株式会社ファーストハンド・テクノロジー・バリュー・ファンド
US ˙ OTCPK ˙ US33766Y1001

はじめに

このページでは、Bulldog Investors General Partnershipの既知の内部者取引履歴の包括的な分析を提供します。内部者取引を次のチャートに示します。内部者とは、会社の役員、取締役、または重要な投資家のことです。一般的に、内部者が重要な非公開情報に基づいて自社の取引を行うことは一般的に違法です。これは、彼らが自分の会社で取引をすることが違法であるという意味ではありません。ただし、すべての取引をフォーム4を通じてSECに報告しなければなりません。このような制約があるにもかかわらず、学術研究によると、内部者は一般的に、自分の会社の市場を上回るパフォーマンスを発揮する傾向があります。

平均取引収益性

平均取引収益性は、過去3年間に内部者が行ったすべての公開市場での購入の平均収益率です。このリストを生成するために、10b5-1取引計画の一部としてマークされたすべての取引を除いて、内部者が行ったすべての公開市場での計画外の購入を調べます。次に、3、6、および12か月にわたるこれらの取引の平均パフォーマンスを計算し、各期間を平均して、各取引の最終的なパフォーマンス指標を生成します。最後に、内部者のパフォーマンスメトリックを計算するために、すべてのパフォーマンスメトリックを平均します。このリストには、過去2年間に少なくとも3回の取引を行った内部者のみが含まれています。

この内部者取引の収益性が 「N/A」 の場合、インサイダーは過去3年間に公開市場での購入を行っていないか、または行った取引が最近すぎて信頼できるパフォーマンス指標を計算できません。

更新頻度: 1日

収益性の高い内部者トレーダーのリストを見る。

ランキングの高い内部者を見る
内部者ポジションの報告がある企業

SECへの提出書類によると、Bulldog Investors General Partnershipは以下の企業の保有または取引を報告しています：

証券 タイトル 最新の保有報告書
US:JFC / JPMorgan China Region Fund, Inc. 10% Owner 782,948
10% Owner 181,712
US:DCA / Virtus Total Return Fund 10% Owner 1,553,860
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:RIT / LMP Real Estate Income Fund, Inc. 10% Owner 87,441
10% Owner 1,407,421
US:SVVC / Firsthand Technology Value Fund, Inc. 10% Owner 824,942
チャートの見方

次のチャートは、Bulldog Investors General Partnershipが行った各公開市場の非計画取引後の証券の株価パフォーマンスを示しています。非計画取引とは、10b5-1取引計画の一部として行われなかった取引のことです。株価のパフォーマンスは、株価の累積変化率としてグラフ化されます。たとえば、2019年1月1日に内部者取引が行われた場合、チャートには現在までの証券の日割り変化が表示されます。この間に株価が10ドルから15ドルに上昇した場合、株価の累積変化率は50%となる。価格を10ドルから20ドルに変更すると100%、10ドルから5ドルに変更すると-50%になります。

最終的には、内部者が内部者情報から利益を得るために取引のタイミングを計っているかどうかを確認するために、内部者の取引が株価の超過リターン (プラスまたはマイナス) と、どの程度密接に関連しているかを判断しようとしています。内部者がこれを行っていた状況を考えてみましょう。この状況では、 (a) 購入後のプラスのリターン、または (b) 販売後のマイナスのリターンのいずれかが期待されます。(a) の場合、購入チャートは一連の上向きの曲線を示し、各購入トランザクションの後にプラスのリターンを示します。(b) の場合、販売チャートは一連の下向きの傾斜曲線を示し、各販売取引の後にマイナスのリターンを示します。

しかし、これだけでは結論を導き出すことはできません。例えば、その企業の株価が何年にもわたって非循環的に上昇していた場合、買収後のすべてのプロットは上昇傾向にあると予想されます。同様に、長年にわたる非循環的な下落は、貿易後のプロットを下方に傾斜させます。いずれのチャートもインサイダー取引を示唆するものでありません。

最も強力な指標は、株価が非常に循環的であり、購入チャートにプラスのシグナルがあり、販売チャートにマイナスのプロットがある状況です。この状況は、財務上の利点のために取引のタイミングを計っていた内部者を強く示唆するでしょう。

内部者購入SVVC / Firsthand Technology Value Fund, Inc. - 短期利益分析

このセクションでは、SVVC / Firsthand Technology Value Fund, Inc.で行われたすべての計画外の公開市場内部者購入の収益性を分析します。この分析は、内部者が一貫して異常なリターンを生成しているかどうかを理解するのに役立ちます。この分析は各取引後1年間のものであり、結果は理論的なものです。

次の表は、自動売買プランに含まれていない直近の公開市場買付を示しています。

取引日 ティッカー 内部者 レポート
株式数		 レポート
価格		 調整後
株式数		 調整後
価格		 費用基準 最大
日数		 最大
価格		 最大
利益 ($)		 最大リターン (%)
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

調整後価格は、分割調整後価格です。調整後株式数は、分割調整後株式数です。

SVVC / Firsthand Technology Value Fund, Inc. Insider Trades
内部者売却SVVC / Firsthand Technology Value Fund, Inc.-短期損失分析

このセクションでは、SVVC / Firsthand Technology Value Fund, Inc.で行われたすべての予定外の公開市場の内部者取引の短期損失回避を分析します。損失回避の一貫したパターンは、将来の売却取引が価格の下落を予測する可能性を示唆しているかもしれません。この分析は各取引後1年間のものであり、結果は理論的なものです。

次の表は、自動取引プランに含まれていない直近の公開市場での売買を示しています。

取引日 ティッカー 内部者 レポート
株式数		 レポート
価格		 調整後
株式数		 調整後
価格		 費用基準 最小
日数		 最小
価格		 最大損失
回避 ($)		 最大損失
回避 (%)
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

調整後価格は、分割調整後価格です。調整後株式数は、分割調整後株式数です。

SVVC / Firsthand Technology Value Fund, Inc. Insider Trades
内部取引の履歴

この表は、証券取引委員会 (SEC) に開示されたBulldog Investors General Partnershipによる内部者取引の完全なリストを示しています。

提出日 取引日 フォーム ティッカー 証券 コード 10b5-1 株式数 残り株式数 変動
率		 株式
価格		 取引
価格		 残り
価値
2017-09-19 2017-09-15 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		P - Purchase 21,447 782,948 2.82 4.86 104,282 3,806,928
2017-09-19 2017-09-15 4 JFC JPMORGAN CHINA REGION FUND, INC.
Common Stock 		P - Purchase 1,070 62,419 1.74 4.86 5,203 303,500
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
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
2016-10-21 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 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
2016-09-14 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 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
2016-09-07 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 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
2016-08-15 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 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
2016-08-11 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 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
2016-08-09 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 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
2016-08-05 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 17,105 209,993 8.87 4.60 78,604 965,002
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 17,070 192,888 9.71 4.60 78,595 888,114
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 17,821 175,818 11.28 4.56 81,264 801,730
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 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
2016-07-14 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 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
2016-07-12 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
2016-05-23 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
2016-05-18 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 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
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
2014-11-14 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
非デリバティブまたはデリバティブ証券の公開市場または非公開購入
S
非デリバティブ証券またはデリバティブ証券の公開市場または非公開売却
A
会社からの有価証券の交付、授与その他の取得 (オプション等)
C
デリバティブの転換
D
有価証券の会社への売却または譲渡
F
会社から受領した有価証券の一部を使用した、行使価格または納税義務のお支払い
G
内部者によるまたは内部者に対する有価証券の贈与
K
株式スワップと類似のヘッジ取引
M
会社から受け取ったデリバティブ証券 (オプションなど) の行使または転換
V
フォーム4により任意に報告した取引
J
その他 (取引を説明する脚注を含む)