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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 23-Sep-24 5:01 PM View:  | Insured Municipal Income Fu... (SPE) | 20-Sep-24 | Sale | 377 | $13.74 | $5,180.36 | (2%) 16.2K to 15.82K | |
| 19-Aug-24 5:01 PM View: | Putnam High Income Securiti... (PCF) | 15-Aug-24 | Option Exercise | 70,092 | $6.48 | $454,196.00 | 200% 35.05K to 105.14K | |
| 07-Apr-22 5:01 PM View: | Insured Municipal Income Fu... (SPE) | 05-Apr-22 | Disposition | 2,016 | $15.69 | $31,631.00 | (10%) 19.34K to 17.32K | 2% |
| 07-Apr-22 5:01 PM View: | Insured Municipal Income Fu... (SPE) | 05-Apr-22 | Disposition | 1,122 | $15.69 | $17,604.20 | (6%) 17.32K to 16.2K | 2% |
| 04-Mar-22 1:02 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 03-Mar-22 | Private Purchase | 1,000 | $8.82 | $8,820.00 | 48% 2.06K to 3.06K | |
| 04-Feb-22 5:01 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 03-Feb-22 | Market Purchase | 572 | $9.31 | $5,325.32 | 38% 1.49K to 2.06K | 4% |
| 04-Feb-22 5:01 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 02-Feb-22 | Market Purchase | 428 | $9.38 | $4,014.64 | 40% 1.06K to 1.49K | 3% |
| 03-Nov-21 5:01 PM View: | Putnam High Income Securiti... (PCF) | 01-Nov-21 | Option Exercise | 31,745 | $8.36 | $265,388.00 | 1819% 1.75K to 33.49K | 4% |
| 17-Sep-21 1:19 PM View: | Putnam High Income Securiti... (PCF) | 16-Sep-21 | Market Sale | 10,000 | $10.02 | $100,226.00 | (85%) 11.74K to 1.75K | (< 1%) |
| 17-Sep-21 1:19 PM View: | Putnam High Income Securiti... (PCF) | 15-Sep-21 | Market Sale | 20,000 | $9.96 | $199,254.00 | (63%) 31.75K to 11.74K | (< 1%) |
| 15-Sep-21 9:55 AM View: | Putnam High Income Securiti... (PCF) | 14-Sep-21 | Market Sale | 10,000 | $9.95 | $99,502.00 | (24%) 41.74K to 31.75K | < 1% |
| 15-Sep-21 9:55 AM View: | Putnam High Income Securiti... (PCF) | 13-Sep-21 | Market Sale | 10,000 | $9.94 | $99,401.00 | (19%) 51.74K to 41.74K | (< 1%) |
| 14-Jul-21 1:58 PM View: | Insured Municipal Income Fu... (SPE) | 09-Jul-21 | Option Exercise | 6,257 | -- | -- | 57% 10.89K to 17.15K | |
| 14-Jul-21 1:58 PM View: | Insured Municipal Income Fu... (SPE) | 09-Jul-21 | Option Exercise | 2,192 | -- | -- | 13% 17.15K to 19.34K | |
| 04-Feb-21 4:36 PM View: | Putnam High Income Securiti... (PCF) | 02-Feb-21 | Option Exercise | 39,000 | $8.24 | $321,360.00 | 306% 12.74K to 51.74K | 7% |
| 22-Jan-21 4:34 PM View: | Putnam High Income Securiti... (PCF) | 21-Jan-21 | Market Sale | 9,355 | $8.59 | $80,359.50 | (42%) 22.1K to 12.74K | < 1% |
| 22-Jan-21 4:34 PM View: | Putnam High Income Securiti... (PCF) | 20-Jan-21 | Market Sale | 1,900 | $8.72 | $16,568.00 | (8%) 24.0K to 22.1K | 2% |
| 18-Dec-20 11:13 AM View: | Putnam High Income Securiti... (PCF) | 17-Dec-20 | Market Sale | 1,299 | $8.96 | $11,639.00 | (5%) 25.3K to 24.0K | 6% |
| 18-Dec-20 11:13 AM View: | Putnam High Income Securiti... (PCF) | 16-Dec-20 | Market Sale | 5,000 | $8.83 | $44,150.00 | (17%) 30.3K to 25.3K | 4% |
| 15-Oct-20 4:05 PM View: | Putnam High Income Securiti... (PCF) | 14-Oct-20 | Market Sale | 5,000 | $8.40 | $42,001.00 | (14%) 35.3K to 30.3K | 1% |
| 15-Oct-20 4:05 PM View: | Putnam High Income Securiti... (PCF) | 13-Oct-20 | Market Sale | 2,819 | $8.35 | $23,538.70 | (7%) 38.12K to 35.3K | < 1% |
| 30-Sep-20 4:54 PM View: | Putnam High Income Securiti... (PCF) | 30-Sep-20 | Market Sale | 2,892 | $8.33 | $24,094.40 | (7%) 41.01K to 38.12K | < 1% |
| 30-Sep-20 4:54 PM View: | Putnam High Income Securiti... (PCF) | 29-Sep-20 | Market Sale | 2,497 | $8.33 | $20,800.00 | (6%) 43.51K to 41.01K | < 1% |
| 30-Sep-20 4:54 PM View: | Putnam High Income Securiti... (PCF) | 28-Sep-20 | Market Sale | 10,000 | $8.33 | $83,311.00 | (19%) 53.51K to 43.51K | < 1% |
| 21-Sep-20 4:17 PM View: | Putnam High Income Securiti... (PCF) | 21-Sep-20 | Market Sale | 5,303 | $8.45 | $44,810.30 | (9%) 58.81K to 53.51K | 2% |
| 21-Sep-20 4:17 PM View: | Putnam High Income Securiti... (PCF) | 18-Sep-20 | Market Sale | 1,190 | $8.54 | $10,160.00 | (2%) 60.0K to 58.81K | 3% |
| 21-Sep-20 4:17 PM View: | Putnam High Income Securiti... (PCF) | 17-Sep-20 | Market Sale | 10,000 | $8.61 | $86,140.00 | (14%) 70.0K to 60.0K | 5% |
| 03-Mar-20 2:36 PM View: | Insured Municipal Income Fu... (SPE) | 28-Feb-20 | Market Purchase | 1,000 | $13.25 | $13,250.00 | 10% 9.89K to 10.89K | (3%) |
| 03-Mar-20 2:10 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 28-Feb-20 | Market Purchase | 1,000 | $7.75 | $7,750.00 | 1562% 64 to 1.06K | 5% |
| 03-Mar-20 2:24 PM View: | Special Opportunities Fund (SPE) | 28-Feb-20 | Market Purchase | 1,000 | $13.25 | $13,250.00 | 10% 9.89K to 10.89K | (3%) |
| 18-Oct-19 10:07 AM View: | Putnam High Income Securiti... (PCF) | 16-Oct-19 | Market Sale Duplicate | 107 | $8.46 | $905.72 | (< 1%) 70.11K to 70.0K | 12% |
| 27-Mar-19 3:33 PM View: | Putnam High Income Securiti... (PCF) | 25-Mar-19 | Market Purchase | 70,000 | $9.25 | $647,500.00 | 32% 220.11K to 290.11K | (21%) |
| 27-Mar-19 3:33 PM View: | Putnam High Income Securiti... (PCF) | 25-Mar-19 | Market Sale Duplicate | 220,000 | $9.25 | $2,035,000.00 | (76%) 290.11K to 70.11K | 21% |
| 20-Mar-19 10:53 AM View: | Putnam High Income Securiti... (PCF) | 19-Mar-19 | Disposition | 933 | $9.25 | $8,630.25 | (< 1%) 1.47M to 1.47M | 21% |
| 20-Mar-19 10:53 AM View: | Putnam High Income Securiti... (PCF) | 19-Mar-19 | Disposition | 1,247,110 | $9.25 | $11,535,700.00 | (85%) 1.47M to 220.11K | 21% |
| 04-Jan-19 4:44 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 02-Jan-19 | Disposition (other) | 104,660 | -- | -- | (100%) 104.72K to 64 | |
| 04-Jan-19 4:48 PM View: | Brookfield Dtla Fund Office... (DTLA PR) | 02-Jan-19 | Disposition (other) Duplicate | 200,936 | -- | -- | (100%) 200.94K to 0 | |
| 23-Nov-18 9:03 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 20-Nov-18 | Disposition | 1,782,350 | $7.86 | $14,009,300.00 | (94%) 1.89M to 105.82K | |
| 23-Nov-18 9:03 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 20-Nov-18 | Disposition | 1,095 | $7.86 | $8,606.70 | (1%) 105.82K to 104.72K | |
| 23-Oct-18 5:54 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 19-Oct-18 | Acquisition (other) Duplicate | 598,378 | -- | -- | 46% 1.29M to 1.89M | |
| 23-Oct-18 5:54 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 19-Oct-18 | Acquisition (other) | 367 | -- | -- | < 1% 1.89M to 1.89M | |
| 03-Oct-18 4:20 PM View: | Brookfield Dtla Fund Office... (DTLA PR) | 01-Oct-18 | Disposition (other) Duplicate | 46,050 | -- | -- | (19%) 246.99K to 200.94K | |
| 03-Oct-18 4:20 PM View: | Brookfield Dtla Fund Office... (DTLA PR) | 08-Jun-18 | Purchase Duplicate | 1,155 | $24.79 | $28,635.50 | < 1% 245.83K to 246.99K | |
| 08-Jun-18 4:02 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 06-Jun-18 | Disposition (other) | 54,549 | -- | -- | (4%) 1.34M to 1.29M | |
| 21-Feb-18 2:32 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 20-Feb-18 | Market Purchase | 5,700 | $12.74 | $72,607.70 | < 1% 1.34M to 1.34M | (54%) |
| 21-Feb-18 2:32 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 16-Feb-18 | Market Purchase | 500 | $12.84 | $6,422.15 | < 1% 1.34M to 1.34M | (55%) |
| 14-Feb-18 5:27 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 13-Feb-18 | Market Purchase | 7,400 | $12.35 | $91,390.00 | < 1% 1.33M to 1.34M | (53%) |
| 14-Feb-18 5:27 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 12-Feb-18 | Market Purchase | 3,800 | $12.35 | $46,942.50 | < 1% 1.33M to 1.33M | (53%) |
| 07-Feb-18 1:54 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 05-Feb-18 | Market Purchase | 6,442 | $12.88 | $82,970.40 | < 1% 1.32M to 1.33M | (55%) |
| 05-Feb-18 3:11 PM View: | The Swiss Helvetia Fund Inc. (SWZ) | 01-Feb-18 | Market Purchase | 1,353 | $13.40 | $18,128.60 | < 1% 1.32M to 1.32M | (57%) |