Graff Brian - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	1	3	20	43	43	82	98	152	73
P	%wins				100	100	67	100	100	100	94
S	%ret	1	1	105	0	0	1	2	2	9	2
S	%wins				56	50	43	36	42	45	45

Filing Date	T Date	Ticker	Issuer	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
5/11/16 16:06	5/11/16	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-22	16.01	22	-1	-2	67	D	4	10	13	25	5	1	1	0	1	1	2	5	7
4/26/16 16:08	4/26/16	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-20	15.72	24	-1	-2	69	D	6	3	25	14	10	3	0	-1	1	1	2	5	8
4/12/16 16:20	4/12/16	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-21	15.59	27	-1	-2	70	D	3	3	22	9	13	3	2	1	1	1	2	2	9
1/21/16 16:00	1/19/16	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-18	13.62	33	-1	-2	71	D	-15	-5	0	8	-8	-3	-5	1	1	1	-6	15	18
12/16/15 16:51	12/16/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-22	14.04	33	-2	-2	73	D	-5	-1	0	6	9	1	-8	-1	1	0	-5	4	14	24
12/1/15 16:12	11/30/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-21	15.61	33	-1	-2	74	D	2	4	10	13	25	11	9	13	-2	-5	-11	-10	3	11
10/16/15 16:53	10/16/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-1	12.53	33	0	0	75	D	-8	-10	-18	-8	-9	-2	3	-1	1	1	15	8	27	36
10/15/15 16:11	10/13/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-17	12.52	33	-1	-2	76	D	-8	-9	-17	-8	-7	-1	2	-2	0	0	15	7	26	35
9/11/15 16:21	9/10/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S.m	-122	13.64	26	-9	-10	77	D	1	-11	-8	-4	3	-3	-3	-1	-1	-3	-4	3	7	25
9/2/15 16:03	9/1/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-21	13.64	30	-2	-2	86	D	8	-13	-9	-6	0	-4	-2	-2	1	1	-7	15	3	25
6/29/15 16:44	6/29/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-71	13.60	19	-5	-6	87	D	13	-9	-9	-9	-5	-3	-2	-3	0	-2	-3	-6	6	15
4/29/15 16:24	4/28/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-19	15.10	17	-1	-1	93	D	6	4	6	5	3	1	0	0	-1	-3	-6	-14	-16	4
3/2/15 16:52	3/2/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-20	14.57	29	-1	-1	94	D	5	-5	-6	-3	4	1	0	-2	2	1	2	-3	-7	-7
2/18/15 16:38	2/18/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-16	14.62	23	-1	-1	95	D	6	-1	-5	-4	0	1	1	2	1	2	2	0	-1	-11
1/21/15 16:16	1/16/15	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	P,Privat	S	-1	14.10	25	0	0	96	D	8	-10	-5	2	-5	-3	-4	1	1	1	2	6	-6	-6
12/17/14 16:03	12/16/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-22	14.05	25	-2	-2	96	D	15	-5	-6	-7	-3	-7	-7	-4	4	5	2	5	-1	0
12/12/14 15:57	12/11/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-52	14.62	27	-4	-4	98	D	20	-2	-2	-6	2	-3	-3	-3	-1	1	0	3	-3	-6
11/12/14 16:19	11/7/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.dm	-889	15.76	33	-56	-36	102	D	36	9	2	2	11	9	5	0	0	-3	-5	-5	-5	-6
11/12/14 16:19	11/7/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	M.d	241	4.81	33	50	97	102	D	36	9	2	2	11	9	5	0	0	-3	-5	-5	-5	-6
11/7/14 16:15	11/6/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-119	16.10	33	-7	-6	108	D	30	11	2	2	8	11	9	6	-2	-3	-5	-8	-8	-11
10/22/14 16:03	10/21/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-28	14.35	33	-2	-2	115	D	23	3	-1	-4	-4	4	6	4	0	0	4	2	6	-12
9/30/14 16:16	9/29/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-75	14.30	29	-5	-4	117	D	24	4	-10	-7	-8	-6	-5	-2	-1	0	0	4	4	-15
9/4/14 15:59	9/3/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-49	15.51	30	-3	-2	122	D	39	22	-1	5	2	2	1	0	0	-1	-10	-3	-3	-12
7/11/14 16:07	7/10/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-169	15.47	33	-11	-8	126	D	55	21	-1	4	5	5	2	1	1	-2	-2	-8	-3	-12
5/29/14 16:02	5/28/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-35	14.67	33	-2	-2	137	D	60	5	-4	-6	1	-9	-1	-1	-1	-1	1	5	1	-4
5/1/14 16:31	4/29/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-20	14.58	33	-1	-1	139	D	58	-1	6	-5	2	0	2	2	0	6	-2	3	-5	0
4/29/14 16:14	4/29/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-20	14.58	33	-1	-1	140	D	61	1	3	-7	-2	-3	0	-1	1	0	-2	5	-4	2
3/19/14 18:11	3/18/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-3	14.88	33	0	0	142	D	65	-1	12	1	-3	-5	-5	-2	0	-1	-1	0	2	1
2/20/14 16:12	2/18/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.m	-47	15.05	33	-3	-2	142	D	73	10	22	5	-2	-2	-3	3	0	-2	-7	-8	-1	-7
2/12/14 17:18	2/11/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-106	14.55	33	-7	-5	145	D	75	12	13	7	-4	-8	-4	-4	1	4	2	4	3	-2
1/14/14 15:59	1/13/14	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-42	15.94	33	-3	-2	152	D	117	19	18	15	4	4	3	0	1	2	-7	-9	-3	-8
12/18/13 16:53	12/17/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-46	14.65	30	-3	-2	155	D	125	18	13	8	2	-4	-3	-1	-2	4	7	-1	-1	-6
12/12/13 16:12	12/11/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-20	15.03	29	-1	-1	158	D	117	23	11	14	5	1	-3	-2	-1	1	7	1	0	-2
12/11/13 16:19	12/9/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	M.d	397	3.95	29	101	171	159	D	112	25	15	13	7	4	-2	1	0	-2	8	1	1	-1
12/11/13 16:19	12/9/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.dm	-1,543	15.13	29	-102	-39	159	D	112	25	15	13	7	4	-2	1	0	-2	8	1	1	-1
12/2/13 16:42	11/27/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-30	15.17	33	-2	-1	161	D	133	28	17	23	8	10	5	2	-2	-2	2	2	-5	-3
11/13/13 16:11	11/12/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-211	14.01	28	-15	-8	163	D	93	21	0	8	3	-1	0	3	1	2	4	5	5	8
10/21/13 16:47	10/18/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-175	14.00	29	-13	-7	178	D	109	22	2	5	8	3	6	5	1	0	2	14	4	0
9/3/13 16:22	9/3/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-19	12.60	33	-2	-1	190	D	43	12	-11	-5	-8	-6	-2	-1	1	4	10	21	23	23
7/30/13 16:08	7/29/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-70	13.34	30	-5	-3	192	D	31	36	1	-12	0	2	-2	-4	2	-3	-7	6	18	15
6/11/13 16:10	6/11/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-72	13.29	33	-5	-3	197	D	51	50	16	-10	-10	-6	-1	6	-1	0	-2	0	14	14
5/8/13 16:34	5/6/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	0	14.38	33	0	0	202	D	37	49	23	10	-2	4	0	0	-2	-2	-9	-10	-1	10
4/8/13 16:19	4/5/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-27	14.05	33	-2	-1	190	D	40	62	23	13	2	-5	-4	-2	0	2	1	-11	-5	8
3/7/13 16:01	3/6/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	M.d	377	3.34	33	113	142	192	D	54	61	30	21	10	5	5	2	0	3	-2	-12	-12	8
3/7/13 16:01	3/6/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.d	-1,609	14.26	33	-113	-37	192	D	54	61	30	21	10	5	5	2	0	3	-2	-12	-12	8
2/21/13 14:36	2/20/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-44	14.00	33	-3	-2	192	D	49	57	26	22	9	8	5	1	-2	-1	4	3	-9	12
2/5/13 17:24	2/4/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-17	13.22	33	-1	-1	206	D	55	59	28	11	6	-1	1	1	0	1	9	10	0	16
2/4/13 17:22	2/1/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.m	-14	13.25	33	-1	-1	208	D	63	62	34	13	8	0	2	2	0	2	8	10	3	17
1/30/13 16:01	1/29/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-36	13.00	33	-3	-1	209	D	59	60	34	11	7	2	-1	1	3	1	8	16	4	21
1/17/13 15:59	1/16/13	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-52	13.28	33	-4	-2	211	D	57	79	33	14	11	10	2	-1	0	-2	5	3	2	22
12/20/12 16:07	12/18/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-23	12.33	33	-2	-1	215	D	58	81	29	5	5	3	2	1	0	-3	6	19	-1	18
12/18/12 16:05	12/18/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-18	12.33	31	-1	-1	217	D	60	90	31	4	4	4	5	2	0	0	7	20	5	18
12/11/12 15:54	12/7/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	M.d	463	2.70	32	172	368	219	D	55	70	32	6	2	4	1	3	1	3	9	25	8	25
12/11/12 15:54	12/7/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.d	-2,041	11.88	32	-172	-44	219	D	55	70	32	6	2	4	1	3	1	3	9	25	8	25
12/3/12 16:11	11/29/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-135	11.91	33	-11	-5	219	D	67	85	29	8	1	5	3	1	0	0	4	19	9	29
11/28/12 16:02	11/27/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-54	11.89	33	-5	-2	230	D	59	81	29	6	2	-1	4	2	1	0	1	18	14	28
11/15/12 16:02	11/13/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-226	11.47	33	-20	-8	234	D	58	50	19	2	-3	-5	-5	-1	1	2	7	22	26	26
9/13/12 16:10	9/11/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	M.d	220	2.26	33	97	67	243	D	99	38	30	26	14	4	6	3	1	0	-2	3	26	11
9/13/12 16:10	9/11/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.d	-1,116	11.50	33	-97	-29	243	D	99	38	30	26	14	4	6	3	1	0	-2	3	26	11
9/4/12 16:04	8/31/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-35	11.05	33	-3	-1	243	D	104	31	25	24	11	1	-2	-2	1	2	4	6	31	16
8/28/12 16:49	8/27/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-459	11.17	33	-41	-14	246	D	116	37	25	20	13	4	0	0	-1	0	1	6	25	13
8/1/12 16:29	7/30/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.m	-142	9.91	22	-14	-5	287	D	87	-1	21	3	4	1	1	2	2	5	9	16	31	33
7/2/12 16:42	6/29/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-60	10.00	27	-6	-2	301	D	111	1	46	16	15	11	5	4	0	-1	-2	12	22	26
6/27/12 16:09	6/25/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-40	9.34	29	-4	-1	307	D	79	5	35	10	3	7	3	4	0	4	0	17	22	29
6/18/12 16:24	6/14/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-745	9.26	33	-80	-21	312	D	69	6	45	4	-2	3	4	2	2	1	5	27	31	37
5/7/12 14:17	5/4/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	0	9.66	33	0	0	392	D	66	-7	34	13	8	12	4	0	1	1	-8	10	23	51
5/2/12 11:02	4/30/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-239	10.00	31	-24	-6	392	D	55	-6	21	18	6	16	7	2	2	-1	-4	3	22	50
4/6/12 13:51	4/5/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-6	8.60	20	-1	0	416	D	55	-15	32	19	-2	-5	-2	-2	-1	-2	13	17	36	67
3/28/12 11:50	3/27/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-33	8.95	25	-4	-1	417	D	81	-7	13	23	-2	0	-4	-1	-1	1	8	10	31	65
2/22/12 14:11	2/21/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-10	8.89	30	-1	0	420	D	122	-8	12	21	21	6	2	-2	-1	3	5	3	29	61
2/2/12 15:10	2/1/12	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.dm	-8	8.27	27	-1	0	421	D	137	-2	-16	6	27	13	2	1	1	3	8	19	24	59
12/19/11 17:37	12/16/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-9	6.64	21	-1	0	422	D	155	-13	-24	-20	-10	3	-4	3	5	10	21	39	45	86
12/1/11 09:51	11/29/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-13	6.56	24	-2	0	424	D	138	-6	-26	-20	3	-5	-3	7	1	2	-3	28	27	71
11/15/11 15:19	11/14/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-42	7.29	29	-6	-1	426	D	158	2	-24	-14	17	4	-3	1	1	-6	-11	21	26	56
10/20/11 11:02	10/19/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-12	6.99	33	-2	0	431	D	119	4	-31	-33	-19	-5	1	-5	0	11	6	17	33	78
9/1/11 15:50	8/31/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-12	8.73	33	-1	0	433	D	285	64	-6	-8	-14	4	14	7	-4	-4	-22	-20	2	26
8/2/11 15:27	8/1/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-91	10.00	33	-9	-2	435	D	178	88	23	-3	12	2	-1	3	-2	-22	-13	-20	-18	-1
7/29/11 17:46	7/28/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-50	9.69	33	-5	-1	444	D	210	85	19	-3	11	-2	0	-3	4	-9	-15	-22	-15	2
7/14/11 15:47	7/13/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-17	10.00	33	-2	0	449	D	248	95	22	5	6	10	0	-1	-1	0	-16	-33	-26	-1
7/13/11 11:39	7/12/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-9	9.68	33	-1	0	451	D	236	84	23	2	-1	7	-1	-4	1	0	-18	-32	-26	1
7/5/11 16:58	7/1/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-83	10.00	33	-8	-2	452	D	224	119	32	-1	2	13	10	7	2	-3	-2	-32	-33	2
6/24/11 11:50	6/23/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-33	8.91	33	-4	-1	460	D	241	78	14	0	-10	0	1	4	-1	7	10	-15	-26	3
6/14/11 11:21	6/13/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-8	8.78	33	-1	0	464	D	135	66	12	0	-15	-7	-7	-1	4	1	13	-6	-20	5
5/12/11 10:35	5/11/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-10	10.48	33	-1	0	465	D	200	72	39	21	6	6	0	0	0	-3	-15	-22	-28	-5
5/4/11 11:40	5/4/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	0	10.80	31	0	0	465	D	123	71	51	22	15	9	3	2	2	2	-9	-5	-25	-5
4/5/11 17:00	4/5/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-7	10.10	33	-1	0	465	D	306	82	80	29	12	16	10	4	-1	-6	3	-3	-38	-14
2/28/11 18:15	2/16/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-272	9.50	31	-29	-6	466	D	573	116	88	24	11	12	7	2	-2	-2	1	5	-16	-5
2/22/11 16:14	2/22/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-10	9.30	28	-1	0	495	D	571	142	89	30	20	16	11	8	0	3	-1	8	-14	-4
2/3/11 10:39	2/1/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.dm	-8	8.40	31	-1	0	496	D	238	129	52	18	5	-2	4	5	-1	2	10	26	12	0
1/28/11 13:33	1/28/11	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-8	8.23	30	-1	0	497	D	100	118	55	19	7	5	-4	2	-3	1	13	24	19	-1
12/22/10 12:10	12/21/10	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-151	8.00	20	-19	-4	498	D	140	234	44	39	8	7	1	2	1	-4	1	13	13	-15
12/16/10 14:57	12/14/10	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.m	-46	7.79	21	-6	-1	517	D	152	171	38	35	5	3	1	-2	2	5	9	12	16	-16
11/30/10 12:58	11/26/10	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-15	7.35	27	-2	0	523	D	86	152	42	43	13	-4	5	0	-1	5	6	25	36	-9
11/15/10 15:08	11/10/10	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-24	7.36	29	-3	-1	525	D	18	157	32	45	26	8	-3	-4	1	5	9	23	38	5
11/9/10 10:12	11/5/10	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-209	7.61	27	-27	-5	528	D	-42	158	30	41	29	21	10	4	-2	-5	2	12	39	-1
7/29/10 16:48	7/28/10	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-27	5.27	19	-5	-1	575	D	-72	62	38	-11	-8	5	6	1	-3	3	-7	28	55	83
6/25/10 15:46	6/23/10	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-21	5.65	33	-4	-1	580	D	-80	92	118	9	-12	12	-7	-8	4	-9	2	9	55	78
4/6/10 12:22	4/5/10	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-4	5.46	23	-1	0	584	D	-83	110	89	126	41	15	15	10	1	1	10	-17	6	84
3/2/10 12:32	2/1/10	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-15	3.23	20	-5	-1	584	D	-87	221	77	44	12	35	20	6	-3	6	15	23	19	115
3/20/09 12:06	3/9/09	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	P	64	0.6360	9	100	42	340	E									61	126	129	224	224	357
8/29/08 12:08	8/27/08	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-208	20.74	33	-10	-4	240	D	-30	-39	-36	-29	4	1	4	5	-1	-2	3	-81	-94	-88
8/8/08 16:15	8/7/08	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-3	21.30	33	0	0	250	D	-30	-46	-35	-31	-19	-1	2	5	4	5	5	-32	-90	-88
7/24/08 16:27	7/23/08	ACAS	American Capital, Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-158	22.81	33	-7	-3	250	D	-18	-36	-19	-20	-19	1	22	11	-2	-5	-4	-26	-76	-79
6/4/08 16:07	6/3/08	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-27	31.43	33	-1	0	257	D	7	-29	-12	-10	2	-3	-2	-3	2	-1	-23	-28	-87	-91
5/20/08 14:26	5/12/08	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-362	31.79	33	-11	-4	258	D	17	-22	-13	-4	-4	1	6	0	-1	-3	-12	-31	-79	-89
12/27/07 15:51	12/26/07	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-98	34.32	33	-3	-1	227	D	11	-17	-15	-15	-14	-6	-3	3	-3	-5	-4	4	-20	-90
6/13/07 16:46	6/12/07	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-460	45.00	33	-10	-8	112	D	54	44	4	7	-6	-4	-6	-2	1	0	2	-11	-10	-28
5/22/07 17:49	5/21/07	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S	-127	46.88	33	-3	-2	123	M	59	50	11	0	2	-3	2	1	-1	0	-6	-15	-15	-25
5/15/07 12:07	5/11/07	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	M.d	297	22.28	33	13	12	126	D	61	47	12	4	3	-3	-1	-1	0	2	-1	-10	-13	-23
5/15/07 12:07	5/11/07	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.d	-617	46.34	33	-13	-10	126	D	61	47	12	4	3	-3	-1	-1	0	2	-1	-10	-13	-23
12/8/06 14:17	12/7/06	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	M.d	47	23.44	33	2	2	96	D	66	29	38	23	6	3	2	0	0	1	5	-3	4	-6
12/8/06 14:17	12/7/06	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.d	-90	45.00	33	-2	-2	96	D	66	29	38	23	6	3	2	0	0	1	5	-3	4	-6
11/9/06 15:08	11/2/06	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	M.d	820	18.23	33	45	88	96	D	60	21	31	18	9	3	0	3	-1	3	6	7	12	-3
11/9/06 15:08	11/2/06	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	S.d	-1,873	41.63	33	-45	-32	96	D	60	21	31	18	9	3	0	3	-1	3	6	7	12	-3
5/26/06 14:53	5/25/06	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	P	17	33.55	33	1	13	4	I									0	2	-2	12	36	50
5/5/06 16:52	5/5/06	ACAS	American Capital Strategies Ltd	Fund	CEF	Closed-End Funds	Graff Brian	MD	O	SVP	P	10	33.25	33	0	8	4	I									0	1	3	9	33	49

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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