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 Partners Lp 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 Partners Lp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
10% Owner 181,712
US:DCA / Virtus Total Return Fund 10% Owner 1,553,860
US:HIL / Hill International Inc 10% Owner 29,212
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 Partners Lp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。

SVVC / Firsthand Technology Value Fund, Inc. Insider Trades
歷史內部人交易

該表格顯示了由 Full Value Partners Lp 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 10b5-1 股份 剩餘股份 %
變化		 每股
股價		 交易
金額		 剩餘
金額
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
2017-06-09 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
2017-05-05 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
2017-03-27 2017-03-22 4 DCA Virtus Total Return Fund
Common Stock 		S - Sale -2,636,634 1,553,860 -62.92 4.87 -12,842,253 7,568,386
2016-09-15 2016-09-14 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 31,477 654,246 5.05 4.51 142,109 2,953,724
2016-09-15 2016-09-13 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 40,693 622,769 6.99 4.54 184,742 2,827,309
2016-09-12 2016-09-09 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 35,276 582,076 6.45 4.59 162,090 2,674,581
2016-09-12 2016-09-08 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 98,223 546,800 21.90 4.66 457,454 2,546,612
2016-09-08 2016-09-06 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 54,780 448,577 13.91 4.67 256,014 2,096,425
2016-08-16 2016-08-15 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 17,653 393,797 4.69 4.61 81,426 1,816,428
2016-08-16 2016-08-12 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 14,608 376,144 4.04 4.61 67,324 1,733,535
2016-08-12 2016-08-11 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 4,089 361,536 1.14 4.60 18,800 1,662,198
2016-08-12 2016-08-10 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 12,220 357,447 3.54 4.57 55,860 1,633,962
2016-08-10 2016-08-09 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 31,394 345,227 10.00 4.57 143,417 1,577,101
2016-08-10 2016-08-08 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 30,614 313,833 10.81 4.56 139,496 1,430,011
2016-08-08 2016-08-05 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 41,899 283,219 17.36 4.55 190,795 1,289,694
2016-08-08 2016-08-04 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 31,327 241,320 14.92 4.57 143,164 1,102,832
2016-08-03 2016-08-01 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 17,105 209,993 8.87 4.60 78,604 965,002
2016-08-02 2016-07-25 4 HIL Hill International, Inc.
Common Stock 		P - Purchase 946 29,212 3.35 4.23 4,002 123,567
2016-08-02 2016-07-19 4 HIL Hill International, Inc.
Common Stock 		P - Purchase 4,054 28,266 16.74 4.23 17,148 119,565
2016-07-22 2016-07-20 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 17,070 192,888 9.71 4.60 78,595 888,114
2016-07-19 2016-07-15 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 17,821 175,818 11.28 4.56 81,264 801,730
2016-07-15 2016-07-14 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 18,933 157,997 13.61 4.56 86,340 720,514
2016-07-15 2016-07-13 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 33,906 139,064 32.24 4.55 154,340 633,019
2016-07-13 2016-07-12 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 18,541 105,158 21.41 4.56 84,547 479,520
2016-07-13 2016-07-11 4 DCA Virtus Total Return Fund
Common Stock 		P - Purchase 37,053 86,617 74.76 4.54 168,335 393,510
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,915,228
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,427,641
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,209,600
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,948,206
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,706,196
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,495,922
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,177,170
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,268,491
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,915,228
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,427,641
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,209,600
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,948,206
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,706,196
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,495,922
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,177,170
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,268,491
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,915,228
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,427,641
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,209,600
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,948,206
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,706,196
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,495,922
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,177,170
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,268,491
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,915,228
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,427,641
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,209,600
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,948,206
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,706,196
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,495,922
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,177,170
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,268,491
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,915,228
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,427,641
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,209,600
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,948,206
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,706,196
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,495,922
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,177,170
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,268,491
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,915,228
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,427,641
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,209,600
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,948,206
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,706,196
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,495,922
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,177,170
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,268,491
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,915,228
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,427,641
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,209,600
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,948,206
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,706,196
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,495,922
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,177,170
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,268,491
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,915,228
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,427,641
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,209,600
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,948,206
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,706,196
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,495,922
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,177,170
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,268,491
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,915,228
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,427,641
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,209,600
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,948,206
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,706,196
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,495,922
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,177,170
2016-05-23 3 DCA Virtus Total Return Fund
Common Stock 		3,268,491
2016-05-19 2016-05-17 4 HIL Hill International, Inc.
Common Stock 		P - Purchase 6,300 24,212 35.17 3.83 24,129 92,732
2016-05-19 3/A HIL Hill International, Inc.
Common Stock 		2,793,921
2016-05-19 3/A HIL Hill International, Inc.
Common Stock 		17,912
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		6,340,612
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		4,245,725
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		6,340,612
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		4,245,725
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		6,340,612
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		4,245,725
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		6,340,612
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		4,245,725
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		6,340,612
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		4,245,725
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		6,340,612
2016-03-16 3 HIL Hill International, Inc.
Common Stock 		4,245,725
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
2015-05-07 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
P
非衍生或衍生證券的公開市場或私下買入
S
非衍生或衍生證券的公開市場或私下賣出
A
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）
C
衍生工具轉換
D
將證券賣出或轉讓回公司
F
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。
G
內部人士贈送或接收他人贈送公司股票
K
股權掉期和類似的避險交易
M
行使或轉換從公司獲得的衍生證券（例如期權）
V
內部人士透過Form 4自願報告的一筆交易
J
其他（附有交易描述的腳註）