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、Calapasas West Partners LP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、Calapasas West Partners LP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
10% Owner 181,712
US:DCA / Virtus Total Return Fund 10% Owner 1,553,860
US:AYN / 10% Owner 423,254
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、Calapasas West Partners LP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Calapasas West Partners LP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
2017-06-22 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
2016-07-22 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
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)