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Insider Trading History of Samuels Steven
The following table details the insider trading activities
(stock purchases, stock sales, and stock option exercises) by Samuels Steven since 2012.
The trader's CIK number is 1561169.
At the time of the last reporting, Samuels Steven was the Other of Alliance California Municipal Income Fund. (stock ticker symbol AKP).
Also see all insider trading activities at Alliance California Municipal Income Fund.
Note that in the past
Samuels Steven also reported insider trading activities as an insider of the following companies:
Yearly summary of insider trading at Jf China Region Fund Inc (JFC) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2017 | JFC | 403,029 | $7,329,980 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Neuberger Berman Real Estate Securities Income Fund Inc (NRO) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2016 | NRO | 78,562 | $418,579 | 136,230 | $724,025 | 0 | $0 |
Yearly summary of insider trading at First Trust Active Dividend Income Fund (FAV) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2016 | FAV | 1,212,527 | $10,203,358 | 0 | $0 | 0 | $0 |
| 2015 | FAV | 13,615 | $114,488 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Cushing Renaissance Fund (SZC) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2016 | SZC | 29,156 | $474,963 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Real Estate Income Fund Inc (RIT) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2016 | RIT | 415,586 | $5,477,279 | 0 | $0 | 0 | $0 |
| 2015 | RIT | 1,093,412 | $13,788,531 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Income Fund (LCM) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2017 | LCM | 0 | $0 | 151,673 | $1,324,422 | 0 | $0 |
| 2016 | LCM | 0 | $0 | 41,123 | $324,817 | 0 | $0 |
| 2015 | LCM | 50,201 | $412,358 | 20,724 | $181,819 | 0 | $0 |
Yearly summary of insider trading at Pacholder High Yield Fund Inc (PHF) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2017 | PHF | 362,595 | $2,864,011 | 0 | $0 | 0 | $0 |
| 2016 | PHF | 78,709 | $553,872 | 163,770 | $1,175,319 | 0 | $0 |
Yearly summary of insider trading at Special Opportunities Fund, Inc. (SPE) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2015 | SPE | 0 | $0 | 3,375 | $50,199 | 0 | $0 |
| 2012 | SPE | 1,000 | $15,772 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Dws Global High Income Fund (LBF) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2016 | LBF | 0 | $0 | 108,877 | $871,910 | 0 | $0 |
| 2015 | LBF | 114,556 | $952,895 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Nuveen Long/short Commodity Total Return Fund (CTF) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2016 | CTF | 121,923 | $1,593,478 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Alliance New York Municipal Income Fund (AYN) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2015 | AYN | 517,950 | $6,943,905 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Dividend Capital Realty Income Allocation Fund (DCA) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2017 | DCA | 0 | $0 | 2,636,634 | $12,843,044 | 0 | $0 |
| 2016 | DCA | 2,089,523 | $8,978,637 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Mfs Intermarket Income Trust I (CMK) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2015 | CMK | 817,298 | $7,040,484 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at High Income Securities Fund (PCF) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2018 | PCF | 316,233 | $2,878,922 | 0 | $0 | 0 | $0 |
| 2017 | PCF | 363,790 | $3,151,721 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Aberdeen Emerging Markets Equity Income Fund, Inc. (CH) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2017 | CH | 0 | $0 | 32,071 | $285,032 | 0 | $0 |
Yearly summary of insider trading at Firsthand Technology Value Fund, Inc. (SVVC) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2015 | SVVC | 0 | $0 | 114,712 | $2,006,192 | 0 | $0 |
| 2014 | SVVC | 56,251 | $1,316,124 | 186,865 | $3,732,032 | 0 | $0 |
Yearly summary of insider trading at Alliance California Municipal Income Fund (AKP) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2018 | AKP | 65,591 | $892,545 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Korea Equity Fund Inc (KEF) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2017 | KEF | 938,744 | $8,374,166 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Nuveen Global Value Opportunities Fund (JGV) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2016 | JGV | 941,534 | $11,156,330 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Keating Capital Inc (XRDC) by Samuels Steven
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2017 | XRDC | 28,479 | $61,799 | 28,479 | $61,799 | 0 | $0 |
| 2015 | XRDC | 106,184 | $523,178 | 0 | $0 | 0 | $0 |
Insider trading activities at 20 companies by Samuels Steven:
1. Jf China Region Fund Inc (JFC)
2. Neuberger Berman Real Estate Securities Income Fund Inc (NRO)
3. First Trust Active Dividend Income Fund (FAV)
4. Cushing Renaissance Fund (SZC)
5. Real Estate Income Fund Inc (RIT)
6. Income Fund (LCM)
7. Pacholder High Yield Fund Inc (PHF)
8. Special Opportunities Fund, Inc. (SPE)
9. Dws Global High Income Fund (LBF)
10. Nuveen Long/short Commodity Total Return Fund (CTF)
11. Alliance New York Municipal Income Fund (AYN)
12. Dividend Capital Realty Income Allocation Fund (DCA)
13. Mfs Intermarket Income Trust I (CMK)
14. High Income Securities Fund (PCF)
15. Aberdeen Emerging Markets Equity Income Fund, Inc. (CH)
16. Firsthand Technology Value Fund, Inc. (SVVC)
17. Alliance California Municipal Income Fund (AKP)
18. Korea Equity Fund Inc (KEF)
19. Nuveen Global Value Opportunities Fund (JGV)
20. Keating Capital Inc (XRDC)
Table 1. Insider trading of Jf China Region Fund Inc (JFC) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2017-09-15 | JFC | Buy | 22,517 | 4.86 | 109,477 |
| 2017-06-09 | JFC | Buy | 7,500 | 19.82 | 148,650 |
| 2017-06-01 | JFC | Buy | 25,000 | 19.69 | 492,250 |
| 2017-05-26 | JFC | Buy | 50,000 | 19.67 | 983,500 |
| 2017-05-24 | JFC | Buy | 10,000 | 19.60 | 195,980 |
| 2017-05-22 | JFC | Buy | 20,000 | 19.74 | 394,820 |
| 2017-05-23 | JFC | Buy | 20,000 | 19.62 | 392,400 |
| 2017-05-17 | JFC | Buy | 2,100 | 19.66 | 41,286 |
| 2017-05-15 | JFC | Buy | 10,000 | 19.66 | 196,560 |
| 2017-05-11 | JFC | Buy | 21,572 | 19.42 | 418,841 |
| 2017-05-08 | JFC | Buy | 12,500 | 19.01 | 237,625 |
| 2017-04-27 | JFC | Buy | 10,000 | 19.05 | 190,500 |
| 2017-04-24 | JFC | Buy | 10,000 | 18.63 | 186,300 |
| 2017-04-18 | JFC | Buy | 20,000 | 18.24 | 364,720 |
| 2017-04-17 | JFC | Buy | 9,880 | 18.46 | 182,384 |
| 2017-04-12 | JFC | Buy | 10,000 | 18.45 | 184,500 |
| 2017-04-11 | JFC | Buy | 10,000 | 18.41 | 184,100 |
| 2017-04-04 | JFC | Buy | 11,361 | 18.40 | 209,042 |
| 2017-03-31 | JFC | Buy | 2,000 | 18.26 | 36,528 |
| 2017-04-03 | JFC | Buy | 81,599 | 18.40 | 1,501,421 |
| 2017-03-28 | JFC | Buy | 15,000 | 18.43 | 276,450 |
| 2017-03-24 | JFC | Buy | 10,000 | 18.37 | 183,700 |
| 2017-03-27 | JFC | Buy | 2,000 | 18.27 | 36,536 |
| 2017-03-21 | JFC | Buy | 10,000 | 18.24 | 182,410 |
Table 2. Insider trading of Neuberger Berman Real Estate Securities Income Fund Inc (NRO) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2016-12-15 | NRO | Sale | 45,096 | 5.30 | 238,828 |
| 2016-12-14 | NRO | Sale | 73,483 | 5.32 | 390,782 |
| 2016-12-13 | NRO | Sale | 17,651 | 5.35 | 94,415 |
| 2016-05-09 | NRO | Buy | 33,580 | 5.35 | 179,552 |
| 2016-05-10 | NRO | Buy | 15,387 | 5.35 | 82,320 |
| 2016-05-06 | NRO | Buy | 18,552 | 5.31 | 98,511 |
| 2016-05-05 | NRO | Buy | 11,043 | 5.27 | 58,196 |
Table 3. Insider trading of First Trust Active Dividend Income Fund (FAV) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2016-10-19 | FAV | Buy | 10,900 | 8.89 | 96,901 |
| 2016-10-20 | FAV | Buy | 300 | 8.86 | 2,658 |
| 2016-10-05 | FAV | Buy | 1,500 | 9.11 | 13,669 |
| 2016-09-30 | FAV | Buy | 15,004 | 9.10 | 136,596 |
| 2016-09-27 | FAV | Buy | 20,700 | 9.02 | 186,714 |
| 2016-09-28 | FAV | Buy | 4,524 | 9.05 | 40,955 |
| 2016-09-23 | FAV | Buy | 39,426 | 9.07 | 357,554 |
| 2016-09-22 | FAV | Buy | 65,780 | 9.08 | 597,216 |
| 2016-09-20 | FAV | Buy | 34,240 | 9.00 | 308,023 |
| 2016-09-21 | FAV | Buy | 55,000 | 9.00 | 495,054 |
| 2016-09-16 | FAV | Buy | 9,795 | 8.96 | 87,802 |
| 2016-09-12 | FAV | Buy | 640 | 9.07 | 5,805 |
| 2016-09-06 | FAV | Buy | 2,546 | 9.19 | 23,397 |
| 2016-09-02 | FAV | Buy | 1,000 | 9.16 | 9,160 |
| 2016-08-30 | FAV | Buy | 1,400 | 9.11 | 12,754 |
| 2016-08-29 | FAV | Buy | 14,240 | 9.13 | 129,982 |
| 2016-08-22 | FAV | Buy | 18,688 | 9.10 | 169,986 |
| 2016-08-23 | FAV | Buy | 40,000 | 9.13 | 365,200 |
| 2016-08-19 | FAV | Buy | 8,353 | 9.10 | 76,012 |
| 2016-08-18 | FAV | Buy | 2,393 | 9.11 | 21,800 |
| 2016-08-15 | FAV | Buy | 300 | 9.13 | 2,739 |
| 2016-08-11 | FAV | Buy | 4,345 | 9.09 | 39,474 |
| 2016-08-09 | FAV | Buy | 1,700 | 9.09 | 15,459 |
| 2016-08-10 | FAV | Buy | 1,110 | 9.07 | 10,067 |
| 2016-08-05 | FAV | Buy | 300 | 9.05 | 2,715 |
| 2016-08-08 | FAV | Buy | 73,274 | 9.06 | 664,228 |
| 2016-08-04 | FAV | Buy | 3,000 | 9.00 | 27,000 |
| 2016-08-03 | FAV | Buy | 6,045 | 9.00 | 54,405 |
| 2016-08-02 | FAV | Buy | 2,659 | 8.96 | 23,824 |
| 2016-08-01 | FAV | Buy | 2,901 | 9.04 | 26,236 |
| 2016-07-27 | FAV | Buy | 7,833 | 9.07 | 71,037 |
| 2016-07-28 | FAV | Buy | 2,442 | 9.06 | 22,136 |
| 2016-07-22 | FAV | Buy | 11,700 | 9.05 | 105,861 |
| 2016-07-21 | FAV | Buy | 1,500 | 9.20 | 13,795 |
| 2016-07-20 | FAV | Buy | 7,800 | 9.24 | 72,056 |
| 2016-07-18 | FAV | Buy | 600 | 9.22 | 5,532 |
| 2016-07-14 | FAV | Buy | 3,800 | 9.19 | 34,918 |
| 2016-07-12 | FAV | Buy | 3,163 | 9.16 | 28,963 |
| 2016-07-13 | FAV | Buy | 10,000 | 9.13 | 91,290 |
| 2016-07-08 | FAV | Buy | 20,500 | 9.07 | 185,935 |
| 2016-06-30 | FAV | Buy | 2,800 | 8.97 | 25,104 |
| 2016-06-23 | FAV | Buy | 17,248 | 8.98 | 154,835 |
| 2016-06-21 | FAV | Buy | 5,270 | 8.91 | 46,950 |
| 2016-06-10 | FAV | Buy | 1,198 | 8.89 | 10,650 |
| 2016-06-13 | FAV | Buy | 100 | 8.85 | 885 |
| 2016-06-08 | FAV | Buy | 20,300 | 8.98 | 182,294 |
| 2016-04-20 | FAV | Buy | 19,734 | 8.86 | 174,862 |
| 2016-04-14 | FAV | Buy | 48,058 | 8.72 | 419,065 |
| 2016-04-05 | FAV | Buy | 11,129 | 8.55 | 95,108 |
| 2016-04-06 | FAV | Buy | 200 | 8.60 | 1,720 |
| 2016-03-31 | FAV | Buy | 4,321 | 8.62 | 37,242 |
| 2016-03-30 | FAV | Buy | 600 | 8.63 | 5,178 |
| 2016-03-28 | FAV | Buy | 7,392 | 8.52 | 62,965 |
| 2016-03-29 | FAV | Buy | 300 | 8.52 | 2,556 |
| 2016-03-11 | FAV | Buy | 33,160 | 8.33 | 276,322 |
| 2016-03-09 | FAV | Buy | 8,700 | 8.20 | 71,313 |
| 2016-03-10 | FAV | Buy | 2,302 | 8.22 | 18,922 |
| 2016-03-07 | FAV | Buy | 3,600 | 8.23 | 29,635 |
| 2016-03-08 | FAV | Buy | 4,002 | 8.19 | 32,764 |
| 2016-03-04 | FAV | Buy | 9,200 | 8.21 | 75,495 |
| 2016-03-03 | FAV | Buy | 4,295 | 8.11 | 34,841 |
| 2016-03-01 | FAV | Buy | 64,000 | 8.00 | 512,000 |
| 2016-03-02 | FAV | Buy | 20,104 | 8.05 | 161,897 |
| 2016-02-26 | FAV | Buy | 900 | 7.88 | 7,090 |
| 2016-02-24 | FAV | Buy | 28,475 | 7.72 | 219,855 |
| 2016-02-23 | FAV | Buy | 4,700 | 7.78 | 36,570 |
| 2016-02-19 | FAV | Buy | 600 | 7.76 | 4,656 |
| 2016-02-22 | FAV | Buy | 36,499 | 7.83 | 285,896 |
| 2016-02-12 | FAV | Buy | 35,460 | 7.33 | 259,886 |
| 2016-02-11 | FAV | Buy | 48,759 | 7.26 | 354,039 |
| 2016-02-10 | FAV | Buy | 5,450 | 7.46 | 40,651 |
| 2016-02-08 | FAV | Buy | 21,400 | 7.44 | 159,301 |
| 2016-02-09 | FAV | Buy | 17,902 | 7.41 | 132,653 |
| 2016-02-05 | FAV | Buy | 1,525 | 7.65 | 11,666 |
| 2016-02-04 | FAV | Buy | 6,943 | 7.72 | 53,579 |
| 2016-02-02 | FAV | Buy | 16,089 | 7.61 | 122,389 |
| 2016-02-03 | FAV | Buy | 17,596 | 7.67 | 134,943 |
| 2016-01-29 | FAV | Buy | 54,282 | 7.69 | 417,428 |
| 2016-02-01 | FAV | Buy | 4,060 | 7.72 | 31,351 |
| 2016-01-27 | FAV | Buy | 20,812 | 7.52 | 156,485 |
| 2016-01-28 | FAV | Buy | 450 | 7.57 | 3,406 |
| 2016-01-26 | FAV | Buy | 40,538 | 7.52 | 304,764 |
| 2016-01-25 | FAV | Buy | 6,705 | 7.49 | 50,233 |
| 2016-01-21 | FAV | Buy | 1,483 | 7.66 | 11,359 |
| 2016-01-19 | FAV | Buy | 1,050 | 7.72 | 8,106 |
| 2016-01-20 | FAV | Buy | 3,929 | 7.50 | 29,447 |
| 2016-01-15 | FAV | Buy | 16,762 | 7.74 | 129,788 |
| 2016-01-14 | FAV | Buy | 1,392 | 7.91 | 11,014 |
| 2016-01-13 | FAV | Buy | 1,761 | 7.88 | 13,867 |
| 2016-01-11 | FAV | Buy | 4,380 | 8.05 | 35,245 |
| 2016-01-05 | FAV | Buy | 1,615 | 8.41 | 13,585 |
| 2016-01-04 | FAV | Buy | 8,930 | 8.30 | 74,092 |
| 2015-12-31 | FAV | Buy | 2,666 | 8.44 | 22,503 |
| 2015-12-28 | FAV | Buy | 13,615 | 8.41 | 114,488 |
Table 4. Insider trading of Cushing Renaissance Fund (SZC) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2016-08-26 | SZC | Buy | 4,800 | 16.59 | 79,612 |
| 2016-08-25 | SZC | Buy | 3,632 | 16.52 | 60,018 |
| 2016-08-23 | SZC | Buy | 3,440 | 16.50 | 56,742 |
| 2016-08-18 | SZC | Buy | 1,216 | 16.41 | 19,956 |
| 2016-08-19 | SZC | Buy | 1,700 | 16.35 | 27,789 |
| 2016-08-17 | SZC | Buy | 6,000 | 16.14 | 96,845 |
| 2016-08-16 | SZC | Buy | 1,028 | 16.20 | 16,655 |
| 2016-08-15 | SZC | Buy | 4,350 | 16.13 | 70,182 |
| 2016-08-12 | SZC | Buy | 110 | 15.97 | 1,756 |
| 2016-08-10 | DCA | Buy | 1,000 | 15.63 | 15,635 |
| 2016-08-11 | DCA | Buy | 1,880 | 15.84 | 29,773 |
Table 5. Insider trading of Real Estate Income Fund Inc (RIT) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2016-06-06 | RIT | Buy | 54,952 | 13.90 | 763,942 |
| 2016-06-03 | RIT | Buy | 25,000 | 13.96 | 348,975 |
| 2016-06-01 | RIT | Buy | 10,306 | 13.80 | 142,212 |
| 2016-06-02 | RIT | Buy | 21,580 | 13.83 | 298,537 |
| 2016-05-16 | RIT | Buy | 700 | 14.07 | 9,852 |
| 2016-05-06 | RIT | Buy | 19,545 | 13.97 | 273,141 |
| 2016-04-25 | RIT | Buy | 65,857 | 13.44 | 885,118 |
| 2016-04-21 | RIT | Buy | 4,900 | 13.50 | 66,130 |
| 2016-04-19 | RIT | Buy | 10,688 | 13.76 | 147,098 |
| 2016-04-20 | RIT | Buy | 8,447 | 13.62 | 115,031 |
| 2016-03-04 | RIT | Buy | 6,810 | 13.01 | 88,598 |
| 2016-02-25 | RIT | Buy | 200 | 12.54 | 2,508 |
| 2016-02-19 | RIT | Buy | 6,288 | 12.29 | 77,285 |
| 2016-02-22 | RIT | Buy | 1,400 | 12.43 | 17,407 |
| 2016-02-08 | RIT | Buy | 25,180 | 12.07 | 303,872 |
| 2016-02-09 | RIT | Buy | 2,340 | 11.94 | 27,934 |
| 2016-02-05 | RIT | Buy | 10,628 | 12.44 | 132,212 |
| 2016-02-04 | RIT | Buy | 25,000 | 12.64 | 315,950 |
| 2016-02-02 | RIT | Buy | 39,257 | 12.52 | 491,458 |
| 2016-02-03 | RIT | Buy | 28,900 | 12.57 | 363,215 |
| 2016-01-29 | RIT | Buy | 7,073 | 12.53 | 88,624 |
| 2016-02-01 | RIT | Buy | 4,037 | 12.59 | 50,833 |
| 2016-01-26 | RIT | Buy | 3,600 | 12.47 | 44,906 |
| 2016-01-27 | RIT | Buy | 4,900 | 12.39 | 60,691 |
| 2016-01-13 | RIT | Buy | 1,900 | 12.55 | 23,845 |
| 2016-01-11 | RIT | Buy | 4,069 | 12.70 | 51,676 |
| 2016-01-08 | RIT | Buy | 400 | 12.78 | 5,112 |
| 2016-01-07 | RIT | Buy | 146 | 12.89 | 1,881 |
| 2016-01-06 | RIT | Buy | 8,300 | 12.98 | 107,758 |
| 2016-01-04 | RIT | Buy | 85 | 12.78 | 1,086 |
| 2016-01-05 | RIT | Buy | 8,478 | 13.00 | 110,222 |
| 2015-12-30 | RIT | Buy | 4,620 | 13.02 | 60,170 |
| 2015-12-28 | RIT | Buy | 7,148 | 12.92 | 92,366 |
| 2015-12-21 | RIT | Buy | 1,200 | 12.67 | 15,204 |
| 2015-12-22 | RIT | Buy | 20,062 | 12.75 | 255,770 |
| 2015-12-17 | RIT | Buy | 4,483 | 12.70 | 56,938 |
| 2015-12-18 | RIT | Buy | 2,500 | 12.66 | 31,650 |
| 2015-12-16 | RIT | Buy | 7,701 | 12.68 | 97,617 |
| 2015-12-15 | RIT | Buy | 4,008 | 12.60 | 50,484 |
| 2015-12-08 | RIT | Buy | 1,000 | 12.67 | 12,670 |
| 2015-12-04 | RIT | Buy | 100 | 12.76 | 1,276 |
| 2015-12-07 | RIT | Buy | 264 | 12.69 | 3,350 |
| 2015-12-02 | RIT | Buy | 9,921 | 12.92 | 128,149 |
| 2015-12-03 | RIT | Buy | 1,196 | 12.59 | 15,057 |
| 2015-11-30 | RIT | Buy | 2,082 | 12.94 | 26,941 |
| 2015-11-23 | RIT | Buy | 191,098 | 12.73 | 2,432,677 |
| 2015-11-20 | RIT | Buy | 27,897 | 12.73 | 355,268 |
| 2015-11-16 | RIT | Buy | 8,212 | 12.48 | 102,452 |
| 2015-11-17 | RIT | Buy | 8,598 | 12.59 | 108,231 |
| 2015-11-03 | RIT | Buy | 100 | 13.02 | 1,302 |
| 2015-11-04 | RIT | Buy | 300 | 13.07 | 3,921 |
| 2015-10-29 | RIT | Buy | 8,300 | 12.99 | 107,800 |
| 2015-10-28 | RIT | Buy | 15,716 | 13.02 | 204,575 |
| 2015-10-27 | RIT | Buy | 5,079 | 13.00 | 66,042 |
| 2015-10-21 | RIT | Buy | 4,200 | 13.16 | 55,272 |
| 2015-10-19 | RIT | Buy | 11,070 | 13.17 | 145,747 |
| 2015-10-20 | RIT | Buy | 1,300 | 13.19 | 17,147 |
| 2015-10-16 | RIT | Buy | 3,097 | 13.05 | 40,415 |
| 2015-10-15 | RIT | Buy | 19,533 | 13.00 | 253,968 |
| 2015-10-12 | RIT | Buy | 145 | 13.00 | 1,885 |
| 2015-10-07 | RIT | Buy | 4,860 | 12.67 | 61,581 |
| 2015-10-08 | RIT | Buy | 16,700 | 12.84 | 214,461 |
| 2015-10-05 | RIT | Buy | 9,363 | 12.54 | 117,374 |
| 2015-10-06 | RIT | Buy | 900 | 12.58 | 11,321 |
| 2015-10-01 | RIT | Buy | 9,200 | 12.32 | 113,325 |
| 2015-09-24 | RIT | Buy | 14,460 | 11.85 | 171,379 |
| 2015-09-21 | RIT | Buy | 5,691 | 11.93 | 67,905 |
| 2015-09-22 | RIT | Buy | 7,900 | 11.83 | 93,441 |
| 2015-09-18 | RIT | Buy | 36,712 | 11.87 | 435,844 |
| 2015-09-17 | RIT | Buy | 36,959 | 11.74 | 434,009 |
| 2015-09-15 | RIT | Buy | 29,142 | 11.67 | 339,999 |
| 2015-09-16 | RIT | Buy | 700 | 11.70 | 8,192 |
| 2015-09-11 | RIT | Buy | 7,885 | 11.37 | 89,628 |
| 2015-09-14 | RIT | Buy | 15,133 | 11.52 | 174,317 |
| 2015-08-12 | RIT | Buy | 5,800 | 12.38 | 71,792 |
| 2015-08-11 | RIT | Buy | 8,852 | 12.40 | 109,755 |
| 2015-07-22 | RIT | Buy | 4,321 | 12.30 | 53,161 |
| 2015-07-21 | RIT | Buy | 104,679 | 12.37 | 1,295,088 |
| 2015-07-15 | RIT | Buy | 7,445 | 12.24 | 91,141 |
| 2015-07-13 | RIT | Buy | 11,200 | 12.20 | 136,606 |
| 2015-07-07 | RIT | Buy | 18,834 | 12.04 | 226,780 |
| 2015-06-16 | RIT | Buy | 8,739 | 12.20 | 106,572 |
| 2015-06-11 | RIT | Buy | 16,912 | 12.22 | 206,630 |
| 2015-06-12 | RIT | Buy | 5,500 | 12.22 | 67,237 |
| 2015-06-02 | RIT | Buy | 5,431 | 12.42 | 67,474 |
| 2015-05-29 | RIT | Buy | 547 | 12.48 | 6,828 |
| 2015-05-18 | RIT | Buy | 11,333 | 12.68 | 143,725 |
| 2015-05-19 | RIT | Buy | 1,800 | 12.69 | 22,834 |
| 2015-05-15 | RIT | Buy | 6,948 | 12.69 | 88,170 |
| 2015-05-14 | RIT | Buy | 12,874 | 12.57 | 161,826 |
| 2015-05-12 | RIT | Buy | 4,831 | 12.51 | 60,430 |
| 2015-05-08 | RIT | Buy | 12,500 | 12.67 | 158,325 |
| 2015-05-11 | RIT | Buy | 13,804 | 12.58 | 173,668 |
| 2015-05-06 | RIT | Buy | 4,300 | 12.28 | 52,795 |
| 2015-05-07 | RIT | Buy | 7,435 | 13.38 | 99,517 |
| 2015-04-10 | RIT | Buy | 9,500 | 12.95 | 122,987 |
| 2015-04-06 | RIT | Buy | 31,839 | 13.24 | 421,643 |
| 2015-04-01 | RIT | Buy | 3,700 | 13.04 | 48,251 |
| 2015-04-02 | RIT | Buy | 19,800 | 13.10 | 259,459 |
| 2015-03-30 | RIT | Buy | 100,000 | 13.04 | 1,303,700 |
| 2015-03-31 | RIT | Buy | 1,541 | 13.02 | 20,065 |
| 2015-03-27 | RIT | Buy | 25,000 | 12.94 | 323,475 |
| 2015-03-26 | RIT | Buy | 6,300 | 12.94 | 81,540 |
| 2015-03-25 | RIT | Buy | 9,682 | 13.22 | 127,996 |
| 2015-03-24 | RIT | Buy | 50,050 | 13.23 | 662,111 |
Table 6. Insider trading of Income Fund (LCM) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2017-05-17 | LCM | Sale | 81,508 | 8.72 | 710,749 |
| 2017-05-15 | LCM | Sale | 51,701 | 8.74 | 451,763 |
| 2017-05-16 | LCM | Sale | 18,464 | 8.77 | 161,910 |
| 2016-05-11 | LCM | Sale | 3,767 | 8.21 | 30,945 |
| 2016-05-10 | LCM | Sale | 130 | 8.43 | 1,095 |
| 2016-01-15 | LCM | Sale | 5,317 | 7.70 | 40,940 |
| 2016-01-13 | LCM | Sale | 13,443 | 7.86 | 105,661 |
| 2016-01-14 | LCM | Sale | 18,466 | 7.92 | 146,176 |
| 2015-10-27 | LCM | Sale | 17,766 | 8.77 | 155,825 |
| 2015-10-26 | LCM | Sale | 2,958 | 8.79 | 25,994 |
| 2015-09-30 | LCM | Buy | 700 | 8.19 | 5,730 |
| 2015-09-29 | LCM | Buy | 25,000 | 8.13 | 203,350 |
| 2015-09-24 | LCM | Buy | 17,548 | 8.26 | 144,876 |
| 2015-09-22 | LCM | Buy | 6,853 | 8.40 | 57,551 |
| 2015-09-18 | LCM | Buy | 100 | 8.51 | 851 |
Table 7. Insider trading of Pacholder High Yield Fund Inc (PHF) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2017-07-07 | PHF | Buy | 15,500 | 7.96 | 123,380 |
| 2017-06-27 | PHF | Buy | 75,000 | 7.93 | 595,125 |
| 2017-06-26 | PHF | Buy | 7,775 | 7.94 | 61,733 |
| 2017-06-25 | PHF | Buy | 6,825 | 7.94 | 54,190 |
| 2017-06-21 | PHF | Buy | 20,000 | 7.95 | 158,920 |
| 2017-06-19 | PHF | Buy | 9,100 | 7.95 | 72,345 |
| 2017-06-20 | PHF | Buy | 19,100 | 7.95 | 151,768 |
| 2017-06-13 | PHF | Buy | 2,800 | 7.95 | 22,260 |
| 2017-06-08 | PHF | Buy | 500 | 7.95 | 3,975 |
| 2017-06-06 | PHF | Buy | 11,525 | 7.95 | 91,623 |
| 2017-05-31 | PHF | Buy | 3,912 | 7.95 | 31,100 |
| 2017-05-26 | PHF | Buy | 13 | 7.94 | 103 |
| 2017-05-25 | PHF | Buy | 8,334 | 7.94 | 66,171 |
| 2017-05-23 | PHF | Buy | 5,400 | 7.96 | 42,984 |
| 2017-05-24 | PHF | Buy | 1,238 | 7.94 | 9,829 |
| 2017-05-22 | PHF | Buy | 6,700 | 7.96 | 53,332 |
| 2017-05-19 | PHF | Buy | 3,964 | 7.95 | 31,513 |
| 2017-05-17 | PHF | Buy | 12,248 | 7.96 | 97,494 |
| 2017-05-18 | PHF | Buy | 15,661 | 7.95 | 124,504 |
| 2017-05-16 | PHF | Buy | 7,700 | 7.91 | 60,883 |
| 2017-05-15 | PHF | Buy | 400 | 7.95 | 3,180 |
| 2017-05-09 | PHF | Buy | 7,381 | 7.90 | 58,302 |
| 2017-05-10 | PHF | Buy | 6,821 | 7.90 | 53,885 |
| 2017-05-05 | PHF | Buy | 13,970 | 7.90 | 110,349 |
| 2017-05-03 | PHF | Buy | 900 | 7.90 | 7,110 |
| 2017-04-28 | PHF | Buy | 1,341 | 7.87 | 10,553 |
| 2017-04-19 | PHF | Buy | 6,300 | 7.84 | 49,392 |
| 2017-04-20 | PHF | Buy | 2,300 | 7.85 | 18,055 |
| 2017-04-18 | PHF | Buy | 5,203 | 7.84 | 40,791 |
| 2017-04-17 | PHF | Buy | 2,496 | 7.84 | 19,568 |
| 2017-04-13 | PHF | Buy | 1,523 | 7.84 | 11,940 |
| 2017-04-12 | PHF | Buy | 895 | 7.84 | 7,016 |
| 2017-04-11 | PHF | Buy | 3,616 | 7.84 | 28,349 |
| 2017-03-22 | PHF | Buy | 2,300 | 7.71 | 17,742 |
| 2017-03-21 | PHF | Buy | 7,557 | 7.73 | 58,408 |
| 2017-03-20 | PHF | Buy | 3,900 | 7.74 | 30,186 |
| 2017-03-08 | PHF | Buy | 6,000 | 7.85 | 47,100 |
| 2017-03-06 | PHF | Buy | 3,100 | 7.87 | 24,397 |
| 2017-03-07 | PHF | Buy | 4,201 | 7.87 | 33,061 |
| 2017-02-17 | PHF | Buy | 2,000 | 7.83 | 15,652 |
| 2017-02-08 | PHF | Buy | 9,600 | 7.78 | 74,688 |
| 2017-02-07 | PHF | Buy | 2,574 | 7.78 | 20,036 |
| 2017-02-02 | PHF | Buy | 6,774 | 7.75 | 52,498 |
| 2017-02-03 | PHF | Buy | 154 | 7.76 | 1,194 |
| 2017-02-01 | PHF | Buy | 8,811 | 7.77 | 68,479 |
| 2017-01-31 | PHF | Buy | 10,810 | 7.75 | 83,831 |
| 2017-01-27 | PHF | Buy | 5,300 | 7.78 | 41,228 |
| 2017-01-26 | PHF | Buy | 2,100 | 7.75 | 16,279 |
| 2017-01-25 | PHF | Buy | 973 | 7.72 | 7,510 |
| 2016-12-14 | PHF | Buy | 1,780 | 7.20 | 12,814 |
| 2016-12-13 | PHF | Buy | 4,349 | 7.19 | 31,282 |
| 2016-12-12 | PHF | Buy | 6,167 | 7.20 | 44,402 |
| 2016-12-08 | PHF | Buy | 4,895 | 7.12 | 34,862 |
| 2016-12-07 | PHF | Buy | 6,574 | 7.13 | 46,892 |
| 2016-12-05 | PHF | Buy | 5,761 | 7.09 | 40,851 |
| 2016-12-06 | PHF | Buy | 15,575 | 7.10 | 110,629 |
| 2016-11-30 | PHF | Buy | 40 | 7.05 | 282 |
| 2016-11-29 | PHF | Buy | 500 | 7.00 | 3,500 |
| 2016-11-28 | PHF | Buy | 2,295 | 7.03 | 16,124 |
| 2016-11-25 | PHF | Buy | 9,154 | 6.97 | 63,766 |
| 2016-11-23 | PHF | Buy | 3,342 | 7.00 | 23,380 |
| 2016-11-22 | PHF | Buy | 501 | 7.05 | 3,532 |
| 2016-11-18 | PHF | Buy | 1,707 | 6.92 | 11,812 |
| 2016-11-21 | PHF | Buy | 2,734 | 6.96 | 19,023 |
| 2016-11-11 | PHF | Buy | 300 | 6.72 | 2,016 |
| 2016-11-14 | PHF | Buy | 8,035 | 6.71 | 53,955 |
| 2016-10-31 | PHF | Sale | 10,436 | 7.01 | 73,156 |
| 2016-09-08 | PHF | Sale | 12,866 | 7.22 | 92,892 |
| 2016-09-02 | PHF | Sale | 1,017 | 7.24 | 7,363 |
| 2016-09-01 | PHF | Sale | 2,849 | 7.22 | 20,572 |
| 2016-08-31 | PHF | Sale | 2,385 | 7.22 | 17,219 |
| 2016-08-30 | PHF | Sale | 1,121 | 7.22 | 8,093 |
| 2016-08-29 | PHF | Sale | 2,532 | 7.22 | 18,286 |
| 2016-08-05 | PHF | Sale | 6,351 | 7.15 | 45,409 |
| 2016-08-04 | PHF | Sale | 6,792 | 7.12 | 48,359 |
| 2016-08-03 | PHF | Sale | 6,785 | 7.12 | 48,309 |
| 2016-07-27 | PHF | Sale | 9,710 | 7.18 | 69,766 |
| 2016-07-26 | PHF | Sale | 7,617 | 7.20 | 54,842 |
| 2016-07-25 | PHF | Sale | 10,150 | 7.20 | 73,080 |
| 2016-07-22 | PHF | Sale | 9,029 | 7.28 | 65,731 |
| 2016-07-21 | PHF | Sale | 3,205 | 7.28 | 23,332 |
| 2016-07-20 | PHF | Sale | 900 | 7.25 | 6,525 |
| 2016-07-19 | PHF | Sale | 4,918 | 7.23 | 35,557 |
| 2016-07-18 | PHF | Sale | 3,057 | 7.22 | 22,071 |
| 2016-07-11 | PHF | Sale | 4,424 | 7.21 | 31,892 |
| 2016-07-08 | PHF | Sale | 8,813 | 7.18 | 63,277 |
| 2016-07-07 | PHF | Sale | 13,120 | 7.15 | 93,808 |
| 2016-07-05 | PHF | Sale | 1,654 | 7.08 | 11,711 |
| 2016-07-01 | PHF | Sale | 300 | 7.15 | 2,145 |
| 2016-06-29 | PHF | Sale | 409 | 7.13 | 2,918 |
| 2016-06-30 | PHF | Sale | 700 | 7.14 | 4,998 |
| 2016-06-24 | PHF | Sale | 100 | 7.11 | 711 |
| 2016-06-22 | PHF | Sale | 10,884 | 7.17 | 78,092 |
| 2016-06-23 | PHF | Sale | 2,608 | 7.18 | 18,715 |
| 2016-06-21 | PHF | Sale | 15,236 | 7.16 | 109,074 |
| 2016-06-20 | PHF | Sale | 3,802 | 7.21 | 27,416 |
| 2016-06-07 | PHF | Buy | 5,000 | 6.95 | 34,750 |
Table 8. Insider trading of Special Opportunities Fund, Inc. (SPE) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2015-01-30 | SPE | Sale | 3,375 | 14.87 | 50,199 |
| 2012-09-17 | SPE | Buy | 1,000 | 15.77 | 15,772 |
Table 9. Insider trading of Dws Global High Income Fund (LBF) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2016-05-04 | LBF | Sale | 14,799 | 8.05 | 119,131 |
| 2016-04-27 | LBF | Sale | 43,965 | 8.00 | 351,720 |
| 2016-04-25 | LBF | Sale | 7,665 | 7.98 | 61,136 |
| 2016-04-26 | LBF | Sale | 42,448 | 8.01 | 339,923 |
| 2015-06-09 | LBF | Buy | 1,028 | 8.18 | 8,409 |
| 2015-06-02 | LBF | Buy | 25,300 | 8.33 | 210,749 |
| 2015-06-01 | LBF | Buy | 18,655 | 8.33 | 155,396 |
| 2015-05-28 | LBF | Buy | 553 | 8.28 | 4,578 |
| 2015-05-29 | LBF | Buy | 69,020 | 8.31 | 573,763 |
Table 10. Insider trading of Nuveen Long/short Commodity Total Return Fund (CTF) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2016-12-08 | CTF | Buy | 1,267 | 13.13 | 16,635 |
| 2016-12-06 | CTF | Buy | 1,327 | 13.13 | 17,422 |
| 2016-12-05 | CTF | Buy | 1,940 | 13.28 | 25,763 |
| 2016-12-02 | CTF | Buy | 8,890 | 13.18 | 117,161 |
| 2016-12-05 | CTF | Buy | 1,940 | 13.28 | 25,763 |
| 2016-12-02 | CTF | Buy | 8,890 | 13.18 | 117,161 |
| 2016-12-01 | CTF | Buy | 6,377 | 13.08 | 83,436 |
| 2016-11-30 | CTF | Buy | 1,802 | 13.06 | 23,537 |
| 2016-11-28 | CTF | Buy | 7,848 | 12.99 | 101,953 |
| 2016-11-29 | CTF | Buy | 4,230 | 12.88 | 54,473 |
| 2016-11-23 | CTF | Buy | 7,635 | 13.05 | 99,629 |
| 2016-11-21 | CTF | Buy | 1,877 | 13.00 | 24,401 |
| 2016-11-22 | CTF | Buy | 3,478 | 13.05 | 45,391 |
| 2016-11-17 | CTF | Buy | 1,704 | 12.90 | 21,974 |
| 2016-11-14 | CTF | Buy | 7,434 | 12.88 | 95,779 |
| 2016-11-15 | CTF | Buy | 1,950 | 12.86 | 25,071 |
| 2016-11-10 | CTF | Buy | 10,274 | 13.06 | 134,178 |
| 2016-11-09 | CTF | Buy | 14,082 | 13.05 | 183,826 |
| 2016-11-07 | CTF | Buy | 3,314 | 13.05 | 43,244 |
| 2016-11-08 | CTF | Buy | 2,255 | 13.01 | 29,326 |
| 2016-11-04 | CTF | Buy | 3,083 | 12.98 | 40,017 |
| 2016-11-03 | CTF | Buy | 4,692 | 13.07 | 61,338 |
| 2016-11-02 | CTF | Buy | 6,580 | 12.99 | 85,467 |
| 2016-11-01 | CTF | Buy | 1,362 | 13.19 | 17,966 |
| 2016-10-28 | CTF | Buy | 4,184 | 13.40 | 56,048 |
| 2016-10-31 | CTF | Buy | 3,508 | 13.26 | 46,519 |
Table 11. Insider trading of Alliance New York Municipal Income Fund (AYN) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2015-07-20 | AYN | Buy | 3,500 | 14.05 | 49,192 |
| 2015-07-16 | AYN | Buy | 109,734 | 14.03 | 1,539,568 |
| 2015-07-17 | AYN | Buy | 10,951 | 14.06 | 153,960 |
| 2015-07-14 | AYN | Buy | 10,622 | 13.98 | 148,516 |
| 2015-07-07 | AYN | Buy | 9,027 | 14.15 | 127,777 |
| 2015-05-05 | AYN | Buy | 3,397 | 13.82 | 46,946 |
| 2015-04-02 | AYN | Buy | 3,058 | 13.93 | 42,607 |
| 2015-03-31 | AYN | Buy | 400 | 13.94 | 5,576 |
| 2015-03-27 | AYN | Buy | 2,621 | 13.90 | 36,426 |
| 2015-03-30 | AYN | Buy | 732 | 13.90 | 10,174 |
| 2015-03-25 | AYN | Buy | 4,506 | 13.89 | 62,601 |
| 2015-03-26 | AYN | Buy | 2,017 | 13.90 | 28,032 |
| 2015-03-20 | AYN | Buy | 4,304 | 13.82 | 59,489 |
| 2015-03-16 | AYN | Buy | 3,448 | 13.71 | 47,265 |
| 2015-03-17 | AYN | Buy | 3,403 | 13.72 | 46,689 |
| 2015-03-12 | AYN | Buy | 4,516 | 13.70 | 61,864 |
| 2015-03-13 | AYN | Buy | 4,550 | 13.69 | 62,271 |
| 2015-02-23 | AYN | Buy | 1,637 | 13.82 | 22,623 |
| 2015-02-20 | AYN | Buy | 400 | 13.80 | 5,520 |
| 2015-02-18 | AYN | Buy | 100 | 13.70 | 1,370 |
| 2015-01-26 | AYN | Buy | 2,283 | 13.88 | 31,681 |
| 2015-02-17 | AYN | Buy | 9,998 | 13.68 | 136,732 |
| 2015-02-13 | AYN | Buy | 5,516 | 13.78 | 76,010 |
| 2015-02-11 | AYN | Buy | 500 | 13.80 | 6,900 |
| 2015-03-02 | AYN | Buy | 800 | 13.77 | 11,016 |
| 2015-02-10 | AYN | Buy | 3,085 | 13.86 | 42,767 |
| 2015-02-06 | AYN | Buy | 681 | 13.95 | 9,499 |
| 2015-02-24 | AYN | Buy | 351 | 13.77 | 4,833 |
| 2015-02-25 | AYN | Buy | 1,454 | 13.78 | 20,036 |
| 2015-02-26 | AYN | Buy | 3,886 | 13.85 | 53,809 |
| 2015-02-27 | AYN | Buy | 400 | 13.78 | 5,512 |
| 2015-01-12 | AYN | Buy | 6,634 | 13.76 | 91,290 |
| 2015-01-13 | AYN | Buy | 3,321 | 13.74 | 45,630 |
| 2015-01-14 | AYN | Buy | 2,045 | 13.90 | 28,425 |
| 2015-01-08 | AYN | Buy | 19,705 | 13.70 | 269,899 |
| 2014-11-24 | AYN | Buy | 4,365 | 12.77 | 55,727 |
| 2014-11-25 | AYN | Buy | 200 | 12.77 | 2,554 |
| 2014-11-28 | AYN | Buy | 502 | 12.77 | 6,410 |
| 2014-12-10 | AYN | Buy | 9,180 | 12.86 | 118,073 |
| 2014-12-11 | AYN | Buy | 5,088 | 12.86 | 65,452 |
| 2014-12-12 | AYN | Buy | 22,109 | 12.86 | 284,388 |
| 2014-12-15 | AYN | Buy | 11,092 | 12.89 | 142,942 |
| 2014-12-16 | AYN | Buy | 25,033 | 12.91 | 323,100 |
| 2014-12-17 | AYN | Buy | 55,159 | 12.93 | 713,426 |
| 2014-12-18 | AYN | Buy | 33,869 | 12.98 | 439,585 |
| 2014-12-19 | AYN | Buy | 1,726 | 13.00 | 22,438 |
| 2014-12-03 | AYN | Buy | 400 | 12.76 | 5,102 |
| 2014-12-29 | AYN | Buy | 7,527 | 13.20 | 99,378 |
| 2014-11-20 | AYN | Buy | 1,937 | 12.75 | 24,696 |
| 2014-12-26 | AYN | Buy | 8,524 | 13.15 | 112,133 |
| 2014-12-30 | AYN | Buy | 300 | 13.25 | 3,975 |
| 2014-11-19 | AYN | Buy | 9,173 | 12.70 | 116,451 |
| 2014-12-01 | AYN | Buy | 885 | 12.77 | 11,301 |
| 2014-12-02 | AYN | Buy | 5,364 | 12.80 | 68,653 |
| 2014-11-18 | AYN | Buy | 210 | 12.70 | 2,667 |
| 2014-12-04 | AYN | Buy | 3,326 | 12.77 | 42,466 |
| 2014-12-05 | AYN | Buy | 5,414 | 12.76 | 69,055 |
| 2014-12-24 | AYN | Buy | 9,663 | 13.15 | 127,078 |
| 2014-12-23 | AYN | Buy | 22,176 | 13.14 | 291,370 |
| 2014-12-22 | AYN | Buy | 18,220 | 13.06 | 237,880 |
| 2014-12-09 | AYN | Buy | 8,016 | 12.78 | 102,444 |
| 2014-12-08 | AYN | Buy | 4,910 | 12.76 | 62,656 |
Table 12. Insider trading of Dividend Capital Realty Income Allocation Fund (DCA) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2017-03-22 | DCA | Sale | 2,636,634 | 4.87 | 12,843,044 |
| 2016-09-13 | DCA | Buy | 41,954 | 4.54 | 190,471 |
| 2016-09-14 | DCA | Buy | 32,453 | 4.51 | 146,525 |
| 2016-09-08 | DCA | Buy | 101,268 | 4.66 | 471,605 |
| 2016-09-09 | DCA | Buy | 36,369 | 4.59 | 167,115 |
| 2016-09-06 | DCA | Buy | 56,478 | 4.67 | 263,978 |
| 2016-08-15 | DCA | Buy | 18,200 | 4.61 | 83,956 |
| 2016-08-12 | DCA | Buy | 15,061 | 4.61 | 69,416 |
| 2016-08-10 | DCA | Buy | 12,600 | 4.57 | 57,594 |
| 2016-08-11 | DCA | Buy | 4,216 | 4.60 | 19,385 |
| 2016-08-09 | DCA | Buy | 32,369 | 4.57 | 147,861 |
| 2016-08-08 | DCA | Buy | 31,565 | 4.56 | 143,841 |
| 2016-08-05 | DCA | Buy | 43,200 | 4.55 | 196,732 |
| 2016-08-04 | DCA | Buy | 32,300 | 4.57 | 147,611 |
| 2016-08-01 | DCA | Buy | 17,636 | 4.59 | 81,037 |
| 2016-07-20 | DCA | Buy | 17,600 | 4.60 | 81,030 |
| 2016-07-15 | DCA | Buy | 18,448 | 4.56 | 84,122 |
| 2016-07-13 | DCA | Buy | 35,100 | 4.55 | 159,775 |
| 2016-07-14 | DCA | Buy | 19,600 | 4.56 | 89,375 |
| 2016-07-12 | DCA | Buy | 19,194 | 4.56 | 87,524 |
| 2016-07-11 | DCA | Buy | 38,358 | 4.54 | 174,260 |
| 2016-05-25 | DCA | Buy | 100 | 4.28 | 428 |
| 2016-05-19 | DCA | Buy | 34,500 | 4.23 | 146,038 |
| 2016-05-20 | DCA | Buy | 17,000 | 4.25 | 72,301 |
| 2016-05-16 | DCA | Buy | 57,799 | 4.30 | 248,477 |
| 2016-05-17 | DCA | Buy | 81,097 | 4.29 | 348,068 |
| 2016-05-12 | DCA | Buy | 83,267 | 4.31 | 358,630 |
| 2016-05-13 | DCA | Buy | 10,700 | 4.28 | 45,838 |
| 2016-05-09 | DCA | Buy | 6,200 | 4.26 | 26,412 |
| 2016-05-10 | DCA | Buy | 18,267 | 4.30 | 78,475 |
| 2016-05-04 | DCA | Buy | 21,561 | 4.26 | 91,914 |
| 2016-05-05 | DCA | Buy | 23,191 | 4.28 | 99,187 |
| 2016-05-02 | DCA | Buy | 17,103 | 4.28 | 73,252 |
| 2016-05-03 | DCA | Buy | 49,889 | 4.28 | 213,375 |
| 2016-04-28 | DCA | Buy | 25,033 | 4.27 | 106,915 |
| 2016-04-27 | DCA | Buy | 38,197 | 4.25 | 162,299 |
| 2016-04-25 | DCA | Buy | 5,702 | 4.21 | 23,994 |
| 2016-04-26 | DCA | Buy | 4,900 | 4.23 | 20,731 |
| 2016-04-19 | DCA | Buy | 7,150 | 4.27 | 30,551 |
| 2016-04-20 | DCA | Buy | 29,990 | 4.28 | 128,447 |
| 2016-04-15 | DCA | Buy | 1,200 | 4.18 | 5,021 |
| 2016-04-13 | DCA | Buy | 19,100 | 4.15 | 79,284 |
| 2016-04-14 | DCA | Buy | 898 | 4.16 | 3,735 |
| 2016-04-08 | DCA | Buy | 7,800 | 4.10 | 31,987 |
| 2016-04-11 | DCA | Buy | 45,848 | 4.13 | 189,306 |
| 2016-04-07 | DCA | Buy | 7,200 | 4.08 | 29,340 |
| 2016-04-06 | DCA | Buy | 14,000 | 4.18 | 58,548 |
| 2016-04-04 | DCA | Buy | 78,757 | 4.20 | 330,543 |
| 2016-04-05 | DCA | Buy | 21,000 | 4.17 | 87,465 |
| 2016-03-31 | DCA | Buy | 20,286 | 4.22 | 85,688 |
| 2016-04-01 | DCA | Buy | 39,300 | 4.19 | 164,549 |
| 2016-03-29 | DCA | Buy | 20,000 | 4.13 | 82,540 |
| 2016-03-28 | DCA | Buy | 100,000 | 4.08 | 408,399 |
| 2016-03-24 | DCA | Buy | 55,700 | 4.10 | 228,369 |
| 2016-03-23 | DCA | Buy | 32,600 | 4.11 | 133,855 |
| 2016-03-21 | DCA | Buy | 23,146 | 4.10 | 94,875 |
| 2016-03-22 | DCA | Buy | 84,500 | 4.11 | 347,210 |
| 2016-03-17 | DCA | Buy | 89,128 | 4.11 | 366,672 |
| 2016-03-18 | DCA | Buy | 100,000 | 4.12 | 412,200 |
| 2016-03-15 | DCA | Buy | 52,474 | 4.03 | 211,575 |
| 2016-03-16 | DCA | Buy | 67,000 | 4.04 | 270,881 |
| 2016-03-14 | DCA | Buy | 43,655 | 4.04 | 176,322 |
| 2016-03-11 | DCA | Buy | 10,316 | 4.04 | 41,728 |
Table 13. Insider trading of Mfs Intermarket Income Trust I (CMK) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2015-09-09 | CMK | Buy | 6,714 | 8.62 | 57,874 |
| 2015-09-03 | CMK | Buy | 1,975 | 8.59 | 16,965 |
| 2015-08-24 | CMK | Buy | 51,000 | 8.53 | 434,775 |
| 2015-08-17 | CMK | Buy | 25,400 | 8.65 | 219,684 |
| 2015-08-18 | CMK | Buy | 700 | 8.60 | 6,020 |
| 2015-07-22 | CMK | Buy | 500,300 | 8.64 | 4,322,592 |
| 2015-07-17 | CMK | Buy | 95,000 | 8.66 | 822,700 |
| 2015-07-15 | CMK | Buy | 100,000 | 8.52 | 852,000 |
| 2015-07-09 | CMK | Buy | 3,700 | 8.52 | 31,509 |
| 2015-07-07 | CMK | Buy | 22,062 | 8.51 | 187,813 |
| 2015-07-02 | CMK | Buy | 3,717 | 8.45 | 31,408 |
| 2015-07-06 | CMK | Buy | 6,730 | 8.49 | 57,144 |
Table 14. Insider trading of High Income Securities Fund (PCF) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2018-02-02 | PCF | Buy | 100 | 9.00 | 900 |
| 2018-02-01 | PCF | Buy | 8,700 | 9.18 | 79,883 |
| 2018-01-31 | PCF | Buy | 15,248 | 9.12 | 139,031 |
| 2018-01-30 | PCF | Buy | 3,792 | 9.12 | 34,590 |
| 2018-01-29 | PCF | Buy | 505 | 9.17 | 4,628 |
| 2018-01-25 | PCF | Buy | 3,358 | 9.19 | 30,843 |
| 2018-01-19 | PCF | Buy | 4,000 | 9.09 | 36,356 |
| 2018-01-17 | PCF | Buy | 218,600 | 9.10 | 1,989,041 |
| 2018-01-18 | PCF | Buy | 41,643 | 9.10 | 378,951 |
| 2018-01-16 | PCF | Buy | 10,500 | 9.11 | 95,686 |
| 2018-01-12 | PCF | Buy | 3,250 | 9.08 | 29,506 |
| 2018-01-10 | PCF | Buy | 1,417 | 9.12 | 12,923 |
| 2018-01-11 | PCF | Buy | 4,920 | 9.10 | 44,772 |
| 2018-01-03 | PCF | Buy | 200 | 9.06 | 1,812 |
| 2017-12-21 | PCF | Buy | 2,189 | 8.97 | 19,635 |
| 2017-11-17 | PCF | Buy | 3,164 | 8.94 | 28,282 |
| 2017-11-15 | PCF | Buy | 1,150 | 8.86 | 10,192 |
| 2017-11-13 | PCF | Buy | 7,000 | 8.92 | 62,454 |
| 2017-11-14 | PCF | Buy | 11,600 | 8.89 | 103,124 |
| 2017-11-09 | PCF | Buy | 13,208 | 8.94 | 118,053 |
| 2017-11-10 | PCF | Buy | 8,400 | 8.92 | 74,911 |
| 2017-11-08 | PCF | Buy | 4,299 | 8.97 | 38,562 |
| 2017-11-07 | PCF | Buy | 3,527 | 9.00 | 31,743 |
| 2017-11-06 | PCF | Buy | 3,033 | 8.99 | 27,266 |
| 2017-10-30 | PCF | Buy | 7,609 | 8.95 | 68,092 |
| 2017-10-26 | PCF | Buy | 16,645 | 8.92 | 148,440 |
| 2017-10-27 | PCF | Buy | 2,788 | 8.92 | 24,868 |
| 2017-10-24 | PCF | Buy | 2,996 | 8.95 | 26,814 |
| 2017-10-25 | PCF | Buy | 6,505 | 8.90 | 57,894 |
| 2017-10-23 | PCF | Buy | 1,100 | 8.93 | 9,817 |
| 2017-10-20 | PCF | Buy | 1,700 | 8.98 | 15,266 |
| 2017-10-18 | PCF | Buy | 400 | 8.95 | 3,579 |
| 2017-10-19 | PCF | Buy | 300 | 8.97 | 2,691 |
| 2017-10-04 | PCF | Buy | 7,339 | 8.92 | 65,463 |
| 2017-10-11 | PCF | Buy | 28,546 | 8.91 | 254,430 |
| 2017-09-13 | PCF | Buy | 8,108 | 8.75 | 70,977 |
| 2017-09-12 | PCF | Buy | 800 | 8.75 | 7,000 |
| 2017-09-08 | PCF | Buy | 18,200 | 8.71 | 158,522 |
| 2017-09-11 | PCF | Buy | 3,000 | 8.75 | 26,250 |
| 2017-09-06 | PCF | Buy | 35,371 | 8.69 | 307,303 |
| 2017-09-07 | PCF | Buy | 3,904 | 8.69 | 33,929 |
| 2017-02-08 | PCF | Buy | 3,500 | 8.50 | 29,750 |
| 2017-02-07 | PCF | Buy | 4,084 | 8.50 | 34,730 |
| 2017-02-03 | PCF | Buy | 57,736 | 8.44 | 487,407 |
| 2017-02-06 | PCF | Buy | 1,790 | 8.48 | 15,186 |
| 2017-02-02 | PCF | Buy | 9,658 | 8.43 | 81,426 |
| 2017-02-01 | PCF | Buy | 8,511 | 8.41 | 71,568 |
| 2017-01-30 | PCF | Buy | 10,068 | 8.38 | 84,369 |
| 2017-01-31 | PCF | Buy | 21,744 | 8.38 | 182,214 |
| 2017-01-27 | PCF | Buy | 10,508 | 8.47 | 89,044 |
| 2017-01-26 | PCF | Buy | 33,310 | 8.42 | 280,470 |
Table 15. Insider trading of Aberdeen Emerging Markets Equity Income Fund, Inc. (CH) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2017-12-05 | CH | Sale | 2,590 | 7.85 | 20,331 |
| 2017-11-08 | CH | Sale | 2,300 | 8.86 | 20,371 |
| 2017-10-06 | CH | Sale | 27,181 | 8.99 | 244,330 |
Table 16. Insider trading of Firsthand Technology Value Fund, Inc. (SVVC) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2015-04-22 | SVVC | Sale | 6,693 | 15.26 | 102,148 |
| 2015-04-23 | SVVC | Sale | 7,918 | 15.29 | 121,058 |
| 2015-04-20 | SVVC | Sale | 3,478 | 15.11 | 52,545 |
| 2015-04-21 | SVVC | Sale | 5,273 | 15.16 | 79,917 |
| 2015-02-06 | SVVC | Sale | 91 | 15.00 | 1,365 |
| 2015-02-09 | SVVC | Sale | 945 | 15.00 | 14,175 |
| 2015-01-30 | SVVC | Sale | 1,376 | 15.95 | 21,947 |
| 2015-01-28 | SVVC | Sale | 13,000 | 16.15 | 209,988 |
| 2015-01-26 | SVVC | Sale | 200 | 17.10 | 3,420 |
| 2015-01-22 | SVVC | Sale | 2,667 | 18.40 | 49,072 |
| 2015-01-20 | SVVC | Sale | 18,423 | 18.52 | 341,193 |
| 2015-01-21 | SVVC | Sale | 34,422 | 18.41 | 633,640 |
| 2015-01-15 | SVVC | Sale | 14,984 | 18.60 | 278,747 |
| 2015-01-16 | SVVC | Sale | 5,242 | 18.50 | 96,977 |
| 2014-12-16 | SVVC | Sale | 3,100 | 19.10 | 59,210 |
| 2014-12-15 | SVVC | Sale | 1,987 | 19.15 | 38,051 |
| 2014-12-12 | SVVC | Sale | 9,264 | 19.16 | 177,516 |
| 2014-12-04 | SVVC | Sale | 147,044 | 19.60 | 2,882,062 |
| 2014-12-02 | SVVC | Sale | 7,949 | 22.66 | 180,132 |
| 2014-11-24 | SVVC | Sale | 2,419 | 22.60 | 54,664 |
| 2014-11-26 | SVVC | Sale | 13,512 | 22.54 | 304,573 |
| 2014-12-01 | SVVC | Sale | 1,590 | 22.53 | 35,824 |
| 2014-03-06 | SVVC | Buy | 500 | 23.64 | 11,820 |
| 2014-02-26 | SVVC | Buy | 277 | 23.69 | 6,561 |
| 2014-03-04 | SVVC | Buy | 12,146 | 23.70 | 287,811 |
| 2014-03-05 | SVVC | Buy | 43,328 | 23.31 | 1,009,932 |
Table 17. Insider trading of Alliance California Municipal Income Fund (AKP) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2018-10-03 | AKP | Buy | 9,000 | 13.59 | 122,346 |
| 2018-10-04 | AKP | Buy | 17,720 | 13.36 | 236,774 |
| 2018-10-02 | AKP | Buy | 8,353 | 13.62 | 113,759 |
| 2018-10-01 | AKP | Buy | 1,110 | 13.61 | 15,107 |
| 2018-09-28 | AKP | Buy | 100 | 13.50 | 1,350 |
| 2018-09-25 | AKP | Buy | 2,200 | 13.45 | 29,579 |
| 2018-09-24 | AKP | Buy | 300 | 13.45 | 4,034 |
| 2018-08-29 | AKP | Buy | 6,408 | 13.80 | 88,417 |
| 2018-08-30 | AKP | Buy | 12,200 | 13.80 | 168,347 |
| 2018-08-27 | AKP | Buy | 8,200 | 13.76 | 112,832 |
Table 18. Insider trading of Korea Equity Fund Inc (KEF) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2017-06-20 | KEF | Buy | 25,000 | 9.54 | 238,499 |
| 2017-06-21 | KEF | Buy | 20,200 | 9.53 | 192,485 |
| 2017-06-15 | KEF | Buy | 3,700 | 9.51 | 35,194 |
| 2017-06-12 | KEF | Buy | 50,000 | 9.53 | 476,499 |
| 2017-06-07 | KEF | Buy | 250,000 | 9.53 | 2,382,500 |
| 2017-06-05 | KEF | Buy | 100,000 | 9.54 | 953,999 |
| 2017-06-06 | KEF | Buy | 500 | 9.52 | 4,760 |
| 2017-05-03 | KEF | Buy | 25,600 | 9.07 | 232,192 |
| 2017-04-28 | KEF | Buy | 6,396 | 8.96 | 57,308 |
| 2017-04-24 | KEF | Buy | 10,000 | 8.78 | 87,800 |
| 2017-04-18 | KEF | Buy | 10,000 | 8.61 | 86,100 |
| 2017-04-12 | KEF | Buy | 10,000 | 8.52 | 85,200 |
| 2017-04-13 | KEF | Buy | 10,500 | 8.63 | 90,604 |
| 2017-04-11 | KEF | Buy | 432 | 8.47 | 3,659 |
| 2017-04-10 | KEF | Buy | 7,000 | 8.51 | 59,570 |
| 2017-03-31 | KEF | Buy | 5,803 | 8.78 | 50,932 |
| 2017-04-03 | KEF | Buy | 4,559 | 8.79 | 40,091 |
| 2017-03-28 | KEF | Buy | 22,500 | 8.66 | 194,850 |
| 2017-03-29 | KEF | Buy | 200 | 8.67 | 1,734 |
| 2017-03-24 | KEF | Buy | 25,500 | 8.70 | 221,849 |
| 2017-03-22 | KEF | Buy | 4,300 | 8.62 | 37,070 |
| 2017-03-21 | KEF | Buy | 403 | 8.64 | 3,481 |
| 2017-03-20 | KEF | Buy | 503 | 8.65 | 4,352 |
| 2017-03-10 | KEF | Buy | 12,500 | 8.19 | 102,375 |
| 2017-03-08 | KEF | Buy | 1,400 | 8.06 | 11,284 |
| 2017-03-06 | KEF | Buy | 25,000 | 8.09 | 202,250 |
| 2017-03-07 | KEF | Buy | 25,402 | 8.17 | 207,534 |
| 2017-02-28 | KEF | Buy | 5,300 | 8.23 | 43,603 |
| 2017-03-01 | KEF | Buy | 50,000 | 8.24 | 412,000 |
| 2017-02-21 | KEF | Buy | 7,500 | 8.25 | 61,859 |
| 2017-02-22 | KEF | Buy | 50,000 | 8.30 | 415,000 |
| 2017-02-16 | KEF | Buy | 38,646 | 8.21 | 317,283 |
| 2017-02-17 | KEF | Buy | 23,600 | 8.16 | 192,576 |
| 2017-02-14 | KEF | Buy | 7,400 | 8.20 | 60,672 |
| 2017-02-09 | KEF | Buy | 48,900 | 8.18 | 400,002 |
| 2017-02-08 | KEF | Buy | 50,000 | 8.14 | 407,000 |
Table 19. Insider trading of Nuveen Global Value Opportunities Fund (JGV) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2016-09-28 | JGV | Buy | 18,049 | 11.89 | 214,566 |
| 2016-09-21 | JGV | Buy | 50,100 | 11.85 | 593,835 |
| 2016-09-22 | JGV | Buy | 1,043 | 11.97 | 12,484 |
| 2016-09-19 | JGV | Buy | 1,000 | 11.78 | 11,781 |
| 2016-09-15 | JGV | Buy | 14,300 | 11.74 | 167,882 |
| 2016-09-16 | JGV | Buy | 11,200 | 11.65 | 130,491 |
| 2016-09-13 | JGV | Buy | 1,004 | 11.71 | 11,755 |
| 2016-09-12 | JGV | Buy | 7,017 | 12.04 | 84,477 |
| 2016-09-07 | JGV | Buy | 14,200 | 12.26 | 174,063 |
| 2016-09-08 | JGV | Buy | 7,300 | 12.29 | 89,687 |
| 2016-09-02 | JGV | Buy | 37,634 | 12.22 | 459,736 |
| 2016-08-31 | JGV | Buy | 30,149 | 12.13 | 365,767 |
| 2016-08-30 | JGV | Buy | 28,253 | 12.17 | 343,952 |
| 2016-08-29 | JGV | Buy | 17,204 | 12.16 | 209,131 |
| 2016-08-26 | JGV | Buy | 700 | 12.13 | 8,488 |
| 2016-08-25 | JGV | Buy | 7,400 | 12.13 | 89,739 |
| 2016-08-23 | JGV | Buy | 15,320 | 12.18 | 186,536 |
| 2016-08-24 | JGV | Buy | 4,849 | 12.15 | 58,934 |
| 2016-08-19 | JGV | Buy | 2,710 | 12.05 | 32,669 |
| 2016-08-22 | JGV | Buy | 2,381 | 12.08 | 28,762 |
| 2016-08-17 | JGV | Buy | 6,899 | 12.10 | 83,450 |
| 2016-08-18 | JGV | Buy | 8,202 | 12.12 | 99,416 |
| 2016-08-15 | JGV | Buy | 16,300 | 12.18 | 198,485 |
| 2016-08-12 | JGV | Buy | 6,635 | 12.14 | 80,542 |
| 2016-08-10 | JGV | Buy | 107 | 12.09 | 1,293 |
| 2016-08-11 | JGV | Buy | 3,000 | 12.11 | 36,330 |
| 2016-08-09 | JGV | Buy | 17,452 | 12.06 | 210,540 |
| 2016-08-08 | JGV | Buy | 17,952 | 12.03 | 215,890 |
| 2016-08-05 | JGV | Buy | 16,300 | 11.96 | 195,013 |
| 2016-08-04 | JGV | Buy | 14,600 | 11.88 | 173,433 |
| 2016-08-02 | JGV | Buy | 13,396 | 11.87 | 159,037 |
| 2016-08-03 | JGV | Buy | 21,994 | 11.87 | 261,156 |
| 2016-07-28 | JGV | Buy | 10,100 | 12.11 | 122,260 |
| 2016-07-29 | JGV | Buy | 900 | 12.11 | 10,902 |
| 2016-07-26 | JGV | Buy | 2,100 | 12.12 | 25,449 |
| 2016-07-25 | JGV | Buy | 2,376 | 12.09 | 28,725 |
| 2016-07-21 | JGV | Buy | 12,239 | 12.07 | 147,700 |
| 2016-07-22 | JGV | Buy | 12,231 | 12.11 | 148,068 |
| 2016-07-19 | JGV | Buy | 8,873 | 12.03 | 106,706 |
| 2016-07-20 | JGV | Buy | 25,751 | 12.09 | 311,252 |
| 2016-07-15 | JGV | Buy | 7,800 | 12.06 | 94,099 |
| 2016-07-18 | JGV | Buy | 7,359 | 12.09 | 88,999 |
| 2016-07-13 | JGV | Buy | 14,994 | 12.01 | 180,002 |
| 2016-07-14 | JGV | Buy | 10,075 | 12.09 | 121,756 |
| 2016-07-12 | JGV | Buy | 15,192 | 12.00 | 182,273 |
| 2016-07-11 | JGV | Buy | 23,724 | 11.88 | 281,793 |
| 2016-07-08 | JGV | Buy | 10,900 | 11.76 | 128,140 |
| 2016-07-07 | JGV | Buy | 7,900 | 11.59 | 91,553 |
| 2016-06-30 | JGV | Buy | 1,700 | 11.52 | 19,575 |
| 2016-06-29 | JGV | Buy | 10,100 | 11.43 | 115,443 |
| 2016-06-28 | JGV | Buy | 5,500 | 11.22 | 61,699 |
| 2016-06-24 | JGV | Buy | 8,100 | 11.38 | 92,169 |
| 2016-06-20 | JGV | Buy | 25,000 | 11.61 | 290,175 |
| 2016-06-17 | JGV | Buy | 15,361 | 11.41 | 175,238 |
| 2016-06-20 | JGV | Buy | 25,000 | 11.61 | 290,175 |
| 2016-06-17 | JGV | Buy | 15,361 | 11.41 | 175,238 |
| 2016-06-20 | JGV | Buy | 25,000 | 11.61 | 290,175 |
| 2016-06-17 | JGV | Buy | 15,361 | 11.41 | 175,238 |
| 2016-06-14 | JGV | Buy | 19,573 | 11.30 | 221,272 |
| 2016-06-13 | JGV | Buy | 18,378 | 11.41 | 209,619 |
| 2016-06-09 | JGV | Buy | 22,368 | 11.98 | 267,968 |
| 2016-06-10 | JGV | Buy | 2,398 | 11.82 | 28,337 |
| 2016-06-08 | JGV | Buy | 24,600 | 12.07 | 296,995 |
| 2016-06-07 | JGV | Buy | 2,099 | 11.98 | 25,146 |
| 2016-06-03 | JGV | Buy | 1,700 | 11.89 | 20,213 |
| 2016-05-26 | JGV | Buy | 8,600 | 11.79 | 101,393 |
| 2016-05-24 | JGV | Buy | 7,848 | 11.63 | 91,295 |
| 2016-05-25 | JGV | Buy | 31,100 | 11.74 | 365,269 |
| 2016-05-23 | JGV | Buy | 9,756 | 11.50 | 112,184 |
| 2016-05-20 | JGV | Buy | 22,000 | 11.47 | 252,296 |
| 2016-05-19 | JGV | Buy | 8,932 | 11.34 | 101,244 |
| 2016-05-18 | JGV | Buy | 17,500 | 11.39 | 199,360 |
| 2016-04-15 | JGV | Buy | 2,700 | 10.92 | 29,484 |
| 2016-04-18 | JGV | Buy | 200 | 11.01 | 2,202 |
| 2016-04-04 | JGV | Buy | 8,135 | 10.81 | 87,931 |
Table 20. Insider trading of Keating Capital Inc (XRDC) by Samuels Steven
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2017-06-07 | XRDC | Sale | 28,479 | 2.17 | 61,799 |
| 2017-06-07 | XRDC | Buy | 28,479 | 2.17 | 61,799 |
| 2015-07-09 | BDCV | Buy | 10,000 | 4.78 | 47,820 |
| 2015-07-10 | BDCV | Buy | 1,000 | 4.60 | 4,600 |
| 2015-07-08 | BDCV | Buy | 400 | 4.62 | 1,848 |
| 2015-07-07 | BDCV | Buy | 178 | 4.69 | 835 |
| 2015-06-29 | BDCV | Buy | 862 | 4.50 | 3,879 |
| 2015-06-19 | BDCV | Buy | 21,176 | 4.75 | 100,522 |
| 2015-06-17 | BDCV | Buy | 4,600 | 4.80 | 22,080 |
| 2015-06-18 | BDCV | Buy | 5,294 | 4.75 | 25,146 |
| 2015-05-12 | BDCV | Buy | 2,351 | 5.10 | 11,990 |
| 2015-05-13 | BDCV | Buy | 100 | 5.10 | 509 |
| 2015-05-11 | BDCV | Buy | 3,158 | 5.10 | 16,102 |
| 2015-05-08 | BDCV | Buy | 800 | 5.10 | 4,079 |
| 2015-04-29 | BDCV | Buy | 20,419 | 5.10 | 104,136 |
| 2015-04-23 | BDCV | Buy | 8,538 | 5.02 | 42,835 |
| 2015-04-22 | BDCV | Buy | 4,389 | 5.00 | 21,945 |
| 2015-04-21 | BDCV | Buy | 16,122 | 5.02 | 80,867 |
| 2015-04-17 | BDCV | Buy | 4,100 | 5.00 | 20,500 |
| 2015-04-20 | BDCV | Buy | 2,697 | 5.00 | 13,485 |
Insider trading activities including stock purchases, stock sales, and option exercises
listed in the above table cannot be completely guaranteed as to their accuracy.
For more information regarding the trades made by Samuels Steven
(Other of Alliance California Municipal Income Fund at the time of this reporting) see
the Securities and Exchange Commission (SEC) website.