| Oct 5, 2018 PForm 4 → | Oct 9, 2:02 pm EDT | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUNDAKP | 13,948 | $13.41 | $187,061 | 634,121 | +2.25% | plan? |
| Oct 3, 2018 PForm 4 → | Oct 5, 2:13 pm EDT | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUNDAKP | 26,720 | $13.44 | $359,122 | 620,173 | +4.50% | plan? |
| Oct 1, 2018 PForm 4 → | Oct 3, 12:43 pm EDT | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUNDAKP | 9,463 | $13.62 | $128,866 | 593,453 | +1.62% | plan? |
| Oct 1, 2018 JForm 4 → | Oct 1, 12:40 pm EDT | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUNDAKP | 149,565 | — | — | 583,990 | — | plan? |
| Sep 28, 2018 PForm 4 → | Oct 1, 12:40 pm EDT | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUNDAKP | 100 | $13.50 | $1,350 | 733,555 | +0.01% | plan? |
| Sep 24, 2018 PForm 4 → | Sep 26, 2:19 pm EDT | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUNDAKP | 2,500 | $13.45 | $33,613 | 733,455 | +0.34% | plan? |
| Aug 29, 2018 PForm 4 → | Aug 31, 10:46 am EDT | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUNDAKP | 18,608 | $13.80 | $256,765 | 730,955 | +2.61% | plan? |
| Aug 27, 2018 PForm 4 → | Aug 29, 2:47 pm EDT | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUNDAKP | 8,200 | $13.76 | $112,832 | 712,347 | +1.16% | plan? |
| Jun 6, 2018 JForm 4 → | Jun 7, 10:38 am EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 90,422 | — | — | 1,467,199 | — | plan? |
| Feb 2, 2018 PForm 4 → | Feb 6, 12:52 pm EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 100 | $9.00 | $900 | 1,557,621 | +0.01% | plan? |
| Jan 31, 2018 PForm 4 → | Feb 2, 11:22 am EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 23,948 | $9.14 | $218,906 | 1,557,521 | +1.56% | plan? |
| Jan 29, 2018 PForm 4 → | Jan 31, 1:45 pm EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 4,297 | $9.13 | $39,220 | 933 | — | plan? |
| Jan 25, 2018 PForm 4 → | Jan 29, 1:33 pm EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 3,358 | $9.19 | $30,844 | 1,533,573 | +0.22% | plan? |
| Jan 19, 2018 PForm 4 → | Jan 23, 11:17 am EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 4,000 | $9.09 | $36,355 | 1,530,215 | +0.26% | plan? |
| Jan 17, 2018 PForm 4 → | Jan 19, 4:38 pm EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 260,243 | $9.10 | $2,368,076 | 1,526,215 | +20.6% | plan? |
| Jan 12, 2018 PForm 4 → | Jan 17, 11:47 am EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 13,750 | $9.10 | $125,192 | 1,265,972 | +1.10% | plan? |
| Jan 10, 2018 PForm 4 → | Jan 12, 12:37 pm EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 6,337 | $9.10 | $57,695 | 1,252,222 | +0.51% | plan? |
| Jan 3, 2018 PForm 4 → | Jan 5, 12:17 pm EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 200 | $9.06 | $1,812 | 1,245,885 | +0.02% | plan? |
| Dec 21, 2017 PForm 4 → | Dec 26, 12:06 pm EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 2,189 | $8.97 | $19,635 | 1,245,685 | +0.18% | plan? |
| Dec 5, 2017 SForm 4 → | Dec 7, 3:56 pm EST | ABERDEEN CHILE FUND, INC.CH | 2,590 | $7.85 | $20,332 | 21,107 | −10.9% | plan? |
| Nov 17, 2017 PForm 4 → | Nov 21, 10:56 am EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 3,164 | $8.94 | $28,284 | 1,243,496 | +0.26% | plan? |
| Nov 15, 2017 PForm 4 → | Nov 17, 11:23 am EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 1,150 | $8.86 | $10,192 | 1,240,332 | +0.09% | plan? |
| Nov 13, 2017 PForm 4 → | Nov 15, 11:33 am EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 18,600 | $8.90 | $165,569 | 1,239,182 | +1.52% | plan? |
| Nov 8, 2017 PForm 4 → | Nov 13, 12:31 pm EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 25,907 | $8.94 | $231,531 | 1,220,582 | +2.17% | plan? late |
| Nov 8, 2017 SForm 4 → | Nov 13, 11:24 am EST | ABERDEEN CHILE FUND, INC.CH | 2,300 | $8.86 | $20,371 | 22,820 | −9.16% | plan? late |
| Nov 6, 2017 PForm 4 → | Nov 8, 12:17 pm EST | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 6,560 | $9.00 | $59,010 | 1,194,675 | +0.55% | plan? |
| Oct 30, 2017 PForm 4 → | Nov 1, 10:47 am EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 7,609 | $8.95 | $68,094 | 1,188,115 | +0.64% | plan? |
| Oct 26, 2017 PForm 4 → | Oct 30, 12:18 pm EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 19,433 | $8.92 | $173,311 | 1,180,506 | +1.67% | plan? |
| Oct 24, 2017 PForm 4 → | Oct 26, 11:21 am EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 9,501 | $8.92 | $84,709 | 1,161,073 | +0.83% | plan? |
| Oct 20, 2017 PForm 4 → | Oct 24, 10:36 am EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 2,800 | $8.96 | $25,083 | 1,151,572 | +0.24% | plan? |
| Oct 18, 2017 PForm 4 → | Oct 20, 11:34 am EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 700 | $8.96 | $6,271 | 1,148,772 | +0.06% | plan? |
| Oct 6, 2017 SForm 4 → | Oct 10, 1:35 pm EDT | ABERDEEN CHILE FUND, INC.CH | 27,181 | $8.99 | $244,333 | 917,955 | −2.88% | plan? |
| Oct 4, 2017 PForm 4 → | Oct 13, 2:58 pm EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 35,885 | $8.91 | $319,880 | 1,148,072 | +3.23% | plan? late |
| Sep 15, 2017 PForm 4 → | Sep 19, 10:43 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 22,517 | $4.86 | $109,484 | 845,368 | +2.74% | plan? |
| Sep 12, 2017 PForm 4 → | Sep 14, 12:16 pm EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 8,908 | $8.75 | $77,976 | 1,112,187 | +0.81% | plan? |
| Sep 8, 2017 PForm 4 → | Sep 12, 11:11 am EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 21,200 | $8.72 | $184,768 | 2,000 | — | plan? |
| Sep 6, 2017 PForm 4 → | Sep 8, 1:25 pm EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 39,275 | $8.69 | $341,137 | 1,085,079 | +3.76% | plan? |
| Sep 1, 2017 JForm 4 → | Sep 1, 12:53 pm EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 22,517 | — | — | 822,851 | — | plan? |
| Sep 1, 2017 JForm 4 → | Sep 1, 12:10 pm EDT | PUTNAM HIGH INCOME SECURITIES FUNDPCF | 32,371 | — | — | 1,059,576 | — | plan? |
| Aug 10, 2017 JForm 4 → | Aug 21, 5:03 pm EDT | PUTNAM MUNICIPAL OPPORTUNITIES TRUSTPMO | 400 | $22,437.50 | $8,975,000 | 0 | — | plan? late |
| Jul 7, 2017 PForm 4 → | Jul 11, 9:35 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 15,500 | $7.96 | $123,380 | 1,408,152 | +1.11% | plan? |
| Jun 27, 2017 PForm 4 → | Jun 29, 12:15 pm EDT | PACHOLDER HIGH YIELD FUND INCPHF | 75,000 | $7.93 | $594,902 | 1,392,652 | +5.69% | plan? |
| Jun 25, 2017 PForm 4 → | Jun 27, 11:23 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 14,600 | $7.94 | $115,924 | 1,317,652 | +1.12% | plan? |
| Jun 21, 2017 PForm 4 → | Jun 23, 9:37 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 20,000 | $7.95 | $158,924 | 1,303,052 | +1.56% | plan? |
| Jun 20, 2017 PForm 4 → | Jun 22, 9:51 am EDT | KOREA EQUITY FUND INCKEF | 45,200 | $9.54 | $430,986 | 1,726,574 | +2.69% | plan? |
| Jun 19, 2017 PForm 4 → | Jun 21, 12:10 pm EDT | PACHOLDER HIGH YIELD FUND INCPHF | 28,200 | $7.95 | $224,112 | 1,283,052 | +2.25% | plan? |
| Jun 15, 2017 PForm 4 → | Jun 19, 10:43 am EDT | KOREA EQUITY FUND INCKEF | 3,700 | $9.51 | $35,196 | 1,681,374 | +0.22% | plan? |
| Jun 13, 2017 PForm 4 → | Jun 15, 2:55 pm EDT | PACHOLDER HIGH YIELD FUND INCPHF | 2,800 | $7.95 | $22,260 | 1,254,852 | +0.22% | plan? |
| Jun 12, 2017 PForm 4 → | Jun 14, 1:12 pm EDT | KOREA EQUITY FUND INCKEF | 50,000 | $9.53 | $476,500 | 1,677,674 | +3.07% | plan? |
| Jun 9, 2017 PForm 4 → | Jun 13, 10:54 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 7,500 | $19.82 | $148,650 | 845,368 | +0.90% | plan? |
| Jun 8, 2017 PForm 4 → | Jun 12, 9:40 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 500 | $7.95 | $3,975 | 1,252,052 | +0.04% | plan? |
| Jun 7, 2017 PForm 4 → | Jun 9, 9:30 am EDT | KOREA EQUITY FUND INCKEF | 250,000 | $9.53 | $2,382,500 | 1,627,674 | +18.1% | plan? |
| Jun 7, 2017 PForm 4 → | Jun 8, 4:31 pm EDT | CROSSROADS CAPITAL, INC.XRDC | 28,479 | $2.17 | $61,799 | 826,327 | +3.57% | plan? |
| Jun 7, 2017 SForm 4 → | Jun 8, 4:31 pm EDT | CROSSROADS CAPITAL, INC.XRDC | 28,479 | $2.17 | $61,799 | 797,848 | −3.45% | plan? |
| Jun 6, 2017 PForm 4 → | Jun 8, 11:01 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 11,525 | $7.95 | $91,624 | 1,251,552 | +0.93% | plan? |
| Jun 5, 2017 PForm 4 → | Jun 7, 9:32 am EDT | KOREA EQUITY FUND INCKEF | 100,500 | $9.54 | $958,760 | 1,377,674 | +7.87% | plan? |
| Jun 1, 2017 PForm 4 → | Jun 5, 10:27 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 25,000 | $19.69 | $492,250 | 837,868 | +3.08% | plan? |
| May 31, 2017 PForm 4 → | Jun 2, 11:03 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 3,912 | $7.95 | $31,098 | 1,240,027 | +0.32% | plan? |
| May 26, 2017 PForm 4 → | May 31, 9:49 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 50,000 | $19.67 | $983,500 | 812,868 | +6.55% | plan? |
| May 25, 2017 PForm 4 → | May 30, 10:36 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 8,347 | $7.94 | $66,275 | 1,236,115 | +0.68% | plan? |
| May 24, 2017 PForm 4 → | May 26, 11:58 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 10,000 | $19.60 | $195,982 | 762,868 | +1.33% | plan? |
| May 23, 2017 PForm 4 → | May 25, 11:06 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 6,638 | $7.96 | $52,814 | 1,227,768 | +0.54% | plan? |
| May 22, 2017 PForm 4 → | May 24, 10:05 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 40,000 | $19.68 | $787,210 | 752,868 | +5.61% | plan? |
| May 19, 2017 PForm 4 → | May 23, 11:20 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 10,664 | $7.96 | $84,845 | 1,221,130 | +0.88% | plan? |
| May 17, 2017 PForm 4 → | May 19, 12:48 pm EDT | PACHOLDER HIGH YIELD FUND INCPHF | 27,909 | $7.95 | $221,998 | 1,210,466 | +2.36% | plan? |
| May 17, 2017 PForm 4 → | May 19, 12:45 pm EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 2,100 | $19.66 | $41,286 | 712,868 | +0.30% | plan? |
| May 17, 2017 SForm 4 → | May 18, 12:38 pm EDT | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM | 81,508 | $8.74 | $712,255 | 927,037 | −8.08% | plan? |
| May 15, 2017 SForm 4 → | May 17, 12:13 pm EDT | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM | 70,165 | $8.75 | $613,651 | 1,008,545 | −6.50% | plan? |
| May 15, 2017 PForm 4 → | May 17, 11:58 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 10,000 | $19.66 | $196,556 | 710,768 | +1.43% | plan? |
| May 15, 2017 PForm 4 → | May 17, 11:54 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 8,100 | $7.91 | $64,066 | 1,182,557 | +0.69% | plan? |
| May 11, 2017 PForm 4 → | May 15, 10:18 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 21,572 | $19.42 | $418,833 | 700,768 | +3.18% | plan? |
| May 9, 2017 PForm 4 → | May 11, 11:59 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 14,202 | $7.90 | $112,187 | 1,174,457 | +1.22% | plan? |
| May 8, 2017 PForm 4 → | May 10, 10:26 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 12,500 | $19.01 | $237,625 | 679,196 | +1.87% | plan? |
| May 5, 2017 PForm 4 → | May 9, 10:25 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 13,970 | $7.90 | $110,350 | 1,160,255 | +1.22% | plan? |
| May 3, 2017 PForm 4 → | May 5, 10:49 am EDT | KOREA EQUITY FUND INCKEF | 25,600 | $9.08 | $232,436 | 1,277,174 | +2.05% | plan? |
| May 3, 2017 PForm 4 → | May 5, 10:46 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 900 | $7.90 | $7,110 | 1,146,285 | +0.08% | plan? |
| Apr 28, 2017 PForm 4 → | May 2, 11:32 am EDT | KOREA EQUITY FUND INCKEF | 6,396 | $8.96 | $57,308 | 1,251,574 | +0.51% | plan? |
| Apr 28, 2017 PForm 4 → | May 2, 11:22 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 1,341 | $7.87 | $10,554 | 1,145,385 | +0.12% | plan? |
| Apr 27, 2017 PForm 4 → | May 1, 10:59 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 10,000 | $19.05 | $190,500 | 666,696 | +1.52% | plan? |
| Apr 24, 2017 PForm 4 → | Apr 26, 11:59 am EDT | KOREA EQUITY FUND INCKEF | 10,000 | $8.78 | $87,800 | 1,245,178 | +0.81% | plan? |
| Apr 24, 2017 PForm 4 → | Apr 26, 11:56 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 10,000 | $18.63 | $186,300 | 656,696 | +1.55% | plan? |
| Apr 19, 2017 PForm 4 → | Apr 21, 12:24 pm EDT | PACHOLDER HIGH YIELD FUND INCPHF | 8,600 | $7.84 | $67,447 | 1,144,044 | +0.76% | plan? |
| Apr 18, 2017 PForm 4 → | Apr 20, 9:58 am EDT | KOREA EQUITY FUND INCKEF | 10,000 | $8.61 | $86,101 | 1,235,178 | +0.82% | plan? |
| Apr 17, 2017 PForm 4 → | Apr 19, 12:31 pm EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 29,880 | $18.31 | $547,105 | 646,696 | +4.84% | plan? |
| Apr 17, 2017 PForm 4 → | Apr 19, 11:44 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 7,699 | $7.84 | $60,360 | 1,135,444 | +0.68% | plan? |
| Apr 13, 2017 PForm 4 → | Apr 17, 11:16 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 1,523 | $7.84 | $11,940 | 1,127,745 | +0.14% | plan? |
| Apr 12, 2017 PForm 4 → | Apr 14, 1:18 pm EDT | KOREA EQUITY FUND INCKEF | 20,500 | $8.58 | $175,805 | 1,225,178 | +1.70% | plan? |
| Apr 11, 2017 PForm 4 → | Apr 13, 10:39 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 20,000 | $18.43 | $368,600 | 616,816 | +3.35% | plan? |
| Apr 11, 2017 PForm 4 → | Apr 13, 10:35 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 4,511 | $7.84 | $35,366 | 1,126,222 | +0.40% | plan? |
| Apr 10, 2017 PForm 4 → | Apr 12, 11:33 am EDT | KOREA EQUITY FUND INCKEF | 7,432 | $8.51 | $63,229 | 1,204,678 | +0.62% | plan? |
| Apr 4, 2017 PForm 4 → | Apr 6, 11:16 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 11,361 | $18.40 | $209,042 | 596,816 | +1.94% | plan? |
| Mar 31, 2017 PForm 4 → | Apr 4, 10:29 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 83,599 | $18.40 | $1,537,941 | 585,455 | +16.7% | plan? |
| Mar 31, 2017 PForm 4 → | Apr 4, 9:55 am EDT | KOREA EQUITY FUND INCKEF | 10,362 | $8.78 | $91,024 | 1,197,246 | +0.87% | plan? |
| Mar 28, 2017 PForm 4 → | Mar 30, 10:43 am EDT | KOREA EQUITY FUND INCKEF | 22,700 | $8.66 | $196,584 | 1,186,884 | +1.95% | plan? |
| Mar 28, 2017 PForm 4 → | Mar 30, 9:45 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 15,000 | $18.43 | $276,450 | 501,856 | +3.08% | plan? |
| Mar 24, 2017 PForm 4 → | Mar 28, 11:10 am EDT | JPMORGAN CHINA REGION FUND, INC.JFC | 12,000 | $18.35 | $220,235 | 486,856 | +2.53% | plan? |
| Mar 24, 2017 PForm 4 → | Mar 28, 11:05 am EDT | KOREA EQUITY FUND INCKEF | 25,500 | $8.70 | $221,845 | 1,164,184 | +2.24% | plan? |
| Mar 22, 2017 PForm 4 → | Mar 24, 10:02 am EDT | KOREA EQUITY FUND INCKEF | 4,300 | $8.62 | $37,072 | 1,138,684 | +0.38% | plan? |
| Mar 22, 2017 PForm 4 → | Mar 24, 10:00 am EDT | PACHOLDER HIGH YIELD FUND INCPHF | 2,300 | $7.71 | $17,742 | 1,121,711 | +0.21% | plan? |
| Mar 22, 2017 SForm 4 → | Mar 23, 12:33 pm EDT | Virtus Total Return FundDCA | 2,636,634 | $4.87 | $12,842,253 | 1,553,860 | −62.9% | plan? |