Andrew Dakos - Insider Trading Tracker

एबीआरडीएन इमर्जिंग मार्केट्स एक्स-चाइना फंड, इंक.

US ˙ NYSEAM ˙ US00301W1053

परिचय

यह पृष्ठ Andrew Dakos के ज्ञात इनसाइडर व्यापार इतिहास का व्यापक विश्लेषण प्रदान करता है। इनसाइडर किसी कंपनी के अधिकारी, निदेशक या महत्वपूर्ण निवेशक होते हैं। इनसाइडर के लिए विशिष्ट, गैर-सार्वजनिक जानकारी के आधार पर अपनी कंपनियों में व्यापार करना गैरकानूनी है। इसका मतलब यह नहीं है कि उनके लिए अपनी कंपनियों में कोई भी व्यापार करना गैरकानूनी है। हालाँकि, उन्हें फॉर्म 4 के माध्यम से SEC को सभी ट्रेड्स की रिपोर्ट करनी होगी। इन प्रतिबंधों के बावजूद, अकादमिक शोध से पता चलता है कि इनसाइडर - सामान्य तौर पर - अपनी कंपनियों में बाजार से बेहतर प्रदर्शन करते हैं।

औसत व्यापार लाभप्रदता

औसत ट्रेड लाभप्रदता पिछले तीन वर्षों में इनसाइडर द्वारा की गई सभी खुले बाजार खरीद का औसत रिटर्न है। इसकी गणना करने के लिए, हम 10b5-1 ट्रेडिंग योजना के हिस्से के रूप में चिह्नित सभी ट्रेडों को छोड़कर, इनसाइडर द्वारा की गई प्रत्येक खुले बाजार, अनियोजित खरीदारी की जांच करते हैं। फिर हम 3, 6 और 12 महीनों में उन ट्रेडों के औसत प्रदर्शन की गणना करते हैं, प्रत्येक ट्रेड के लिए अंतिम प्रदर्शन मीट्रिक तैयार करने के लिए उनमें से प्रत्येक अवधि का औसत निकालते हैं। अंत में, हम इनसाइडर के लिए प्रदर्शन मीट्रिक की गणना करने के लिए सभी प्रदर्शन मीट्रिक का औसत निकालते हैं। इस सूची में केवल उन इनसाइडर को शामिल किया गया है जिन्होंने पिछले दो वर्षों में कम से कम तीन ट्रेड किए हैं।

यदि इस इनसाइडर ट्रेड की लाभप्रदता "N/A" है, तो इनसाइडर ने या तो पिछले तीन वर्षों में कोई खुले बाजार में खरीदारी नहीं की है, या उनके द्वारा किए गए व्यापार एक विश्वसनीय प्रदर्शन मीट्रिक की गणना करने के लिए बहुत हाल के हैं।

अपडेट फ्रीक्वेंसी: दैनिक

सर्वाधिक लाभदायक इनसाइडर व्यापारियों की सूची देखें।

उच्चतम रैंकिंग वाले इनसाइडर देखें

रिपोर्ट की गई इनसाइडर स्थिति वाली कंपनियाँ

SEC फाइलिंग से संकेत मिलता है कि Andrew Dakos ने निम्नलिखित कंपनियों में होल्डिंग्स या ट्रेड्स की सूचना दी है:

प्रतिभूति	टाइटल	नवीनतम रिपोर्ट की गई होल्डिंग्स
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

चार्ट को कैसे समझे

निम्नलिखित चार्ट Andrew Dakos द्वारा किए गए प्रत्येक खुले-बाज़ार, गैर-योजनाबद्ध व्यापार के बाद प्रतिभूतियों के स्टॉक प्रदर्शन को दर्शाते हैं। गैर-योजनाबद्ध व्यापार वे व्यापार हैं जो 10b5-1 ट्रेडिंग योजना के हिस्से के रूप में नहीं किए गए थे। स्टॉक प्रदर्शन को शेयर मूल्य में संचयी प्रतिशत परिवर्तन के रूप में चार्ट किया गया है। उदाहरण के लिए, यदि कोई इनसाइडर व्यापार 1 जनवरी, 2019 को किया गया था, तो चार्ट आज तक प्रतिभूति में दैनिक प्रतिशत परिवर्तन दिखाएगा। यदि इस दौरान शेयर की कीमत $10 से $15 तक जाती है, तो शेयर की कीमत में संचयी प्रतिशत परिवर्तन 50% होगा। $10 से $20 तक की कीमत में परिवर्तन 100% होगा, और $10 से $5 की कीमत में परिवर्तन -50% होगा।

अंततः, हम यह निर्धारित करने का प्रयास कर रहे हैं कि इनसाइडर के व्यापार शेयर की कीमत में अतिरिक्त रिटर्न (सकारात्मक या नकारात्मक) से कितनी निकटता से संबंधित हैं, यह देखने के लिए कि क्या इनसाइडर, इनसाइडर जानकारी से लाभ के लिए अपने व्यापार का समय निर्धारित कर रहे हैं। उस स्थिति पर विचार करें जहां कोई इनसाइडर ऐसा कर रहा था। इस स्थिति में, हम या तो (a) खरीदारी के बाद सकारात्मक रिटर्न, या (a) बिक्री के बाद नकारात्मक रिटर्न की उम्मीद करेंगे। (a) के मामले में, खरीद चार्ट ऊपर की ओर झुके हुए वक्रों की एक श्रृंखला दिखाएगा, जो प्रत्येक खरीद लेनदेन के बाद सकारात्मक रिटर्न का संकेत देगा। (a) के मामले में, बिक्री चार्ट नीचे की ओर झुके हुए वक्रों की एक श्रृंखला दिखाएगा, जो प्रत्येक बिक्री लेनदेन के बाद नकारात्मक रिटर्न का संकेत देगा।

हालाँकि, केवल यह निष्कर्ष निकालने के लिए पर्याप्त नहीं है। यदि, उदाहरण के लिए, कंपनी का शेयर मूल्य कई वर्षों से गैर-चक्रीय चढ़ाई में था, तो हम उम्मीद करेंगे कि खरीद के बाद के सभी प्लॉट ऊपर की ओर झुके हुए होंगे। इसी तरह, कई वर्षों में गैर-चक्रीय गिरावट के परिणामस्वरूप व्यापार के बाद के प्लॉट नीचे की ओर झुकेंगे। इनमें से कोई भी चार्ट इनसाइडर व्यापार गतिविधि का सुझाव नहीं देगा।

सबसे मजबूत संकेतक वह स्थिति होगी जहां शेयर की कीमत बेहद चक्रीय थी, और खरीद चार्ट में सकारात्मक संकेत और बिक्री चार्ट पर नकारात्मक प्लॉट दोनों थे। यह स्थिति एक इनसाइडर के लिए अत्यधिक संकेत देने वाली होगी जो अपने वित्तीय लाभ के लिए ट्रेड्स का समय निर्धारित कर रहा था।

इनसाइडर खरीदारी AEF / abrdn Emerging Markets ex-China Fund, Inc. - अल्पकालिक लाभ विश्लेषण

इस अनुभाग में, हम AEF / abrdn Emerging Markets ex-China Fund, Inc. में की गई प्रत्येक अनियोजित, खुले बाज़ार की इनसाइडर खरीदारी की लाभप्रदता का विश्लेषण करते हैं। यह विश्लेषण यह समझने में मदद करता है कि क्या इनसाइडर लगातार असामान्य रिटर्न उत्पन्न करता है, और यह अनुसरण करने लायक है। यह विश्लेषण प्रत्येक व्यापार के बाद एक वर्ष के लिए है, और परिणाम सैद्धांतिक हैं।

निम्न तालिका सबसे हालिया खुले बाज़ार की खरीदारी को दर्शाती है जो स्वचालित ट्रेडिंग योजना का हिस्सा नहीं थी।

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

समायोजित कीमत विभाजित-समायोजित कीमत है। समायोजित शेयर विभाजित-समायोजित शेयर हैं।

AEF / abrdn Emerging Markets ex-China Fund, Inc. Insider Trades

इनसाइडर बिक्री AEF / abrdn Emerging Markets ex-China Fund, Inc. - अल्पकालिक हानि विश्लेषण

इस अनुभाग में, हम AEF / abrdn Emerging Markets ex-China Fund, Inc. में की गई प्रत्येक अनियोजित, खुले बाज़ार की इनसाइडर बिक्री के अल्पकालिक नुकसान से बचने का विश्लेषण करते हैं। हानि से बचने का एक सुसंगत पैटर्न यह सुझाव दे सकता है कि भविष्य में बिक्री लेनदेन कीमत में गिरावट की भविष्यवाणी कर सकते हैं। यह विश्लेषण प्रत्येक व्यापार के बाद एक वर्ष के लिए है, और परिणाम सैद्धांतिक हैं।

निम्न तालिका सबसे हालिया खुले बाज़ार की बिक्री को दर्शाती है जो स्वचालित ट्रेडिंग योजना का हिस्सा नहीं थी।

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम
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

इनसाइडर खरीदारी CMU / MFS High Yield Municipal Trust - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

CMU / MFS High Yield Municipal Trust Insider Trades

इनसाइडर बिक्री CMU / MFS High Yield Municipal Trust - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

इनसाइडर खरीदारी CXH / MFS Investment Grade Municipal Trust - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

CXH / MFS Investment Grade Municipal Trust Insider Trades

इनसाइडर बिक्री CXH / MFS Investment Grade Municipal Trust - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

इनसाइडर खरीदारी MXE / Mexico Equity & Income Fund Inc. - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

MXE / Mexico Equity & Income Fund Inc. Insider Trades

इनसाइडर बिक्री MXE / Mexico Equity & Income Fund Inc. - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
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

इनसाइडर खरीदारी NRO.RT / Neuberger Berman Real Estate Securities Income Fund Inc. - Equity Right - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
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

NRO.RT / Neuberger Berman Real Estate Securities Income Fund Inc. - Equity Right Insider Trades

इनसाइडर बिक्री NRO.RT / Neuberger Berman Real Estate Securities Income Fund Inc. - Equity Right - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
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

इनसाइडर खरीदारी PCF / High Income Securities Fund - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
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

PCF / High Income Securities Fund Insider Trades

इनसाइडर बिक्री PCF / High Income Securities Fund - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
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

इनसाइडर खरीदारी PEO / Adams Natural Resources Fund, Inc. - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

PEO / Adams Natural Resources Fund, Inc. Insider Trades

इनसाइडर बिक्री PEO / Adams Natural Resources Fund, Inc. - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

इनसाइडर खरीदारी PMO / Putnam Municipal Opportunities Trust - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

PMO / Putnam Municipal Opportunities Trust Insider Trades

इनसाइडर बिक्री PMO / Putnam Municipal Opportunities Trust - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

इनसाइडर खरीदारी SCZ / iShares Trust - iShares MSCI EAFE Small-Cap ETF - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
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

SCZ / iShares Trust - iShares MSCI EAFE Small-Cap ETF Insider Trades

इनसाइडर बिक्री SCZ / iShares Trust - iShares MSCI EAFE Small-Cap ETF - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

इनसाइडर खरीदारी SPE / Special Opportunities Fund, Inc. - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
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

SPE / Special Opportunities Fund, Inc. Insider Trades

इनसाइडर बिक्री SPE / Special Opportunities Fund, Inc. - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
2024-09-20	SPE	Dakos Andrew	377	13.7410	377	13.7410	5,180	199	13.3400	-151	-2.91

इनसाइडर खरीदारी SVVC / Firsthand Technology Value Fund, Inc. - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
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

SVVC / Firsthand Technology Value Fund, Inc. Insider Trades

इनसाइडर बिक्री SVVC / Firsthand Technology Value Fund, Inc. - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
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

इनसाइडर खरीदारी SWZ / Total Return Securities, Inc. - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
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

SWZ / Total Return Securities, Inc. Insider Trades

इनसाइडर बिक्री SWZ / Total Return Securities, Inc. - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

इनसाइडर खरीदारी TRC / Tejon Ranch Co. - अल्पकालिक लाभ विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन अधिकतम	मूल्य अधिकतम	अधिकतम लाभ ($)	अधिकतम रिटर्न (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

इनसाइडर बिक्री TRC / Tejon Ranch Co. - अल्पकालिक हानि विश्लेषण

व्यापार की तिथि	टिकर	इनसाइडर	रिपोर्ट किए गए शेयर	रिपोर्ट की गई कीमत	समायोजित शेयर	समायोजित कीमत	मूल लागत	दिन न्यूनतम	मूल्य न्यूनतम	अधिकतम हानि बचाया ($)	अधिकतम हानि बचाया (%)
इस इनसाइडर और प्रतिभूति संयोजन के लिए कोई ज्ञात अनियोजित खुले बाज़ार व्यापार नहीं हैं

इनसाइडर व्यापार इतिहास

यह तालिका सिक्योरिटीज एक्सचेंज कमीशन (SEC) को बताए अनुसार Andrew Dakos द्वारा किए गए इनसाइडर व्यापारों की पूरी सूची दिखाती है।

फ़ाइल तिथि	ट्रांजेक्शन तिथि	फॉर्म	टिकर	प्रतिभूति	कोड	शेयर	शेष शेयर	प्रतिशत परिवर्तन	शेयर कीमत	ट्रांजेक्शन वैल्यू	शेष मूल्य
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

गैर-डेरिवेटिव या डेरिवेटिव प्रतिभूति की खुला बाज़ार या निजी खरीद

गैर-डेरिवेटिव या डेरिवेटिव प्रतिभूति का खुला बाज़ार या निजी बिक्री

कंपनी से प्रतिभूतियों का अनुदान, पुरस्कार या अन्य अधिग्रहण (जैसे एक ऑप्शन)

डेरिवेटिव का रूपांतरण

कंपनी को प्रतिभूतियों की बिक्री या हस्तांतरण

कंपनी से प्राप्त प्रतिभूतियों के हिस्से का उपयोग करके एक्सरसाइज मूल्य या कर दायित्व का भुगतान

इनसाइडर द्वारा या उसे प्रतिभूतियों का उपहार

इक्विटी स्वैप और समान हेजिंग लेनदेन

कंपनी से प्राप्त डेरिवेटिव प्रतिभूति के एक्सरसाइज या रूपांतरण (जैसे कि एक ऑप्शन)

किसी लेन-देन को स्वेच्छा से फॉर्म 4 पर रिपोर्ट किया गया

अन्य (लेन-देन का वर्णन करने वाले फ़ुटनोट के साथ)