ABE - Aberdeen Emerging Markets Smaller Co Opportunities Fund, Inc. - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	13	123	0	1	-0	2	6	20	5
P	%wins				79	72	52	69	78	77	71
S	%ret	1	2	20	-0	-0	3	2	17	21	7
S	%wins				85	70	21	37	21	0	39

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
3/20/18 11:26	11/8/17	ABE	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P.a	8	14.43	0	1	9	7	D
3/2/18 16:17	3/1/18	ABE	Fund	CEF	Closed-End Funds	City of London Investment Group Plc	X0	T		S	-1,483	15.10	0	-98	-3	3,789	I
3/2/18 16:17	3/1/18	ABE	Fund	CEF	Closed-End Funds	City of London Investment Group Plc	X0	T		P	1,483	15.10	0	98	3	3,789	I
11/13/17 16:12	11/8/17	ABE	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	8	14.43	0	1	8	7	D
11/13/17 16:12	11/8/17	ABE	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	4	14.43	0	0	3	10	D
11/13/17 16:11	11/8/17	ABE	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	3	14.43	0	0	2	10	D
11/13/17 16:08	11/8/17	ABE	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	14.43	0	0	3	10	D
4/26/17 16:19	4/24/17	ABE	Fund	CEF	Closed-End Funds	City of London Investment Group Plc	X0	T		P	908	13.50	0	67	2	3,981	I	1	12	9	15	11	1	1	0	0	2
4/26/17 16:19	4/24/17	ABE	Fund	CEF	Closed-End Funds	City of London Investment Group Plc	X0	T		S	-908	13.50	0	-67	-2	3,981	I	1	12	9	15	11	1	1	0	0	2
4/14/17 07:20	4/12/17	ABE	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	8	13.51	0	1	10	6	D	1	10	8	16	10	6	0	-2	1	1
4/14/17 07:20	4/12/17	ABE	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	4	13.51	0	0	3	10	D	1	10	8	16	10	6	0	-2	1	1
4/14/17 07:20	4/12/17	ABE	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	4	13.51	0	0	3	9	D	1	10	8	16	10	6	0	-2	1	1
4/14/17 07:19	4/12/17	ABE	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	13.51	0	0	3	9	D	1	10	8	16	10	6	0	-2	1	1
11/14/16 15:03	11/9/16	ABE	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	8	11.95	0	1	13	6	D	-16	2	-4	-11	-10	-9	-7	-6	-1	0	0	6
11/14/16 15:02	11/9/16	ABE	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	4	11.95	0	0	4	10	D	-16	2	-4	-11	-10	-9	-7	-6	-1	0	0	6
11/14/16 15:02	11/9/16	ABE	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	4	11.95	0	0	4	9	D	-16	2	-4	-11	-10	-9	-7	-6	-1	0	0	6
11/14/16 15:01	11/9/16	ABE	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	11.95	0	0	4	9	D	-16	2	-4	-11	-10	-9	-7	-6	-1	0	0	6
4/15/16 10:45	4/13/16	ABE	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	8	12.04	0	1	15	5	D	-7	-8	8	22	12	9	6	4	-1	-2	-3	3	2
4/15/16 10:44	4/13/16	ABE	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	4	12.04	0	0	4	9	D	-7	-8	8	22	12	9	6	4	-1	-2	-3	3	2
4/15/16 10:44	4/13/16	ABE	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	1	12.04	0	0	1	9	D	-7	-8	8	22	12	9	6	4	-1	-2	-3	3	2
4/15/16 10:44	4/13/16	ABE	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	4	12.04	0	0	4	9	D	-7	-8	8	22	12	9	6	4	-1	-2	-3	3	2
4/15/16 10:44	4/13/16	ABE	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	12.04	0	0	4	9	D	-7	-8	8	22	12	9	6	4	-1	-2	-3	3	2
12/30/15 16:28	12/28/15	ABE	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	8	10.94	0	1	20	4	D	-19	-16	-14	4	-2	0	1	0	0	-3	-4	7	10	3
12/30/15 16:28	12/28/15	ABE	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	4	10.94	0	0	4	9	D	-19	-16	-14	4	-2	0	1	0	0	-3	-4	7	10	3
12/30/15 16:28	12/28/15	ABE	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	4	10.94	0	0	4	9	D	-19	-16	-14	4	-2	0	1	0	0	-3	-4	7	10	3
12/30/15 16:27	12/28/15	ABE	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	4	10.94	0	0	5	8	D	-19	-16	-14	4	-2	0	1	0	0	-3	-4	7	10	3
12/30/15 16:22	12/28/15	ABE	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	10.94	0	0	4	8	D	-19	-16	-14	4	-2	0	1	0	0	-3	-4	7	10	3
7/29/15 16:03	7/27/15	ETF	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	8	12.66	0	1	21	4	D
7/29/15 16:03	7/27/15	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	8	12.66	0	1	8	9	D
7/29/15 16:03	7/27/15	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	4	12.66	0	0	4	8	D
7/29/15 16:02	7/27/15	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	4	12.66	0	0	4	8	D
7/29/15 16:02	7/27/15	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	12.66	0	0	4	8	D
4/9/15 11:05	4/8/15	ETF	Fund	CEF	Closed-End Funds	Goodson Alan R	PA	O	VP	S	-13	13.10	0	-1	-100	0	D
4/7/15 12:21	12/26/14	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P.a	4	13.33	0	0	4	8	D
12/30/14 11:05	12/26/14	ETF	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	8	13.33	0	1	25	3	D
12/30/14 11:05	12/26/14	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	8	13.33	0	1	8	8	D
12/30/14 11:04	12/26/14	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	4	13.33	0	0	4	8	D
12/30/14 11:04	12/26/14	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	13.33	0	0	4	8	D
12/30/14 11:04	12/26/14	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	4	13.33	0	0	23	2	D
7/29/14 13:24	7/25/14	ETF	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	8	14.76	0	1	29	2	D
7/29/14 13:23	7/25/14	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	4	14.76	0	0	4	7	D
7/29/14 13:19	7/25/14	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	8	14.76	0	1	8	7	D
7/29/14 13:18	7/25/14	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	4	14.76	0	0	27	1	D
7/29/14 13:17	7/25/14	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	14.76	0	0	4	7	D
2/14/14 13:40	2/14/14	ETF	Fund	CEF	Closed-End Funds	Goodson Alan R	PA	O	VP	P	12	12.49	0	1	New	1	D
12/30/13 14:07	12/26/13	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	4	13.81	0	0	6	5	D
12/30/13 14:02	12/26/13	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	8	13.81	0	1	10	6	D
12/30/13 12:47	12/26/13	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	13.81	0	0	6	5	D
12/30/13 12:42	12/26/13	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	4	13.81	0	0	54	1	D
12/30/13 12:38	12/26/13	ETF	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	8	13.81	0	1	60	1	D
7/29/13 10:47	7/25/13	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	4	20.32	0	0	4	5	D
7/29/13 10:41	7/25/13	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	4	20.32	0	0	58	1	D
7/29/13 10:40	7/25/13	ETF	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	7	20.32	0	0	70	1	D
7/29/13 10:33	7/25/13	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	4	20.32	0	0	4	5	D
7/29/13 10:30	7/25/13	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	7	20.32	0	0	7	5	D
6/27/13 15:39	6/26/13	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P	7	19.36	0	0	55	1	D
6/27/13 15:39	6/26/13	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P	7	19.36	0	0	55	1	D
12/28/12 10:16	12/26/12	ETF	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	6	21.15	0	0	130	1	D
12/28/12 10:14	12/26/12	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P	6	21.15	0	0	16	2	D
12/28/12 10:12	12/26/12	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	6	21.15	0	0	6	5	D
12/28/12 10:08	12/26/12	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	3	21.15	0	0	3	4	D
12/28/12 10:06	12/26/12	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	3	21.15	0	0	3	6	D
12/28/12 10:03	12/26/12	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	3	21.15	0	0	3	4	D
8/10/12 13:54	7/25/12	ETF	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P.a	3	18.97	0	0	280	0	D
8/10/12 13:52	7/25/12	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P.a	6	18.97	0	0	New	0	D
8/10/12 13:48	7/25/12	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P.a	6	18.97	0	0	8	5	D
8/10/12 13:47	7/25/12	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P.a	3	18.97	0	0	4	4	D
8/10/12 13:45	7/25/12	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P.a	3	18.97	0	0	999%	0	D
8/10/12 13:44	7/25/12	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P.a	3	18.97	0	0	4	4	D
7/27/12 12:01	7/25/12	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P	6	18.97	0	0	22	2	D
7/27/12 12:00	7/25/12	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	6	18.97	0	0	8	5	D
7/27/12 11:59	7/25/12	ETF	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	3	18.97	0	0	280	0	D
7/27/12 11:54	7/25/12	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	3	18.97	0	0	4	4	D
7/27/12 11:54	7/25/12	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	3	18.97	0	0	4	4	D
7/27/12 11:52	7/25/12	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	3	18.97	0	0	4	4	D
12/29/11 14:55	12/27/11	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P.a	6	17.51	0	0	31	2	D	8	-7	-6	-1	-5	-4	3	0	1	2	7
12/29/11 11:41	12/27/11	ETF	Fund	CEF	Closed-End Funds	Zagoreos Alexander E	PA	D		P	1	17.51	0	0	New	0	D	8	-7	-6	-1	-5	-4	3	0	1	2	7
12/29/11 11:40	12/27/11	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	PA	D		P	3	17.51	0	0	8	2	D	8	-7	-6	-1	-5	-4	3	0	1	2	7
12/29/11 11:40	12/27/11	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P	6	17.51	0	0	New	0	D	8	-7	-6	-1	-5	-4	3	0	1	2	7
12/28/11 16:49	12/27/11	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	6	17.51	0	0	9	4	D	10	-5	-5	1	-3	-3	4	1	1	3	7
12/28/11 16:48	12/27/11	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	3	17.51	0	0	5	4	D	10	-5	-5	1	-3	-3	4	1	1	3	7
12/28/11 16:47	12/27/11	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	3	17.51	0	0	5	4	D	10	-5	-5	1	-3	-3	4	1	1	3	7
12/28/11 16:46	12/27/11	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	3	17.51	0	0	5	4	D	10	-5	-5	1	-3	-3	4	1	1	3	7
7/27/11 13:27	7/25/11	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	6	17.36	0	0	13	3	D	23	15	4	2	5	3	2	1	-2	-2	-5	-8	-4
7/26/11 16:30	7/25/11	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P	6	17.36	0	0	39	1	D	21	15	3	1	5	2	2	1	-2	-1	-5	-8	-5
7/26/11 16:24	7/25/11	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	PA	D		P	3	17.36	0	0	9	2	D	21	15	3	1	5	2	2	1	-2	-1	-5	-8	-5
7/26/11 16:21	7/25/11	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	3	17.36	0	0	5	4	D	21	15	3	1	5	2	2	1	-2	-1	-5	-8	-5
7/26/11 16:14	7/25/11	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	3	17.36	0	0	5	4	D	21	15	3	1	5	2	2	1	-2	-1	-5	-8	-5
7/26/11 16:09	7/25/11	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	3	17.36	0	0	5	4	D	21	15	3	1	5	2	2	1	-2	-1	-5	-8	-5
12/29/10 12:56	12/29/10	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	3	18.69	0	0	5	3	D	54	16	24	3	1	1	1	0	2	4	0	-1	0	-5
12/29/10 12:46	12/29/10	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	3	18.69	0	0	5	3	D	54	16	24	3	1	1	1	0	2	4	0	-1	0	-5
12/29/10 12:38	12/29/10	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	3	18.69	0	0	5	4	D	54	16	24	3	1	1	1	0	2	4	0	-1	0	-5
12/29/10 12:24	12/29/10	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	PA	D		P	3	18.69	0	0	10	2	D	54	16	24	3	1	1	1	0	2	4	0	-1	0	-5
12/29/10 12:16	12/29/10	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P	6	18.69	0	0	61	1	D	54	16	24	3	1	1	1	0	2	4	0	-1	0	-5
12/29/10 12:05	12/29/10	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	6	18.69	0	0	14	3	D	54	16	24	3	1	1	1	0	2	4	0	-1	0	-5
7/29/10 14:41	7/26/10	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P.a	6	17.36	0	0	18	2	D	-8	6	8	3	7	5	4	1	0	2	-1	13	12	14
7/29/10 14:37	7/26/10	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P.a	3	17.36	0	0	5	3	D	-8	6	8	3	7	5	4	1	0	2	-1	13	12	14
7/29/10 14:31	7/26/10	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P.a	3	17.36	0	0	5	3	D	-8	6	8	3	7	5	4	1	0	2	-1	13	12	14
7/28/10 18:17	7/26/10	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	6	17.36	0	0	18	2	D	-8	6	8	4	8	6	6	2	0	2	-1	13	12	16
7/28/10 18:01	7/26/10	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	3	17.36	0	0	5	3	D	-8	6	8	4	8	6	6	2	0	2	-1	13	12	16
7/28/10 17:31	7/26/10	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	PA	D		P	3	17.36	0	0	12	2	D	-8	6	8	4	8	6	6	2	0	2	-1	13	12	16
7/28/10 17:27	7/26/10	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P	6	17.36	0	0	192	1	D	-8	6	8	4	8	6	6	2	0	2	-1	13	12	16
7/28/10 17:26	7/26/10	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P.a	3	17.36	0	0	5	3	D	-8	6	8	4	8	6	6	2	0	2	-1	13	12	16
7/28/10 17:15	7/26/10	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	3	17.36	0	0	5	3	D	-8	6	8	4	8	6	6	2	0	2	-1	13	12	16
12/30/09 16:47	12/28/09	ETF	Fund	CEF	Closed-End Funds	Hazlett Gregory	PA	D		P	3	16.68	0	0	New	0	D	-36	35	12	-4	-1	2	2	0	0	2	-5	2	-5	17
12/29/09 19:07	12/28/09	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	PA	D		P	6	16.68	0	0	23	2	D	-36	33	10	-4	-1	-1	0	1	0	2	-4	1	-7	15
12/29/09 19:00	12/28/09	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	PA	D		P	3	16.68	0	0	14	1	D	-36	33	10	-4	-1	-1	0	1	0	2	-4	1	-7	15
12/29/09 18:55	12/28/09	ETF	Fund	CEF	Closed-End Funds	Torino Martin	PA	D		P	3	16.68	0	0	6	3	D	-36	33	10	-4	-1	-1	0	1	0	2	-4	1	-7	15
12/29/09 18:50	12/28/09	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	PA	D		P	3	16.68	0	0	6	3	D	-36	33	10	-4	-1	-1	0	1	0	2	-4	1	-7	15
12/29/09 18:44	12/28/09	ETF	Fund	CEF	Closed-End Funds	Cattano James	PA	D		P	3	16.68	0	0	6	3	D	-36	33	10	-4	-1	-1	0	1	0	2	-4	1	-7	15
7/30/09 16:12	7/28/09	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	3	18.01	0	0	6	3	D	-23	-18	25	17	10	8	-1	-4	2	5	1	4	0	8
7/30/09 16:02	7/28/09	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	NY	D		P	6	18.01	0	0	15	3	D	-23	-18	25	17	10	8	-1	-4	2	5	1	4	0	8
7/30/09 15:33	7/28/09	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	3	18.01	0	0	2	9	D	-23	-18	25	17	10	8	-1	-4	1	6	3	5	1	10
7/30/09 15:26	7/28/09	ETF	Fund	CEF	Closed-End Funds	Cattano James	FL	DH	Audit Co	P	3	18.01	0	0	5	3	D	-23	-18	25	17	10	8	-1	-4	1	6	3	5	1	10
7/30/09 15:15	7/28/09	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DOH	CB,	P	3	18.01	0	0	4	4	D	-23	-18	25	17	10	8	-1	-4	1	6	3	5	1	10
1/6/09 16:07	12/30/08	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	NY	D		P	6	14.91	1	0	23	2										-5	-13	-13	-13	1	20
1/6/09 15:07	12/30/08	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	3	14.91	1	0	8	3										-3	-11	-10	-11	3	23
1/6/09 13:35	12/30/08	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	3	14.91	1	0	2	9	B									-3	-11	-10	-11	3	23
1/6/09 12:40	12/30/08	ETF	Fund	CEF	Closed-End Funds	Cattano James	FL	DH	Audit Co	P	3	14.91	1	0	7	3										-3	-11	-10	-11	3	23
1/6/09 09:40	12/30/08	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DOH	CB	P	3	14.91	1	0	5	4	D	-22	-42	-25	-1	45	18	16	11	2	-11	-10	-11	3	23
7/30/08 11:33	7/25/08	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	NY	D		P	6	22.67	1	0	17	2	D	60	-6	-13	-13	-6	2	0	1	1	1	-4	-48	-34	-18
7/30/08 09:44	7/25/08	ETF	Fund	CEF	Closed-End Funds	Cattano James	FL	DH	Audit Co	P	3	22.67	1	0	4	3	D	60	-6	-13	-13	-6	2	0	1	1	1	-4	-48	-34	-18
7/30/08 08:13	7/25/08	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DOH	CB	P	3	22.67	1	0	4	4	D	60	-6	-13	-13	-6	2	0	1	1	1	-4	-48	-34	-18
7/29/08 14:37	7/25/08	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	3	22.67	1	0	5	3	D	57	-10	-14	-17	-9	0	-3	-4	2	1	-2	-43	-35	-14
7/29/08 13:53	7/25/08	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	3	22.67	1	0	2	8	D	57	-10	-14	-17	-9	0	-3	-4	2	1	-2	-43	-35	-14
7/9/08 16:56	7/9/08	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	150	19.80	1	8	999%	8	M	58	-12	-21	-17	-15	-8	-4	1	2	-1	4	-31	-24	-23
12/28/07 16:31	12/26/07	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DOH	CB	P	3	27.57	1	0	3	4	D	127	52	28	13	7	-3	8	2	0	-8	-15	-19	-25	-53
12/28/07 15:16	12/26/07	ETF	Fund	CEF	Closed-End Funds	Cattano James	FL	DH	Audit Co	P	3	27.57	1	0	3	3	D	127	52	28	13	7	-3	8	2	0	-8	-15	-18	-25	-52
12/28/07 13:57	12/26/07	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	NY	D		P	3	27.57	1	0	7	2	D	127	52	28	13	7	-3	8	2	0	-8	-15	-18	-25	-52
12/28/07 11:43	12/26/07	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	3	27.57	1	0	4	2	D	127	52	28	13	7	-3	8	2	0	-8	-15	-18	-25	-52
12/28/07 10:52	12/26/07	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	3	27.57	1	0	15	1	D	127	52	28	13	7	-3	8	2	0	-8	-15	-18	-25	-52
7/27/07 16:45	7/25/07	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	NY	D		P	3	23.02	1	0	9	1	D	111	77	21	1	1	-1	-2	-4	-2	-1	0	22	4	-9
7/27/07 14:25	7/25/07	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	3	23.02	1	0	5	2	D	111	77	21	1	1	-1	-2	-4	-1	-1	-1	21	4	-10
7/27/07 13:24	7/25/07	ETF	Fund	CEF	Closed-End Funds	Cattano James	FL	DH	Audit Co	P	3	23.02	1	0	4	3	D	111	77	21	1	1	-1	-2	-4	-1	-1	-1	21	4	-10
7/27/07 12:29	7/25/07	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	3	23.02	1	0	22	1	D	111	77	21	1	1	-1	-2	-4	-1	-1	-1	21	4	-10
7/27/07 11:01	7/25/07	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DOH	CB	P	3	23.02	1	0	3	4	D	111	77	21	1	1	-1	-2	-4	-1	-1	-1	21	4	-10
5/14/07 10:30	5/11/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-46	20.75	1	-2	0	710	I	118	47	21	11	10	0	0	1	0	2	3	-5	18	13
5/14/07 10:16	5/10/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-66	20.75	1	-3	0	712	I	118	47	21	11	10	0	0	1	0	2	3	-5	18	13
5/14/07 09:58	5/9/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-201	20.75	1	-10	-1	715	I	118	47	21	11	10	0	0	1	0	2	3	-5	18	13
5/14/07 09:40	5/8/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-41	20.65	1	-2	0	725	I	118	47	21	11	10	0	0	1	0	2	3	-5	18	13
5/8/07 08:51	5/7/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-15	20.80	1	-1	0	727	I	118	42	26	11	11	1	-4	0	0	1	2	0	31	16
5/7/07 08:41	5/4/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-220	20.97	1	-11	-1	728	I	125	46	31	13	13	4	-3	1	-1	-1	3	-1	29	14
5/4/07 09:06	5/3/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-124	21.00	1	-6	-1	738	I	124	41	31	15	13	5	-2	1	0	-1	5	3	34	14
5/3/07 09:05	5/2/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-17	20.72	1	-1	0	744	I	120	47	30	14	13	5	-1	-4	1	0	6	2	34	15
5/1/07 08:43	4/27/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-17	21.75	0	-1	0	745	I	120	52	33	13	18	5	2	-4	0	0	8	3	32	10
4/27/07 08:39	4/26/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-131	21.80	0	-6	-26	17	I	131	59	41	19	28	11	6	4	0	-3	2	1	22	11
4/26/07 08:42	4/25/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-108	21.50	0	-5	-1	752	I	132	59	42	17	29	9	7	5	0	-4	0	7	23	10
4/25/07 10:06	4/24/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-210	21.00	0	-10	-1	757	I	125	58	37	15	27	10	7	5	1	-2	4	6	18	11
1/25/07 08:36	1/24/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-4	18.75	1	0	0	767	I	98	48	49	21	-3	-1	2	1	-1	-1	7	17	25	26
1/19/07 09:01	1/18/07	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-33	18.50	1	-2	0	767	I	92	45	58	26	3	3	2	2	-1	-1	3	11	25	20
12/29/06 15:29	12/27/06	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	NY	D		P	2	17.81	1	0	89	0	D	83	52	52	28	4	-6	-8	-1	1	0	1	5	17	51
12/29/06 13:55	12/27/06	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	2	17.81	1	0	7	2	D	83	52	52	28	4	-6	-8	-1	1	0	1	5	17	51
12/29/06 13:31	12/27/06	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	2	17.81	1	0	37	1	D	83	52	52	28	4	-6	-8	-1	1	0	1	5	17	51
12/29/06 12:34	12/27/06	ETF	Fund	CEF	Closed-End Funds	Cattano James	FL	DH	Audit Co	P	2	17.81	1	0	5	3	D	83	52	52	28	4	-6	-8	-1	1	0	1	5	17	51
12/29/06 11:07	12/27/06	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	2	17.81	1	0	0	769	D	83	52	52	28	4	-6	-8	-1	1	0	1	5	17	51
12/29/06 10:06	12/27/06	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DOH	CB	P	2	17.81	1	0	4	3	D	83	52	52	28	4	-6	-8	-1	1	0	1	5	17	51
7/27/06 20:24	7/25/06	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	2	12.56	0	0	10	2	D	66	21	-3	-8	12	1	4	5	3	1	5	22	47	74
7/27/06 19:45	7/25/06	ETF	Fund	CEF	Closed-End Funds	Rappaport Steven N	NY	D		P	2	12.56	0	0	New	0	D	66	21	-3	-8	12	1	4	5	3	1	5	22	47	74
7/27/06 19:31	7/25/06	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	2	12.56	0	0	0	724	D	66	21	-3	-8	12	1	4	5	3	1	5	22	47	74
7/27/06 18:26	7/25/06	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	2	12.56	0	0	109	0	D	66	21	-3	-8	12	1	4	5	3	1	5	22	47	74
7/27/06 16:16	7/25/06	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DOH	CB and	P	2	12.56	0	0	6	3	D	66	21	-3	-8	12	1	4	5	3	1	5	22	47	74
7/27/06 14:56	7/25/06	ETF	Fund	CEF	Closed-End Funds	Cattano James	CT	DH	Audit Co	P	2	12.56	0	0	8	3	D	66	21	-3	-8	12	1	4	5	0	1	5	22	47	74
6/16/06 10:59	6/13/06	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P.a	111	10.73	0	10	1	724	a									0	-1	-1	13	49	82
6/16/06 10:22	6/13/06	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	111	10.73	0	10	1	732	A									0	-1	-1	13	49	82
3/24/06 09:06	3/20/06	ETF	Fund	CEF	Closed-End Funds	Haber Lawrence	NY	D		P	12	12.78	0	1	New	1										0	-1	7	-6	8	46
3/7/06 16:49	3/3/06	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-106	13.25	0	-8	-1	714	A									-3	0	3	-2	7	34
1/31/06 20:49	1/25/06	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S.m	-60	12.94	0	-5	-1	722	A									-1	-1	1	9	0	41
1/17/06 11:23	1/13/06	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-6	12.85	0	-1	0	726	A									-4	-3	-1	1	-7	42
1/13/06 15:57	1/12/06	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-36	12.85	0	-3	0	727	A									0	-3	0	1	-9	43
1/12/06 16:09	1/11/06	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		S	-102	12.80	0	-8	-1	729	A									1	0	0	1	-5	42
12/29/05 18:31	12/27/05	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	1	11.98	0	0	6	2	D	64	21	19	7	6	1	3	0	0	6	11	8	2	54
12/29/05 17:33	12/27/05	ETF	Fund	CEF	Closed-End Funds	Landau Ambassador George	FL	D		P	1	11.98	0	0	4	3	D	64	21	19	7	6	1	3	0	0	6	11	8	2	54
12/29/05 16:46	12/27/05	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	1	11.98	0	0	0	737	D	64	21	19	7	6	1	3	0	0	6	11	8	2	54
12/29/05 16:35	12/27/05	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	1	11.98	0	0	132	0	D	64	21	19	7	6	1	3	0	0	6	11	8	2	54
12/29/05 15:56	12/27/05	ETF	Fund	CEF	Closed-End Funds	Cattano James	CT	DH	Audit Co	P	1	11.98	0	0	5	2	D	64	21	19	7	6	1	3	0	-2	4	9	6	0	52
12/29/05 14:37	12/27/05	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DH	Nominati	P	1	11.98	0	0	3	3	D	64	21	19	7	6	1	3	0	-2	4	9	6	0	52
9/1/05 11:17	8/30/05	ETF	Fund	CEF	Closed-End Funds	Plump Steven B	NY	OH	CEO	P	10	10.34	0	1	New	1	D	59	35	1	6	2	-2	0	2	1	2	7	11	26	29
7/27/05 18:55	7/25/05	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	1	10.49	0	0	7	2	D	68	36	8	9	3	2	1	0	1	4	0	6	25	21
7/27/05 17:32	7/25/05	ETF	Fund	CEF	Closed-End Funds	Landau Ambassador George	FL	D		P	1	10.49	0	0	5	2	D	68	36	8	9	3	2	1	0	1	4	0	6	25	21
7/27/05 16:53	7/25/05	ETF	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	1	10.49	0	0	0	737	D	68	36	8	9	3	2	1	0	1	4	0	6	25	21
7/27/05 16:44	7/25/05	ETF	Fund	CEF	Closed-End Funds	Eberstadt Walter A	NY	D		P	1	10.49	0	0	New	0	D	68	36	8	9	3	2	1	0	1	4	0	6	25	21
7/27/05 16:22	7/25/05	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DH	Nominati	P	1	10.49	0	0	4	3	D	68	36	8	9	3	2	1	0	1	4	0	6	25	21
7/27/05 15:56	7/25/05	ETF	Fund	CEF	Closed-End Funds	Cattano James	CT	DH	Audit Co	P	1	10.49	0	0	6	2	D	68	36	8	9	3	2	1	0	0	4	0	6	25	21
12/29/04 17:37	12/27/04	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	1	10.02	0	0	8	2	D	67	39	27	24	8	5	6	1	0	0	-3	-6	2	21
12/29/04 17:03	12/27/04	ETF	Fund	CEF	Closed-End Funds	Priest William W	NY	D		P	1	10.02	0	0	23	1	D	67	39	27	24	8	5	6	1	0	0	-3	-6	2	21
12/29/04 16:14	12/27/04	ETF	Fund	CEF	Closed-End Funds	Landau Ambassador George	FL	D		P	1	10.02	0	0	6	2	D	67	39	27	24	8	5	6	1	0	0	-3	-6	2	21
12/29/04 15:27	12/27/04	ETF	Fund	CEF	Closed-End Funds	Cattano James	CT	DH	Audit Co	P	1	10.02	0	0	6	2	D	67	39	27	24	8	5	6	1	0	0	-3	-6	2	21
12/29/04 13:14	12/27/04	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	DH	Nominati	P	1	10.02	0	0	5	3	D	67	39	27	24	8	5	6	1	0	0	-3	-6	2	21
7/28/04 17:22	7/26/04	ETF	Fund	CEF	Closed-End Funds	Priest William W	NY	D		P	1	7.67	0	0	44	1	D	23	23	-14	-7	-2	-1	-4	-2	1	3	0	9	26	36
7/28/04 16:41	7/26/04	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	1	7.67	0	0	11	2	D	23	23	-14	-7	-2	-1	-4	-2	1	3	0	9	26	36
7/28/04 16:04	7/26/04	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	D		P	1	7.67	0	0	6	3	D	23	23	-14	-7	-2	-1	-4	-2	1	3	0	9	26	36
7/28/04 15:33	7/26/04	ETF	Fund	CEF	Closed-End Funds	Landau Ambassador George	FL	D		P	1	7.67	0	0	4	5	D	23	23	-14	-7	-2	-1	-4	-2	1	3	1	10	26	36
7/28/04 13:57	7/26/04	ETF	Fund	CEF	Closed-End Funds	Cattano James	CT	DH	Audit Co	P	1	7.67	0	0	9	2	D	23	23	-14	-7	-2	-1	-4	-2	1	3	1	10	26	36
12/30/03 16:09	12/26/03	ETF	Fund	CEF	Closed-End Funds	Torino Martin	C1	D		P	1	7.23	0	0	14	1	D	6	25	19	12	6	4	5	2	1	5	11	13	4	34
12/30/03 15:03	12/26/03	ETF	Fund	CEF	Closed-End Funds	Priest William W	NY	D		P	1	7.23	0	0	86	0	D	6	25	19	12	6	4	5	2	2	7	12	14	6	36
12/30/03 14:12	12/26/03	ETF	Fund	CEF	Closed-End Funds	Landau Ambassador George	FL	D		P	1	7.23	0	0	4	4	D	6	25	19	12	6	4	5	2	2	7	12	14	6	36
12/30/03 13:43	12/26/03	ETF	Fund	CEF	Closed-End Funds	Arzac Enrique R	NY	D		P	1	7.23	0	0	7	3	D	6	25	19	12	6	4	5	2	2	7	12	14	6	36
12/30/03 12:54	12/26/03	ETF	Fund	CEF	Closed-End Funds	Cattano James	CT	DH	Audit Co	P	1	7.23	0	0	10	2	D	6	25	19	12	6	4	5	2	2	7	12	14	6	36

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

TC

Stat

Stk

Ins

Fil

+d

+w

+m

+q

+h

+y

avg

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