Full Value Offshore Fund, Ltd. - Insider Trading Tracker

第一手科技價值基金公司

US ˙ OTCPK ˙ US33766Y1001

簡介

本頁面提供了有關 Full Value Offshore Fund, Ltd. 已知的內部交易歷史的全面分析。內部人士包括公司的高管、董事或重要投資者。一般而言，基於內幕、非公開信息進行交易是非法的。這並不意味著他們在自己的公司進行任何交易都是非法的。但是，他們必須透過Form 4向美國證券交易委員會（SEC）報告所有交易。盡管存在這些限制，學術研究表明，內部人士 - 整體而言 - 在自己公司中的投資表現往往優於市場。

平均交易盈利能力

「平均交易盈利能力」衡量了內部人士在過去三年中所有非計劃性的公開市場購買交易的平均回報率。計算過程包括檢查每筆交易，排除了作為10b5-1交易計劃的一部分的交易。然後，對每筆交易在3、6和12個月的表現進行平均，以生成該筆交易最終的表現指標。最終，將所有交易的表現指標進行平均，計算出內部人士的總體平均表現指標。列表僅包含在過去兩年中進行過至少三筆交易的內部人士。

如果內部人士的交易盈利能力顯示為"N/A"，則可能是因為該內部人士在過去三年內沒有進行任何公開市場購買交易，或者他們進行的交易距離現在太近，無法計算出可靠的表現指標。

更新頻率：每日

查看收益最高的的內幕交易者列表。

查看排名最高的內部人士。

報告內部持倉的公司

SEC文件顯示Full Value Offshore Fund, Ltd.已報告在以下公司擁有持倉或進行了交易：

證券	職位	最新報告的持倉
US:JFC / JPMorgan China Region Fund, Inc.	10% Owner	0
	10% Owner	181,712
US:FAV / First Trust Dividend and Income Fund	10% Owner	1,656,926
US:JGV / Nuveen Global Equity Income Fund	10% Owner	82,892
US:DCA / Virtus Total Return Fund	10% Owner	149,130
US:RIT / LMP Real Estate Income Fund, Inc.	10% Owner	87,441
	10% Owner	1,407,421
US:AYN /	10% Owner	423,254
US:SVVC / Firsthand Technology Value Fund, Inc.	10% Owner	824,942

如何解讀這些圖表

以下圖表顯示了在Full Value Offshore Fund, Ltd.進行的每筆公開市場非計劃交易後證券的股價表現。非計劃交易是指沒有作為10b5-1交易計劃的一部分而進行的交易。股價表現以累積百分比變化的方式繪製。例如，如果一筆內部人士交易是在2019年1月1日進行的，該圖表將顯示該證券的每日百分比變化直至當前日期。如果在此期間股價從10美元漲至15美元，則股價的累積百分比變化將為50%。從10美元漲至20美元的價格變化將為100%，而從10美元跌至5美元的價格變化將為-50%。

最終，我們將評估內部人士的交易與股價的超額回報（正向或負向）之間的相關性，以判斷內部人士是否在交易中利用內部信息獲利。如果內部人士有這樣的行為，我們預期看到（a）購買後的正回報，或者（b）賣出後的負回報。對於情況（a），購買圖表將顯示一系列向上傾斜的曲線，表示每次購買後都有正回報。對於情況（b），賣出圖表將顯示一系列向下傾斜的曲線，表示每次賣出後都有負回報。

然而，僅憑這一點還不足以得出結論。例如，如果公司的股價在多年內呈現非周期性上升，我們會預期所有購買後的圖表都呈現向上傾斜。同樣地，多年來呈現非周期性下降的股價會導致賣出後的圖表也呈現向下傾斜。這兩種情況的圖表都不能表示內部人士在進行內幕交易。

最有力的指標是在公司股價呈極度循環波動的情況下，「購買」圖表顯示正向信號，而「賣出」圖表顯示負向趨勢。這種情況強烈暗示內部人士可能根據內幕信息精確地計時進行交易，以獲得財務優勢。

SVVC / Firsthand Technology Value Fund, Inc.內部人士買入 - 短期收益分析

在這一部分，我們分析了在 SVVC / Firsthand Technology Value Fund, Inc. 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期	證券代碼	內部人士	報告股數	Reported 價格	經調整股數	經調整價格	成本基礎	達到最高利潤的天數	達到最高利潤時的價格	最高淨利 ($)	最高回報率（%）
2014-03-06	SVVC	Bulldog Investors General Partnership	500	23.6400	500	23.6400	11,820	236	25.2200	790	6.68
2014-03-05	SVVC	Bulldog Investors General Partnership	43,328	23.3088	43,328	23.3088	1,009,924
2014-03-04	SVVC	Bulldog Investors General Partnership	12,146	23.6955	12,146	23.6955	287,806
2014-02-26	SVVC	Bulldog Investors General Partnership	277	23.6889	277	23.6889	6,562

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

SVVC / Firsthand Technology Value Fund, Inc. Insider Trades

SVVC / Firsthand Technology Value Fund, Inc.內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 SVVC / Firsthand Technology Value Fund, Inc. 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期	證券代碼	內部人士	報告股數	Reported 價格	經調整股數	經調整價格	成本基礎	達到最低利潤的天數	達到最低利潤時的價格	避免的最高損失金額($)	避免的最高損失率($)
2014-12-04	SVVC	Bulldog Investors General Partnership	2,290	19.6000	2,290	19.6000	44,884	364	7.5500	-27,594	-61.48
2014-12-04	SVVC	Bulldog Investors General Partnership	144,754	19.6000	144,754	19.6000	2,837,178
2014-12-02	SVVC	Bulldog Investors General Partnership	124	22.6609	124	22.6609	2,810
2014-12-02	SVVC	Bulldog Investors General Partnership	7,825	22.6609	7,825	22.6609	177,322
2014-12-01	SVVC	Bulldog Investors General Partnership	25	22.5310	25	22.5310	563
2014-12-01	SVVC	Bulldog Investors General Partnership	1,565	22.5310	1,565	22.5310	35,261
2014-11-26	SVVC	Bulldog Investors General Partnership	210	22.5413	210	22.5413	4,734
2014-11-26	SVVC	Bulldog Investors General Partnership	13,302	22.5413	13,302	22.5413	299,844
2014-11-24	SVVC	Bulldog Investors General Partnership	38	22.5976	38	22.5976	859
2014-11-24	SVVC	Bulldog Investors General Partnership	2,381	22.5976	2,381	22.5976	53,805
2014-11-12	SVVC	Bulldog Investors General Partnership	309	22.6600	309	22.6600	7,002
2014-11-12	SVVC	Bulldog Investors General Partnership	255	22.7064	255	22.7064	5,790
2014-11-12	SVVC	Bulldog Investors General Partnership	19,561	22.6600	19,561	22.6600	443,252
2014-11-12	SVVC	Bulldog Investors General Partnership	16,101	22.7064	16,101	22.7064	365,596
2014-11-11	SVVC	Bulldog Investors General Partnership	109	22.6504	109	22.6504	2,469
2014-11-11	SVVC	Bulldog Investors General Partnership	7,412	22.6504	7,412	22.6504	167,885
2014-11-07	SVVC	Bulldog Investors General Partnership	1,200	22.7083	1,200	22.7083	27,250

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

歷史內部人交易

該表格顯示了由 Full Value Offshore Fund, Ltd. 進行的所有內幕交易的完整列表，這些交易已向美國證券交易委員會（SEC）披露。

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

非衍生或衍生證券的公開市場或私下買入

非衍生或衍生證券的公開市場或私下賣出

公司向內部人員授予、獎勵或以其他方式獲取證券（例如股票期權）

衍生工具轉換

將證券賣出或轉讓回公司

使用從公司收到的證券的一部分來支付行使價或稅務負擔。

內部人士贈送或接收他人贈送公司股票

股權掉期和類似的避險交易

行使或轉換從公司獲得的衍生證券（例如期權）

內部人士透過Form 4自願報告的一筆交易

其他（附有交易描述的腳註）