11/19/19 13:56 | 11/19/19 | DSE | Duff & Phelps Select Mlp & Midstream Energy Fund Inc. | | Fund | CEF | Closed-End Funds | Rogers James B Jr | CT | D | | P | 3 | 3.35 | 0 | 1 | 100 | 2 | D | | | | | | | | | | | | | | |
10/7/19 18:02 | 10/2/19 | SG | Sirius International Insurance Group, Ltd. | D0 | Insur | Insur | Fire, Marine & Casualty Insur | Rogers James B Jr | D0 | D | | P.a | 1 | 7.33 | 0 | 0 | 1 | 11 | D | | | | | | | | | | | | | | |
10/4/19 17:32 | 10/2/19 | SG | Sirius International Insurance Group, Ltd. | D0 | Insur | Insur | Fire, Marine & Casualty Insur | Rogers James B Jr | D0 | D | | P | 1 | 7.33 | 0 | 0 | 3 | 4 | D | | | | | | | | | | | | | | |
12/13/18 18:08 | 12/12/18 | SG | Sirius International Insurance Group, Ltd. | D0 | Insur | Insur | Fire, Marine & Casualty Insur | Rogers James B Jr | D0 | D | | P | 4 | 15.00 | 0 | 0 | 7 | 4 | D | | | | | | | | | | | | | | |
12/12/18 16:22 | 12/12/18 | SG | Sirius International Insurance Group, Ltd. | D0 | Insur | Insur | Fire, Marine & Casualty Insur | Rogers James B Jr | D0 | D | | P | 9 | 15.50 | 0 | 1 | 21 | 4 | D | | | | | | | | | | | | | | |
12/3/18 10:25 | 11/29/18 | SG | Sirius International Insurance Group, Ltd. | D0 | Insur | Insur | Fire, Marine & Casualty Insur | Rogers James B Jr | D0 | D | | P | 1 | 15.50 | 0 | 0 | 2 | 3 | D | | | | | | | | | | | | | | |
11/28/18 19:00 | 11/27/18 | SG | Sirius International Insurance Group, Ltd. | D0 | Insur | Insur | Fire, Marine & Casualty Insur | Rogers James B Jr | D0 | D | | P | 2 | 15.50 | 0 | 0 | 4 | 3 | D | | | | | | | | | | | | | | |
11/20/18 14:27 | 11/19/18 | VGI | Virtus Global Multi-Sector Income Fund | | Fund | CEF | Closed-End Funds | Rogers James B Jr | CT | D | | P | 12 | 11.84 | 0 | 1 | New | 1 | D | | | | | | | | | | | | | | |
11/20/18 14:26 | 11/19/18 | DSE | Duff & Phelps Select Energy Mlp Fund Inc. | | Fund | CEF | Closed-End Funds | Rogers James B Jr | CT | D | | P | 5 | 5.01 | 0 | 1 | New | 1 | D | | | | | | | | | | | | | | |
11/18/13 13:59 | 11/18/13 | FU | Fab Universal Corp. | CO | Tech | Softw | Prepackaged Software | Rogers James B Jr | U0 | D | | P | 45 | 4.51 | 0 | 10 | 17 | 69 | D | | | | | | | | | | | | | | |
9/13/13 11:32 | 9/11/13 | FU | Fab Universal Corp. | CO | Tech | Softw | Prepackaged Software | Rogers James B Jr | U0 | D | | P | 43 | 4.25 | 0 | 10 | 20 | 59 | D | | | | | | | | | | | | | | |
8/19/13 11:10 | 8/15/13 | FU | Fab Universal Corp. | CO | Tech | Softw | Prepackaged Software | Rogers James B Jr | U0 | D | | P | 90 | 4.50 | 0 | 20 | 69 | 49 | D | | | | | | | | | | | | | | |
7/8/13 15:19 | 6/13/13 | ZTR | Zweig Total Return Fund Inc | | Fund | CEF | Closed-End Funds | Rogers James B Jr | CT | D | | P | 13 | 13.26 | 1 | 1 | 68 | 2 | D | 14 | 13 | 7 | 2 | -2 | -1 | 3 | 0 | 1 | 2 | 4 | 3 | 12 | 21 |
7/8/13 15:18 | 6/13/13 | ZF | Zweig Fund Inc /md/ | MD | Fund | CEF | Closed-End Funds | Rogers James B Jr | CT | D | | P | 13 | 13.25 | 1 | 1 | 40 | 4 | D | 10 | 15 | 6 | 3 | -4 | -1 | 4 | 0 | 0 | 4 | 7 | 7 | 18 | 31 |
7/1/13 11:19 | 6/28/13 | FU | Fab Universal Corp. | CO | Tech | Softw | Prepackaged Software | Rogers James B Jr | U0 | D | | P | 35 | 3.51 | 0 | 10 | 52 | 29 | D | | | | | | | | | | | | | | |
6/26/13 10:34 | 6/24/13 | ZTR | Zweig Total Return Fund Inc | | Fund | CEF | Closed-End Funds | Rogers James B Jr | CT | D | | P | 13 | 12.53 | 1 | 1 | 212 | 1 | D | 12 | 11 | 6 | -1 | -5 | -3 | -4 | -2 | 1 | 2 | 5 | 7 | 15 | 23 |
6/26/13 10:34 | 6/24/13 | ZF | Zweig Fund Inc /md/ | MD | Fund | CEF | Closed-End Funds | Rogers James B Jr | CT | D | | P | 12 | 12.45 | 1 | 1 | 65 | 3 | D | 10 | 13 | 6 | -2 | -6 | -4 | -4 | -1 | 1 | 3 | 9 | 11 | 22 | 34 |
6/21/13 10:53 | 6/19/13 | FU | Fab Universal Corp. | CO | Tech | Softw | Prepackaged Software | Rogers James B Jr | U0 | D | | P | 35 | 3.50 | 0 | 10 | 110 | 19 | D | | | | | | | | | | | | | | |