FUND - Sprott Focus Trust Inc. - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	5	140	0	0	1	3	4	8	3
P	%wins				79	66	64	75	74	59	69
S	%ret	1	2	2	1	-1	2	10	5	11	5
S	%wins				0	100	50	0	50	0	33

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
10/2/24 14:42	9/16/24	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CT	DTH	Senior P	S	-197	7.58	0	-26	0	15,005	I
7/3/24 13:14	6/28/24	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CT	DTH	Senior P	S	-115	7.39	0	-16	0	15,063	I
8/17/23 18:50	8/16/23	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	S.m	-179	7.98	0	-22	0	14,130	I
8/14/23 18:47	8/10/23	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	S	-25	8.15	0	-3	0	14,141	I
10/19/22 18:18	10/17/22	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	74	7.23	0	10	0	14,179	I
10/6/22 18:32	10/4/22	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	145	7.25	0	20	0	14,169	I
7/22/22 11:22	7/21/22	FUND	Fund	CEF	Closed-End Funds	Ulrich Thomas W	CT	O	See Rema	P	7	7.83	0	1	14	7	I
6/27/22 20:59	5/19/22	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	146	7.90	0	18	0	14,062	I
5/18/22 18:53	5/16/22	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	247	8.23	0	30	0	13,955	I
4/12/22 16:15	1/24/22	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	53	7.91	0	7	0	13,915	I
9/1/21 10:35	8/30/21	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	85	8.46	0	10	0	13,213	I
10/8/20 18:23	10/6/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	551	6.03	0	91	1	12,489	I
9/23/20 19:06	9/21/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	299	5.98	0	50	0	12,187	I
9/23/20 15:15	9/22/20	FUND	Fund	CEF	Closed-End Funds	Ulrich Thomas W	CT	O	See Rema	P	6	6.00	0	1	22	6	I
9/10/20 17:40	9/8/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	193	6.20	0	31	0	12,137	I
9/3/20 17:19	9/2/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	314	6.29	0	50	0	12,106	D
7/30/20 20:21	7/28/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	313	6.25	0	50	0	12,056	I
7/10/20 13:43	7/8/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	299	5.98	0	50	0	12,006	I
3/25/20 18:47	3/23/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	200	4.53	0	44	0	10,547	M
3/19/20 20:25	3/17/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	691	4.42	0	156	1	11,397	M
3/16/20 20:13	3/12/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	872	4.85	0	180	2	11,241	M
3/6/20 19:03	3/6/20	FUND	Fund	CEF	Closed-End Funds	Ulrich Thomas W	CT	O	See Rema	P	5	6.44	0	1	22	4	I
3/2/20 19:29	2/27/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	529	6.61	0	80	1	11,061	I
2/26/20 17:55	2/24/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	456	7.09	0	64	1	10,981	I
2/11/20 17:41	2/7/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	147	7.34	0	20	0	10,917	I
2/6/20 18:34	2/4/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	216	7.38	0	29	0	10,897	I
1/27/20 19:02	1/23/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	252	7.39	0	34	0	10,868	I
1/16/20 18:23	1/14/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	506	7.44	0	68	1	10,833	I
1/14/20 18:56	1/10/20	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	299	7.37	0	41	0	10,765	M
10/28/19 17:27	10/24/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	171	6.84	0	25	0	10,578	I
10/11/19 16:08	10/9/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	211	6.56	0	32	0	10,553	M
9/5/19 16:18	9/3/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	266	6.66	0	40	0	10,354	M
8/7/19 19:48	8/5/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	432	6.67	0	65	1	10,314	M
6/5/19 19:49	6/3/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	257	6.41	0	40	0	10,071	M
5/23/19 18:01	5/21/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	424	6.66	0	64	1	10,031	M
5/13/19 19:34	5/9/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	77	6.90	0	11	0	9,967	I
5/8/19 19:39	5/7/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	351	6.96	0	50	1	9,956	I
5/6/19 20:17	5/3/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	267	6.96	0	38	0	9,905	I
5/6/19 16:14	5/3/19	FUND	Fund	CEF	Closed-End Funds	Keady Barbara Connolly	CT	D		S	-17	6.96	0	-3	-83	1	D
4/26/19 17:01	4/24/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	177	7.09	0	25	0	9,867	I
4/24/19 15:53	4/22/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	176	7.03	0	25	0	9,842	D
4/16/19 06:05	4/12/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	185	7.10	0	26	0	9,817	M
4/12/19 13:31	4/10/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	216	7.04	0	31	0	9,791	M
4/10/19 16:44	4/10/19	FUND	Fund	CEF	Closed-End Funds	Ulrich Thomas W	CA	O	See Rema	P	10	7.04	0	1	72	3	I
4/10/19 16:15	4/8/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	269	7.01	0	38	0	9,760	M
1/9/19 21:28	1/7/19	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	72	6.02	0	12	0	9,563	I
12/19/18 16:43	12/17/18	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	296	5.91	0	50	1	9,072	D
12/17/18 16:21	12/13/18	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	1,383	6.15	0	225	3	9,022	D
12/14/18 16:28	12/14/18	FUND	Fund	CEF	Closed-End Funds	Ulrich Thomas W	CA	O	See Rema	P	2	6.04	0	0	19	2	I
11/5/18 11:40	11/1/18	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	134	6.88	0	20	0	8,812	I
10/26/18 13:00	10/24/18	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	578	6.84	0	85	1	8,792	M
10/15/18 11:17	10/12/18	FUND	Fund	CEF	Closed-End Funds	Ulrich Thomas W	CA	O	See Rema	P	3	6.86	0	1	48	2	I
10/11/18 17:12	10/9/18	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	622	7.00	0	89	1	8,708	D
10/5/18 15:21	10/3/18	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	734	7.34	0	100	1	8,307	I
4/23/18 15:54	4/23/18	FUND	Fund	CEF	Closed-End Funds	Pierce James R. Jr.	TX	D		P	9	7.77	0	1	31	5	I
2/15/18 16:57	12/22/17	FUND	Fund	CEF	Closed-End Funds	Ulrich Thomas W	CA	O	See Rema	P.m	8	7.91	0	1	New	1	I
2/9/18 14:40	1/23/17	FUND	Fund	CEF	Closed-End Funds	Pierce James R. Jr.	TX	D		P	9	7.08	0	1	53	4	I
2/7/18 19:00	2/5/18	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	515	7.85	0	66	1	6,440	I
3/7/17 11:18	3/3/17	FUND	Fund	CEF	Closed-End Funds	Keady Barbara Connolly	CT	D		P	9	7.48	0	1	66	3	D	13	33	9	9	4	-2	-2	-3	0	-1	2
1/6/17 16:36	1/5/17	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	355	7.10	0	50	1	6,393	D	13	34	13	6	2	0	2	2	-1	-1	5	6
11/14/16 11:01	11/9/16	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	46	6.55	0	7	0	6,255	D	-3	20	12	-3	-1	1	4	4	0	2	10	15
11/9/16 11:17	11/7/16	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	57	6.55	0	9	0	6,248	I	-4	12	7	-4	-6	-3	-2	1	2	4	10	16	19
11/7/16 15:10	11/4/16	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	268	6.50	0	41	1	6,239	I	-4	9	8	-4	-4	-1	-3	-1	0	4	7	16	19
6/28/16 15:44	6/24/16	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	162	6.15	0	26	0	6,034	D	-18	-10	8	2	0	-4	-2	-3	1	5	11	12	17
1/22/16 14:39	1/20/16	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	364	4.87	0	75	1	5,917	D	-28	-27	-25	-21	-16	-15	-7	-3	3	4	10	32	42	52
1/20/16 11:00	1/15/16	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	381	5.05	0	75	1	5,842	D	-27	-26	-24	-19	-16	-14	-9	-4	-2	1	7	30	39	51
1/15/16 11:02	1/13/16	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	260	5.20	0	50	1	5,767	D	-24	-22	-23	-15	-13	-11	-9	-2	-2	-3	1	23	32	44
1/13/16 16:15	1/11/16	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	274	5.30	1	52	1	5,717	D	-21	-21	-21	-14	-10	-6	-8	-2	0	-6	-3	22	31	44
1/11/16 12:21	1/7/16	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	275	5.50	1	50	1	5,558	D	-20	-21	-18	-12	-9	-4	-7	-5	-2	-6	-5	14	26	38
12/16/15 09:17	12/11/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	1,422	5.67	0	251	5	5,508	D	-14	-15	-21	-8	-11	-6	-6	-4	2	3	-8	10	15	35
12/11/15 10:50	12/10/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	295	5.95	0	50	1	5,257	D	-12	-14	-18	-3	-5	-2	-3	-2	-2	-3	-8	4	11	28
12/9/15 11:59	12/8/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	139	5.95	0	23	0	5,207	D	-11	-16	-18	-3	-4	-1	-2	-1	-1	-5	-7	2	12	28
12/8/15 12:25	12/7/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	163	6.00	0	27	1	5,184	D	-10	-17	-16	-3	-5	0	-1	-1	-1	-6	-7	2	13	24
11/16/15 10:46	11/12/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P.m	349	5.99	0	58	1	5,157	D	-12	-18	-19	-8	-2	-6	-6	-5	1	2	-5	-8	7	21
10/6/15 14:45	10/2/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	9	5.90	0	1	0	5,099	D	-6	-17	-13	-11	4	-1	2	3	1	4	4	-4	4	19
10/2/15 13:44	9/30/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	108	5.92	0	18	0	5,018	D	-9	-19	-16	-16	-6	-4	-2	1	2	7	5	1	6	25
9/30/15 10:43	9/29/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	DTH	Senior P	P	185	5.83	0	32	1	5,000	D	-10	-21	-16	-16	-9	-5	-5	-3	1	6	8	2	8	26
9/25/15 10:35	9/24/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	TH	Senior P	P	319	6.01	0	53	1	4,968	D	-7	-20	-14	-17	-7	-3	-2	-2	0	-2	8	-1	3	22
9/24/15 11:49	9/23/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	TH	Senior P	P	912	6.06	0	151	3	4,915	D	-7	-20	-13	-17	-7	-2	-1	-2	0	-2	6	-3	2	23
8/27/15 16:32	8/25/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	TH	Senior P	P	303	6.05	0	50	1	4,554	D	-7	-23	-15	-17	-12	-7	-8	-2	1	0	-3	-1	-9	21
8/25/15 12:20	8/24/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	TH	Senior P	P	146	5.94	0	25	1	4,504	D	-9	-24	-17	-19	-15	-10	-9	-8	1	6	3	4	-6	28
7/24/15 12:18	7/23/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	CA	TH	Portfoli	P	680	6.80	0	100	2	4,479	D	2	-16	-5	-7	-9	-5	-4	-1	-1	-2	-8	-5	-22	7
6/30/15 16:13	6/29/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	A6	DOTH	VP	P	360	7.20	0	50	1	4,379	D	13	-11	0	0	-4	-2	-3	-3	1	-2	-6	-16	-14	-6
6/5/15 16:03	6/4/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	A6	DOTH	VP	P.m	347	7.49	0	46	1	4,283	D	15	-3	2	2	1	-2	0	-1	-1	0	-5	-15	-16	-10
6/2/15 16:05	6/1/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	A6	DOTH	VP	P	181	7.50	0	24	1	4,283	D	15	-2	0	3	2	1	0	0	0	-1	-4	-15	-16	-11
6/1/15 16:06	5/29/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	A6	DOTH	VP	P	169	7.49	0	23	1	4,259	D	16	-2	0	3	2	0	0	1	0	-1	-4	-16	-16	-11
5/19/15 16:06	5/18/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	A6	DOTH	VP	P	95	7.58	0	13	0	4,236	I	18	0	1	3	5	1	2	1	0	-1	-1	-11	-18	-13
5/15/15 16:03	5/14/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	A6	DOTH	VP	P	379	7.59	0	50	1	4,224	D	18	0	2	4	5	2	2	2	1	1	-1	-11	-16	-13
5/13/15 16:22	5/11/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	A6	DOTH	VP	P	181	7.60	0	24	1	4,174	D	18	-2	1	3	5	2	1	1	1	0	0	-11	-15	-10
5/8/15 18:20	5/8/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	A6	DOTH	VP	P.m	950	7.52	0	126	3	4,124	D	19	-2	-1	1	3	1	-1	-1	-1	1	-1	-11	-13	-12
1/16/15 16:02	1/15/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	114	7.10	0	16	0	4,011	D	14	-4	-14	-1	-6	-4	0	-2	1	0	3	4	-1	-25
1/15/15 16:00	1/14/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	265	7.15	0	37	1	3,975	D	14	-3	-14	-1	-4	-4	-1	-2	2	3	5	6	1	-22
1/8/15 16:40	1/7/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	45	7.20	0	6	0	3,970	D	17	0	-13	-5	-5	4	-2	-1	0	-3	1	1	-4	-20
1/7/15 16:00	1/6/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	254	7.13	0	36	1	3,964	I	16	-1	-14	-7	-6	2	-4	-2	1	-1	3	3	-3	-17
1/6/15 16:06	1/5/15	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	103	7.15	0	14	0	3,929	M	18	0	-13	-6	-5	1	-3	-2	1	2	4	3	1	-14
12/31/14 16:04	12/30/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	151	7.33	0	21	1	3,918	I	26	0	-13	-6	-3	-1	0	-1	0	-1	-2	-1	1	-15
12/30/14 16:00	12/29/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	91	7.35	0	12	0	3,897	I	24	1	-12	-6	-3	-1	2	-1	-1	-3	-1	-1	0	-15
12/29/14 15:48	12/26/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	56	7.35	0	8	0	3,830	I	23	1	-10	-6	-3	-3	6	-1	-1	-2	-2	0	0	-15
12/23/14 14:44	12/22/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	205	7.40	0	28	1	3,822	M	23	3	-10	-6	-2	0	1	4	0	-1	-3	-2	2	-17
12/23/14 12:56	12/19/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.a	69	7.35	0	9	0	3,795	D	23	3	-10	-6	-2	0	1	4	0	-1	-3	-2	2	-17
12/23/14 12:54	12/19/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.a	69	7.35	0	9	0	3,795	D	23	3	-10	-6	-2	0	1	4	0	-1	-3	-2	2	-17
12/23/14 12:45	12/18/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.a	190	7.28	0	26	0	6,039	D	23	3	-10	-6	-2	0	1	4	0	-1	-3	-2	2	-17
12/22/14 16:46	12/19/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	69	7.35	0	9	0	2,819	D	24	4	-10	-6	-2	1	3	7	0	-1	-2	0	2	-18
12/19/14 16:31	12/18/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	190	7.28	0	26	1	2,824	D	23	3	-10	-8	-3	-2	0	5	0	-1	-3	0	2	-19
10/1/14 16:00	9/30/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	95	7.90	0	12	0	3,759	I	32	15	1	-8	-4	-3	-3	-1	-1	-1	0	-4	-5	-19
9/30/14 16:04	9/29/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	54	7.90	0	7	0	3,747	I	32	15	2	-6	-3	-3	-4	-1	-1	-2	-2	-6	-6	-21
9/26/14 16:07	9/25/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	205	7.99	0	26	1	3,705	I	29	14	4	-5	-2	-3	-3	-1	-1	-3	-3	-6	-8	-21
9/25/14 16:00	9/24/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	218	7.99	0	27	1	3,679	I	32	16	5	-4	-1	-3	-1	-1	1	-2	-3	-5	-7	-19
6/30/14 16:02	6/27/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	92	8.45	0	11	0	3,610	I	54	27	13	9	7	3	2	0	1	0	-1	-6	-12	-12
6/27/14 16:05	6/26/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	166	8.44	0	20	1	3,599	I	52	29	12	9	7	4	2	0	1	1	0	-5	-10	-9
6/26/14 15:59	6/25/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	141	8.44	0	17	0	3,580	I	53	31	11	9	7	4	3	0	0	1	0	-4	-10	-8
6/25/14 16:02	6/24/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	47	8.45	0	6	0	3,563	I	50	29	14	8	6	5	3	1	0	2	0	-4	-10	-8
6/24/14 16:00	6/23/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	134	8.44	0	16	0	3,557	I	50	28	15	8	6	7	4	2	0	1	0	-4	-10	-8
6/12/14 16:11	6/11/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	25	8.25	0	3	0	3,541	I	46	19	14	5	2	3	3	0	1	2	5	1	-7	-4
6/11/14 16:03	6/10/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	121	8.24	0	15	0	3,538	I	50	19	13	5	3	3	2	1	0	1	5	1	-7	-4
6/10/14 16:14	6/9/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	414	8.29	0	50	1	3,524	I	53	21	14	5	3	3	3	2	0	0	5	2	-5	-5
5/21/14 16:00	5/20/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	15	8.00	0	2	0	3,474	D	44	17	8	5	0	-1	0	0	0	1	5	5	-2	-1
5/20/14 16:16	5/19/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	3	8.00	0	0	0	3,472	D	42	17	8	5	2	0	1	0	0	1	5	5	-2	-1
5/16/14 16:19	5/16/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	242	7.99	0	30	1	3,463	D	40	18	9	7	0	0	0	-1	0	0	4	4	1	-1
4/29/14 16:14	4/28/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	401	8.05	0	50	1	3,441	D	37	27	11	10	3	2	2	1	0	0	0	6	-1	-2
4/29/14 16:11	4/28/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	401	8.05	0	50	1	3,441	D	37	27	11	10	3	2	2	1	0	0	0	6	-1	-2
4/28/14 16:05	4/25/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	402	8.02	0	50	1	5,480	D	37	25	10	8	2	1	2	0	0	0	1	6	-2	-3
3/14/14 16:01	3/13/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	195	7.83	0	25	1	3,292	I	24	18	10	7	8	2	-1	-1	0	0	-1	4	6	-5
3/13/14 16:01	3/12/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	14	7.85	0	2	0	3,267	I	25	19	11	8	9	3	0	-1	0	0	1	5	6	-4
3/12/14 16:41	3/11/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	38	7.90	0	5	0	3,266	I	26	21	12	8	8	3	0	-1	0	1	2	5	6	-5
3/11/14 16:34	3/10/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	26	8.00	0	3	0	3,261	I	28	21	14	9	8	4	2	1	0	-1	1	5	7	-5
3/10/14 16:03	3/7/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.am	418	8.04	0	52	2	3,245	I	25	21	14	9	7	5	1	0	-1	-1	-1	4	6	-4
3/7/14 13:28	3/6/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	317	8.04	0	39	1	3,245	D	24	21	15	9	5	6	2	1	0	-1	0	3	6	-4
2/26/14 16:30	2/26/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	211	7.86	0	27	1	3,199	D	22	18	11	5	2	9	3	1	0	1	0	4	8	-1
2/24/14 16:40	2/24/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	49	7.84	0	6	0	3,174	D	21	17	13	4	1	6	4	1	-1	1	2	3	8	-1
2/6/14 16:23	2/6/14	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	326	7.28	0	45	1	3,136	D	13	6	2	-3	-8	-8	-3	-2	1	3	10	11	14	7
12/12/13 16:29	12/12/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	740	7.40	0	100	3	3,048	M	30	18	6	3	-2	-1	0	0	-1	2	4	9	15	5
12/2/13 16:09	11/29/13	FUND	Fund	CEF	Closed-End Funds	Royce Charles M	NY	DOH	P	P	10	7.59	0	1	0	1,274	I	37	20	8	8	2	1	-1	0	-1	0	3	8	10	5
11/27/13 16:10	11/27/13	FUND	Fund	CEF	Closed-End Funds	Royce Charles M	NY	DOH	P	P.m	21	7.57	0	3	0	1,273	I	39	22	7	8	4	0	0	0	1	-1	3	7	10	8
11/26/13 14:28	11/25/13	FUND	Fund	CEF	Closed-End Funds	Royce Charles M	NY	DOH	P	P	1	7.55	0	0	0	1,270	I	36	20	8	7	5	0	0	0	0	-2	3	6	9	8
11/25/13 14:41	11/22/13	FUND	Fund	CEF	Closed-End Funds	Royce Charles M	NY	DOH	P	P	15	7.59	0	2	0	1,270	I	35	21	7	5	4	1	0	-1	1	0	4	6	10	8
11/21/13 13:02	11/20/13	FUND	Fund	CEF	Closed-End Funds	Royce Charles M	NY	DOH	P	P	29	7.60	0	4	0	1,268	I	31	22	8	5	5	-1	0	-1	0	0	2	6	10	7
11/19/13 15:52	11/18/13	FUND	Fund	CEF	Closed-End Funds	Royce Charles M	NY	DOH	P	P	55	7.60	0	7	1	1,264	I	27	27	8	7	6	-1	1	0	1	0	1	4	9	8
11/18/13 16:14	11/15/13	FUND	Fund	CEF	Closed-End Funds	Royce Charles M	NY	DOH	P	P	21	7.60	0	3	0	1,257	I	27	29	8	8	6	0	1	1	1	0	0	4	9	7
10/7/13 15:59	10/4/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	22	7.25	0	3	0	3,116	D	43	15	11	6	1	1	0	1	-1	0	3	6	11	11
10/4/13 15:59	10/3/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	181	7.25	0	25	1	3,113	D	36	14	11	4	1	0	0	0	1	0	4	6	12	13
10/3/13 15:44	10/2/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	136	7.24	0	19	1	3,088	D	34	16	11	6	3	0	0	1	-1	-2	5	5	13	11
10/1/13 13:29	10/1/13	FUND	Fund	CEF	Closed-End Funds	Diederich John D	NY	OH	VP,Treas	S.m	-242	7.23	0	-34	-94	2	D	30	15	8	4	2	-1	-2	-1	1	0	6	8	14	15
9/16/13 15:59	9/13/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	115	7.24	0	16	1	3,028	D	23	16	5	3	1	1	2	0	0	1	0	3	11	17
9/13/13 16:02	9/12/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	183	7.30	0	25	1	3,012	D	25	17	6	3	2	2	4	1	0	1	0	4	12	18
9/12/13 16:04	9/11/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	45	7.40	0	6	0	2,987	D	22	18	7	4	3	4	5	2	-1	1	-1	3	11	18
9/11/13 15:59	9/10/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	100	7.39	0	14	0	2,981	D	19	18	7	2	2	3	3	2	1	0	-2	3	11	18
9/10/13 16:00	9/9/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	28	7.27	0	4	0	2,968	D	21	20	8	2	2	3	3	3	1	0	-2	3	12	18
8/20/13 16:02	8/20/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	359	7.17	0	50	2	2,939	D	15	17	0	0	2	-1	-2	-2	-1	2	4	7	11	22
8/14/13 17:30	8/13/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	109	7.29	0	15	1	2,914	D	28	19	5	4	5	0	1	1	1	-2	1	4	6	19
8/14/13 17:28	8/13/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	109	7.29	0	15	1	2,914	D	28	19	5	4	5	0	1	1	1	-2	1	4	6	19
8/13/13 16:09	8/12/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	184	7.28	0	25	1	2,899	D	27	19	4	3	3	-2	0	1	0	-2	2	5	6	19
8/12/13 16:03	8/9/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	33	7.24	0	5	0	2,873	D	32	20	4	4	4	0	1	1	1	2	2	5	6	18
8/9/13 16:01	8/8/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	31	7.22	0	4	0	2,869	D	20	20	5	4	3	0	1	-1	0	1	1	5	4	18
8/8/13 16:01	8/7/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	189	7.22	0	26	1	2,863	D	16	20	3	3	4	-1	0	-1	0	1	0	6	4	17
8/7/13 16:08	8/6/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	94	7.22	0	13	0	2,838	D	9	23	4	5	6	0	0	-1	1	2	1	6	3	19
8/6/13 16:16	8/5/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	182	7.28	0	25	1	2,825	D	11	24	6	6	6	1	0	1	0	0	-1	6	3	18
7/24/13 16:16	7/23/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	48	7.30	0	7	0	2,800	D	6	25	7	13	2	6	3	2	0	-1	-2	3	9	23
7/23/13 15:57	7/22/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	181	7.25	0	25	1	2,794	D	5	23	7	13	1	3	2	1	1	-1	-1	4	8	23
7/19/13 15:56	7/18/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	91	7.24	0	13	0	2,769	D	6	22	8	13	1	3	3	0	0	1	2	2	10	24
7/18/13 16:00	7/17/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	29	7.22	0	4	0	2,756	D	6	22	6	11	2	4	3	1	0	1	2	1	11	24
7/17/13 16:02	7/16/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	140	7.20	0	20	1	2,752	D	6	23	6	10	2	6	3	1	1	2	2	2	10	25
7/16/13 16:00	7/15/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	99	7.18	0	14	1	2,733	D	6	22	7	8	1	5	3	3	0	1	1	2	9	25
7/15/13 16:03	7/12/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	59	7.20	0	8	0	2,719	D	5	20	6	5	2	3	3	2	0	1	1	2	9	25
7/12/13 16:00	7/11/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	200	7.12	0	28	1	2,711	D	3	19	7	5	-1	3	2	2	1	1	2	1	11	26
6/6/13 16:01	6/5/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	17	7.18	0	2	0	2,649	D	3	27	11	3	8	0	0	1	0	0	-2	0	6	19
6/4/13 16:07	6/3/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	3	7.15	0	0	0	2,646	D	2	24	11	4	10	1	0	0	0	2	-2	0	8	18
5/23/13 16:07	5/23/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	71	7.16	0	10	0	2,602	D	3	29	13	3	4	6	1	0	0	2	-2	1	9	18
5/21/13 15:17	5/20/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.am	901	7.21	0	125	5	2,482	D	6	24	20	0	7	7	3	1	0	0	-1	0	8	17
5/20/13 14:32	5/20/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P.m	897	7.17	0	125	5	2,482	M	5	21	19	0	7	7	2	1	0	0	1	4	8	17
5/16/13 14:58	5/15/13	FUND	Fund	CEF	Closed-End Funds	Fockler Jack E. Jr.	NY	OH	VP	P	36	7.21	0	5	2	263	I	1	18	14	1	6	6	3	1	0	0	1	4	8	18
5/15/13 15:16	5/14/13	FUND	Fund	CEF	Closed-End Funds	Fockler Jack E. Jr.	NY	OH	VP	P	65	7.19	0	9	4	258	I	1	18	13	1	5	7	4	1	0	1	2	4	8	18
5/9/13 14:27	5/8/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	DOTH	VP	P	176	7.04	0	25	1	2,477	I	0	15	10	0	1	9	4	3	0	1	3	3	10	19
4/15/13 16:18	4/15/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	60	6.85	0	9	0	2,451	I	-8	13	7	1	1	-1	2	2	-1	-2	5	7	10	22
4/12/13 17:01	4/12/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P.m	112	6.89	0	16	1	2,432	I	-8	10	6	2	1	-1	0	2	-3	-6	2	5	5	20
3/13/13 13:43	3/12/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	174	6.96	0	25	1	2,392	I	0	5	10	7	-1	-2	2	1	1	0	-1	5	7	19
1/30/13 16:18	1/30/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	68	7.11	0	10	0	2,367	I	6	9	19	10	9	4	1	0	0	1	-2	-3	5	9
1/17/13 11:23	1/16/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	6	6.85	0	1	0	2,358	I	1	11	13	6	6	4	1	-1	2	3	6	-4	8	18
1/9/13 10:02	1/8/13	FUND	Fund	CEF	Closed-End Funds	Fockler Jack E. Jr.	NY	OH	VP	P	152	6.91	0	22	6	375	I	1	13	10	4	4	3	4	1	0	2	4	2	5	19
1/8/13 16:45	1/7/13	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P.m	99	6.83	0	15	1	2,357	I	3	14	10	4	5	5	3	1	0	2	5	1	5	18
12/21/11 12:27	12/20/11	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	125	6.25	0	20	1	2,155	I	9	-12	-15	-3	-10	-4	-5	1	0	0	10	13	3	15
12/2/11 14:52	11/30/11	FUND	Fund	CEF	Closed-End Funds	Isaacs Stephen L	NY	D		S	-11	6.58	0	-2	-100	0	D	15	-6	-13	-6	2	-1	4	5	1	-1	-2	12	-5	7
3/2/11 14:45	3/1/11	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	159	7.97	0	20	1	2,071	I	122	24	38	11	2	0	-2	0	1	3	7	3	-8	-2
2/24/11 15:12	2/23/11	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	157	7.87	1	20	1	2,051	I	97	28	38	11	4	1	-1	-3	0	2	3	0	-11	-1
2/15/11 15:41	2/14/11	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	80	7.98	0	10	0	2,031	I	82	30	38	13	4	6	2	2	0	-1	-4	-1	-9	-4
1/31/11 16:07	1/28/11	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P.m	190	7.62	0	25	1	2,021	I	74	26	27	14	2	0	-1	0	2	3	4	12	2	-2
1/28/11 16:24	1/27/11	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	38	7.69	0	5	0	1,996	I	71	28	30	16	5	1	0	2	1	3	5	13	3	-1
1/28/11 14:48	1/27/11	FUND	Fund	CEF	Closed-End Funds	Fockler Jack E. Jr.	NY	OH	VP	P.m	178	7.72	0	23	13	197	I	71	28	30	16	5	1	0	2	-2	1	3	11	1	-3
1/27/11 16:13	1/26/11	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P.m	97	7.64	0	13	1	1,991	I	75	24	29	15	3	-1	-2	1	-2	1	4	11	2	-4
5/19/10 10:37	5/18/10	FUND	Fund	CEF	Closed-End Funds	Fockler Jack E. Jr.	NY	OH	VP	P	39	6.43	0	6	4	174	I	-26	24	10	4	-5	-7	3	-4	-1	-7	-2	-8	10	22
5/10/10 10:54	5/7/10	FUND	Fund	CEF	Closed-End Funds	Fockler Jack E. Jr.	NY	OH	VP	P	302	6.28	0	48	40	168	I	-21	23	11	6	-6	-9	-9	-7	6	4	-6	-4	13	30
1/19/10 14:23	1/15/10	FUND	Fund	CEF	Closed-End Funds	Fockler Jack E. Jr.	NY	OH	VP	P	203	6.75	0	30	33	120	I	-8	55	30	7	13	7	0	2	2	-6	-7	3	-13	16
11/12/09 16:21	11/10/09	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P.m	55	5.92	0	9	0	1,984	I	-25	35	17	6	2	-3	7	2	0	3	2	4	12	23
11/9/09 16:29	11/6/09	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P.m	70	5.88	0	12	1	1,975	I	-29	18	12	2	-2	-6	2	3	0	-2	0	-1	11	21
11/5/09 16:25	11/5/09	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	16	5.75	0	3	0	1,963	I	-31	7	11	1	-4	-10	-6	0	-1	2	3	1	8	22
11/4/09 16:08	11/3/09	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P.m	149	5.71	0	26	1	1,960	I	-31	17	6	1	-6	-9	-7	-3	4	6	5	5	12	22
10/20/09 16:14	10/20/09	FUND	Fund	CEF	Closed-End Funds	Diederich John D	NY	OH	VP,Treas	P	6	6.12	0	1	3	31	D	-28	7	32	18	10	5	2	1	-2	-2	-4	8	14	7
8/7/09 15:40	8/6/09	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P	112	5.58	0	20	1	1,960	I	-30	-32	25	10	7	9	4	0	2	1	-1	1	6	8
8/6/09 12:06	8/4/09	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	VP	P.m	136	5.52	0	25	1	1,940	I	-30	-32	29	5	9	9	2	2	1	2	-2	1	7	9
8/4/09 12:14	8/3/09	FUND	Fund	CEF	Closed-End Funds	George W Whitney	NY	OTH	Vicd P	P	56	5.53	0	10	1	1,915	I	-33	-32	33	11	9	15	2	4	0	2	-3	1	12	8

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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