| Jul 2, 2015 PForm 4/A → | Sep 8, 4:09 pm EDT | MFS INTERMARKET INCOME TRUST ICMK | 10,447 | $8.48 | $88,550 | 789,555 | +1.34% | plan? |
| Jul 2, 2015 PForm 4 → | Jul 7, 10:33 am EDT | MFS INTERMARKET INCOME TRUST ICMK | 10,447 | $8.48 | $88,550 | 794,955 | +1.33% | plan? amended |
| Jun 29, 2015 PForm 4 → | Jul 1, 1:56 pm EDT | BDCA VENTURE, INC.BDCV | 862 | $4.50 | $3,879 | 814,749 | +0.11% | plan? |
| Jun 24, 2015 XForm 4 → | Jun 26, 1:10 pm EDT | IMPERIAL HOLDINGS, INC.IFT | 1,305,849 | $5.75 | $7,508,632 | 2,991,124 | — | plan? |
| Jun 19, 2015 PForm 4 → | Jun 23, 12:42 pm EDT | BDCA VENTURE, INC.BDCV | 21,176 | $4.75 | $100,520 | 813,887 | +2.67% | plan? |
| Jun 17, 2015 PForm 4 → | Jun 19, 11:58 am EDT | BDCA VENTURE, INC.BDCV | 9,894 | $4.77 | $47,227 | 792,711 | +1.26% | plan? |
| Jun 16, 2015 PForm 4 → | Jun 18, 10:43 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 8,739 | $12.19 | $106,568 | 1,239,995 | +0.71% | plan? |
| Jun 11, 2015 PForm 4 → | Jun 15, 12:40 pm EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 22,412 | $12.22 | $273,873 | 1,231,256 | +1.85% | plan? |
| Jun 9, 2015 PForm 4 → | Jun 11, 11:51 am EDT | DEUTSCHE GLOBAL HIGH INCOME FUND, INC.LBF | 1,028 | $8.18 | $8,409 | 589,823 | +0.17% | plan? |
| Jun 2, 2015 PForm 4 → | Jun 4, 11:14 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 5,431 | $12.42 | $67,473 | 1,208,844 | +0.45% | plan? |
| Jun 1, 2015 PForm 4 → | Jun 4, 12:02 pm EDT | DEUTSCHE GLOBAL HIGH INCOME FUND, INC.LBF | 43,955 | $8.33 | $366,141 | 588,795 | +8.07% | plan? late |
| May 29, 2015 PForm 4 → | Jun 2, 11:25 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 547 | $12.48 | $6,829 | 1,203,413 | +0.05% | plan? |
| May 28, 2015 PForm 4 → | Jun 1, 12:10 pm EDT | DEUTSCHE GLOBAL HIGH INCOME FUND, INC.LBF | 69,573 | $8.33 | $579,239 | 544,840 | +14.6% | plan? |
| May 18, 2015 PForm 4 → | May 20, 1:59 pm EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 13,133 | $12.68 | $166,556 | 1,202,866 | +1.10% | plan? |
| May 14, 2015 PForm 4 → | May 18, 10:07 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 19,822 | $12.61 | $249,992 | 1,189,733 | +1.69% | plan? |
| May 12, 2015 PForm 4 → | May 14, 12:23 pm EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 4,831 | $12.51 | $60,432 | 1,169,911 | +0.41% | plan? |
| May 12, 2015 PForm 4 → | May 14, 12:19 pm EDT | BDCA VENTURE, INC.BDCV | 2,451 | $5.10 | $12,500 | 782,817 | +0.31% | plan? |
| May 8, 2015 PForm 4 → | May 12, 2:03 pm EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 26,304 | $12.62 | $331,992 | 1,165,080 | +2.31% | plan? |
| May 8, 2015 PForm 4 → | May 12, 11:12 am EDT | BDCA VENTURE, INC.BDCV | 3,958 | $5.10 | $20,182 | 780,366 | +0.51% | plan? |
| May 6, 2015 PForm 4 → | May 8, 11:01 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 11,735 | $12.98 | $152,312 | 1,138,776 | +1.04% | plan? |
| May 5, 2015 PForm 4 → | May 7, 11:27 am EDT | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 3,397 | $13.82 | $46,947 | 415,673 | +0.82% | plan? |
| Apr 29, 2015 PForm 4 → | May 4, 9:53 am EDT | BDCA VENTURE, INC.BDCV | 20,419 | $5.10 | $104,133 | 776,408 | +2.70% | plan? late |
| Apr 23, 2015 PForm 4 → | Apr 27, 11:15 am EDT | BDCA VENTURE, INC.BDCV | 8,538 | $5.02 | $42,839 | 755,989 | +1.14% | plan? |
| Apr 22, 2015 SForm 4 → | Apr 24, 11:40 am EDT | Firsthand Technology Value Fund, Inc.SVVC | 14,611 | $15.28 | $223,207 | 580,825 | −2.45% | plan? |
| Apr 21, 2015 PForm 4 → | Apr 23, 2:31 pm EDT | BDCA VENTURE, INC.BDCV | 20,511 | $5.01 | $102,819 | 747,451 | +2.82% | plan? |
| Apr 20, 2015 SForm 4 → | Apr 22, 12:01 pm EDT | Firsthand Technology Value Fund, Inc.SVVC | 8,751 | $15.14 | $132,463 | 595,436 | −1.45% | plan? |
| Apr 17, 2015 PForm 4 → | Apr 21, 12:32 pm EDT | BDCA VENTURE, INC.BDCV | 6,797 | $5.00 | $33,985 | 726,940 | +0.94% | plan? |
| Apr 10, 2015 PForm 4 → | Apr 14, 2:04 pm EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 9,500 | $12.95 | $122,982 | 1,127,041 | +0.85% | plan? |
| Apr 6, 2015 PForm 4 → | Apr 8, 10:34 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 31,839 | $13.24 | $421,650 | 1,117,541 | +2.93% | plan? |
| Apr 2, 2015 PForm 4 → | Apr 6, 10:29 am EDT | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 3,058 | $13.93 | $42,608 | 412,276 | +0.75% | plan? |
| Apr 1, 2015 PForm 4 → | Apr 3, 11:09 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 23,500 | $13.09 | $307,708 | 1,085,702 | +2.21% | plan? |
| Mar 31, 2015 PForm 4 → | Apr 2, 12:41 pm EDT | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 400 | $13.94 | $5,576 | 409,218 | +0.10% | plan? |
| Mar 30, 2015 PForm 4 → | Apr 1, 10:12 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 101,541 | $13.04 | $1,323,786 | 1,062,202 | +10.6% | plan? |
| Mar 27, 2015 PForm 4 → | Mar 31, 12:35 pm EDT | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 3,353 | $13.90 | $46,603 | 408,818 | +0.83% | plan? |
| Mar 26, 2015 PForm 4 → | Mar 30, 11:21 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 31,300 | $12.94 | $405,025 | 960,661 | +3.37% | plan? |
| Mar 25, 2015 PForm 4 → | Mar 27, 11:25 am EDT | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 6,523 | $13.89 | $90,635 | 405,465 | +1.64% | plan? |
| Mar 24, 2015 PForm 4 → | Mar 26, 11:30 am EDT | LMP REAL ESTATE INCOME FUND INC.RIT | 59,732 | $13.23 | $790,107 | 929,361 | +6.87% | plan? |
| Mar 20, 2015 PForm 4 → | Mar 24, 11:30 am EDT | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 4,304 | $13.82 | $59,489 | 398,942 | +1.09% | plan? |
| Mar 16, 2015 PForm 4 → | Mar 18, 10:10 am EDT | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 6,851 | $13.71 | $93,954 | 394,638 | +1.77% | plan? |
| Mar 12, 2015 PForm 4 → | Mar 16, 10:26 am EDT | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 9,066 | $13.69 | $124,133 | 387,787 | +2.39% | plan? |
| Feb 6, 2015 SForm 4 → | Feb 10, 4:00 pm EST | Firsthand Technology Value Fund, Inc.SVVC | 1,036 | $15.00 | $15,540 | 604,187 | −0.17% | plan? |
| Feb 2, 2015 JForm 4 → | Feb 4, 11:34 am EST | Firsthand Technology Value Fund, Inc.SVVC | 128,166 | $23.27 | $2,982,448 | 4,148 | — | plan? |
| Jan 30, 2015 SForm 4 → | Feb 4, 11:34 am EST | Firsthand Technology Value Fund, Inc.SVVC | 1,376 | $15.95 | $21,947 | 732,537 | −0.19% | plan? late |
| Jan 28, 2015 SForm 4 → | Jan 30, 4:32 pm EST | Firsthand Technology Value Fund, Inc.SVVC | 13,000 | $16.15 | $209,986 | 733,913 | −1.74% | plan? |
| Jan 26, 2015 SForm 4 → | Jan 28, 4:17 pm EST | Firsthand Technology Value Fund, Inc.SVVC | 200 | $17.10 | $3,420 | 746,913 | −0.03% | plan? |
| Jan 22, 2015 SForm 4 → | Jan 26, 4:18 pm EST | Firsthand Technology Value Fund, Inc.SVVC | 2,667 | $18.40 | $49,073 | 747,113 | −0.36% | plan? |
| Jan 20, 2015 SForm 4 → | Jan 22, 4:18 pm EST | Firsthand Technology Value Fund, Inc.SVVC | 52,845 | $18.45 | $974,811 | 749,780 | −6.58% | plan? |
| Jan 15, 2015 SForm 4 → | Jan 20, 4:19 pm EST | Firsthand Technology Value Fund, Inc.SVVC | 20,226 | $18.58 | $375,717 | 802,625 | −2.46% | plan? |
| Jan 12, 2015 PForm 4 → | Mar 3, 11:19 am EST | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 43,091 | $13.78 | $593,658 | 378,721 | +12.8% | plan? late |
| Nov 18, 2014 PForm 4 → | Mar 2, 2015, 6:20 pm EST | ALLIANCE NEW YORK MUNICIPAL INCOME FUNDAYN | 294,073 | $12.99 | $3,821,352 | 335,630 | +708% | plan? late |