015-01-08 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 15,026 256,157 6.23 13.70 205,816 3,508,659
2015-03-02 2014-12-30 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 300 241,131 0.12 13.25 3,975 3,194,986
2015-03-02 2014-12-29 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 5,739 240,831 2.44 13.20 75,770 3,179,595
2015-03-02 2014-12-26 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 6,500 235,092 2.84 13.16 85,510 3,092,729
2015-03-02 2014-12-24 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 7,368 228,592 3.33 13.15 96,897 3,006,236
2015-03-02 2014-12-23 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 16,909 221,224 8.28 13.14 222,171 2,906,706
2015-03-02 2014-12-22 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 13,893 204,315 7.30 13.06 181,386 2,667,516
2015-03-02 2014-12-19 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 1,221 190,422 0.65 13.00 15,873 2,475,486
2015-03-02 2014-12-18 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 25,826 189,201 15.81 12.98 335,203 2,455,697
2015-03-02 2014-12-17 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 42,060 163,375 34.67 12.93 544,017 2,113,141
2015-03-02 2014-12-16 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 19,087 121,315 18.67 12.91 246,358 1,565,825
2015-03-02 2014-12-15 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 8,458 102,228 9.02 12.89 109,001 1,317,443
2015-03-02 2014-12-12 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 16,858 93,770 21.92 12.86 216,841 1,206,145
2015-03-02 2014-12-11 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 3,879 76,912 5.31 12.86 49,899 989,396
2015-03-02 2014-12-10 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 7,000 73,033 10.60 12.86 90,035 939,358
2015-03-02 2014-12-09 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 6,112 66,033 10.20 12.78 78,114 843,928
2015-03-02 2014-12-08 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 3,744 59,921 6.66 12.76 47,778 764,664
2015-03-02 2014-12-05 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 4,128 56,177 7.93 12.75 52,652 716,526
2015-03-02 2014-12-04 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 2,500 52,049 5.05 12.77 31,920 664,556
2015-03-02 2014-12-03 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 400 49,549 0.81 12.76 5,102 631,997
2015-03-02 2014-12-02 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 4,090 49,149 9.08 12.80 52,349 629,073
2015-03-02 2014-12-01 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 885 45,059 2.00 12.77 11,301 575,403
2015-03-02 2014-11-28 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 502 44,174 1.15 12.77 6,410 564,098
2015-03-02 2014-11-25 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 200 43,672 0.46 12.77 2,554 557,691
2015-03-02 2014-11-24 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 3,320 43,472 8.27 12.77 42,387 555,016
2015-03-02 2014-11-20 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 1,369 40,152 3.53 12.75 17,455 511,938
2015-03-02 2014-11-19 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 6,994 38,783 22.00 12.69 88,787 492,339
2015-03-02 2014-11-18 4 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Common Stock 		P - Purchase 210 31,789 0.66 12.70 2,667 403,720
2014-12-05 2014-12-04 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -144,754 824,942 -14.93 19.60 -2,837,178 16,168,863
2014-12-05 2014-12-04 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -2,290 11,860 -16.18 19.60 -44,884 232,456
2014-12-03 2014-12-02 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -7,825 969,696 -0.80 22.66 -177,322 21,974,184
2014-12-03 2014-12-02 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -124 14,150 -0.87 22.66 -2,810 320,652
2014-12-02 2014-12-01 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -1,565 977,521 -0.16 22.53 -35,261 22,024,526
2014-12-02 2014-12-01 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -25 14,274 -0.17 22.53 -563 321,607
2014-12-02 2014-11-26 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -13,302 979,086 -1.34 22.54 -299,844 22,069,871
2014-12-02 2014-11-26 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -210 14,299 -1.45 22.54 -4,734 322,318
2014-12-02 2014-11-24 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -2,381 992,388 -0.24 22.60 -53,805 22,425,587
2014-12-02 2014-11-24 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -38 14,509 -0.26 22.60 -859 327,869
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		711
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		595
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		548
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		696
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		552
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		711
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		595
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		548
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		696
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		552
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		711
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		595
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		548
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		696
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		552
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		711
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		595
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		548
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		696
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		552
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		711
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		595
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		548
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		696
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		552
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		711
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		595
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		548
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		696
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		552
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		711
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		595
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		548
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		696
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		552
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		711
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		595
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		548
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		696
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		553
2014-11-17 3 AYN ALLIANCE NEW YORK MUNICIPAL INCOME FUND
Auction Rate Preferred 		552
2014-11-14 2014-11-12 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -16,101 994,769 -1.59 22.71 -365,596 22,587,623
2014-11-14 2014-11-12 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -19,561 1,010,870 -1.90 22.66 -443,252 22,906,314
2014-11-14 2014-11-12 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -255 14,547 -1.72 22.71 -5,790 330,310
2014-11-14 2014-11-12 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -309 14,802 -2.04 22.66 -7,002 335,413
2014-11-14 2014-11-11 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -7,412 1,030,431 -0.71 22.65 -167,885 23,339,674
2014-11-14 2014-11-11 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -109 15,111 -0.72 22.65 -2,469 342,270
2014-11-14 2014-11-07 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		S - Sale -1,200 15,220 -7.31 22.71 -27,250 345,620
2014-03-10 2014-03-06 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		P - Purchase 500 1,037,843 0.05 23.64 11,820 24,534,609
2014-03-06 2014-03-05 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		P - Purchase 43,328 1,037,343 4.36 23.31 1,009,924 24,179,221
2014-03-06 2014-03-04 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		P - Purchase 12,146 994,015 1.24 23.70 287,806 23,553,682
2014-03-06 2014-02-26 4 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		P - Purchase 277 981,869 0.03 23.69 6,562 23,259,397
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,961,396
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,996,224
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,262,633
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,068,653
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,019,826
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,011,949
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,235,582
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		1,980,004
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,008,494
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,134,149
2014-02-26 3 SVVC Firsthand Technology Value Fund, Inc.
Common Stock 		2,078,738
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)