Bulldog Investors, LLP - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	9	1	122	0	1	2	6	12	0	4
P	%wins				93	85	87	79	100		89
S	%ret	3	1	9	0	-1	1	2	14	0	4
S	%wins				89	78	50	50	0		53

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m
8/5/21 17:17	4/5/21	IRL	New Ireland Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLP	NJ	T	S	-314	12.50	0	-25	-6	394	I
3/6/20 15:47	2/28/20	TLI	Western Asset Corporate Loan Fund Inc.		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	6	9.79	0	1	3	20	D
4/22/19 16:09	4/17/19	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S.m	-7,871	14.68	0	-536	-99	8	I
10/9/18 14:02	10/5/18	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	187	13.41	0	14	2	641	I
10/5/18 14:13	10/3/18	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	359	13.44	0	27	4	627	I
10/3/18 12:43	10/1/18	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	129	13.62	0	9	2	600	I
10/1/18 12:40	9/28/18	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	1	13.50	0	0	0	591	I
9/26/18 14:19	9/24/18	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	34	13.45	0	3	0	740	I
8/31/18 10:46	8/29/18	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	257	13.80	0	19	3	738	I
8/29/18 14:47	8/27/18	AKP	Alliance California Municipal Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	113	13.76	0	8	1	719	I
2/6/18 12:52	2/2/18	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	1	9.00	0	0	0	1,579	I
2/2/18 11:22	1/31/18	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	219	9.14	0	24	2	1,579	I
1/31/18 13:45	1/30/18	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	39	9.13	0	4	0	1,535	D
1/29/18 13:33	1/25/18	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	31	9.19	0	3	0	1,550	I
1/23/18 11:17	1/19/18	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	36	9.09	0	4	0	1,547	I
1/19/18 16:38	1/17/18	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	2,368	9.10	0	260	20	1,543	I
1/17/18 11:47	1/12/18	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	125	9.10	0	14	1	1,283	I
1/12/18 12:37	1/10/18	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	58	9.10	0	6	1	1,269	I
1/5/18 12:17	1/3/18	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	2	9.06	0	0	0	1,263	I
12/26/17 12:06	12/21/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	20	8.97	0	2	0	1,262	I
12/7/17 15:56	12/5/17	CH	Aberdeen Chile Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-20	7.85	0	-3	0	939	D
11/21/17 10:56	11/17/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	28	8.94	0	3	0	1,260	I
11/17/17 11:23	11/15/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	10	8.86	0	1	0	1,257	I
11/15/17 11:33	11/13/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	166	8.90	0	19	2	1,256	I
11/13/17 12:31	11/8/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	232	8.94	0	26	2	1,237	I
11/13/17 11:24	11/8/17	CH	Aberdeen Chile Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-20	8.86	0	-2	0	941	D
11/8/17 12:17	11/6/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	59	9.00	0	7	0	2,403	M
11/1/17 10:47	10/30/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	68	8.95	0	8	1	1,205	I
10/30/17 12:18	10/26/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	173	8.92	0	19	2	1,197	I
10/26/17 11:21	10/24/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	85	8.92	0	10	1	1,178	I
10/24/17 10:36	10/20/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	25	8.96	0	3	0	1,168	I
10/20/17 11:34	10/18/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	6	8.96	0	1	0	1,166	I
10/13/17 14:58	10/4/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	320	8.91	0	36	3	1,165	I
10/10/17 13:35	10/6/17	CH	Aberdeen Chile Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-244	8.99	0	-27	-3	946	I
9/19/17 10:43	9/15/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	109	4.86	0	23	3	845	I
9/14/17 12:16	9/12/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	78	8.75	0	9	1	1,129	I
9/12/17 11:11	9/8/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	185	8.72	0	21	2	1,105	M
9/8/17 13:25	9/6/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	341	8.69	0	39	4	1,099	M
7/11/17 09:35	7/7/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	123	7.96	0	16	1	1,408	I
6/29/17 12:15	6/27/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	595	7.93	0	75	6	1,393	I
6/27/17 11:23	6/25/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	116	7.94	0	15	1	1,318	I
6/23/17 09:37	6/21/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	159	7.95	0	20	2	1,303	I
6/22/17 09:51	6/20/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	431	9.54	0	45	3	1,727	I
6/21/17 12:10	6/19/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	224	7.95	0	28	2	1,283	I
6/19/17 10:43	6/15/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	35	9.51	0	4	0	1,681	I
6/15/17 14:55	6/13/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	22	7.95	0	3	0	1,255	I
6/14/17 13:12	6/12/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	477	9.53	0	50	3	1,678	I
6/13/17 10:54	6/9/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	149	19.82	0	8	1	845	I
6/12/17 09:40	6/8/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	4	7.95	0	1	0	1,252	I
6/9/17 09:30	6/7/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	2,383	9.53	0	250	18	1,628	I
6/8/17 16:31	6/7/17	XRDC	Crossroads Capital, Inc.		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-62	2.17	0	-28	-3	826	I
6/8/17 16:31	6/7/17	XRDC	Crossroads Capital, Inc.		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	62	2.17	0	28	4	826	I
6/8/17 11:01	6/6/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	92	7.95	0	12	1	1,252	I
6/7/17 09:32	6/5/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	959	9.54	0	101	8	1,378	I
6/5/17 10:27	6/1/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	492	19.69	0	25	3	838	I
6/2/17 11:03	5/31/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	31	7.95	0	4	0	1,240	I
5/31/17 09:49	5/26/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	984	19.67	0	50	7	813	I
5/30/17 10:36	5/25/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	66	7.94	0	8	1	1,236	I
5/26/17 11:58	5/24/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	196	19.60	0	10	1	763	I
5/25/17 11:06	5/23/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	53	7.96	0	7	1	1,228	I
5/24/17 10:05	5/22/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	787	19.68	0	40	6	753	I
5/23/17 11:20	5/19/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	85	7.96	0	11	1	1,221	I
5/19/17 12:48	5/17/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	222	7.95	0	28	2	1,210	I	31	28	22	4	4	1	1	1
5/19/17 12:45	5/17/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	41	19.66	1	2	0	713	I	6	40	25	12	7	5	1	1
5/18/17 12:38	5/17/17	LCM	Advent/claymore Enhanced Growth & Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-712	8.74	0	-82	-8	927	I	12	16	15	3	4	2	1	-1
5/17/17 12:13	5/15/17	LCM	Advent/claymore Enhanced Growth & Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S.m	-614	8.75	0	-70	-7	1,009	I	12	16	15	3	4	2	1	-1
5/17/17 11:58	5/15/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	197	19.66	1	10	1	711	I	6	40	25	12	7	5	1	1
5/17/17 11:54	5/15/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	64	7.91	0	8	1	1,183	I	31	28	22	4	4	1	1	1
5/15/17 10:18	5/11/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	419	19.42	1	22	3	701	I	6	40	25	12	7	5	1	1
5/11/17 11:59	5/9/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	112	7.90	0	14	1	1,174	I	28	27	19	3	3	1	0	0	0
5/10/17 10:26	5/8/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	238	19.01	1	13	2	679	I	5	39	24	13	5	6	2	1	0
5/9/17 10:25	5/5/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	110	7.90	0	14	1	1,160	I	29	26	20	3	3	1	0	0	0
5/5/17 10:49	5/3/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	232	9.08	1	26	2	1,277	I	21	23	20	12	7	6	2	2	0	3
5/5/17 10:46	5/3/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	7	7.90	0	1	0	1,146	I	27	26	17	3	3	1	0	0	0	1
5/2/17 11:32	4/28/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	57	8.96	1	6	1	1,252	I	17	18	17	12	4	6	3	0	2	4
5/2/17 11:22	4/28/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	11	7.87	0	1	0	1,145	I	26	25	16	3	3	1	1	0	0	0
5/1/17 10:59	4/27/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	191	19.05	1	10	2	667	I	1	28	17	12	6	3	5	1	0	0
4/26/17 11:59	4/24/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	88	8.78	1	10	1	1,245	I	16	15	15	14	8	3	4	3	-1	1
4/26/17 11:56	4/24/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	186	18.63	1	10	2	657	I	0	27	16	12	6	2	2	2	1	2
4/21/17 12:24	4/19/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	67	7.84	0	9	1	1,144	I	26	28	17	9	1	2	0	0	0	1
4/20/17 09:58	4/18/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	86	8.61	1	10	1	1,235	I	12	11	10	9	5	-1	-1	-1	2	5
4/19/17 12:31	4/17/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	547	18.31	1	30	5	647	I	1	23	12	10	4	-1	-2	-1	0	3
4/19/17 11:44	4/17/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	60	7.84	0	8	1	1,135	I	27	28	16	10	0	2	1	0	0	1
4/17/17 11:16	4/13/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	12	7.84	0	2	0	1,128	I	26	30	16	10	0	1	1	0	0	0
4/14/17 13:18	4/12/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	176	8.58	0	21	2	1,225	I	16	13	10	10	7	0	-1	2	1	1
4/13/17 10:39	4/11/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	369	18.43	1	20	3	617	I	-1	25	11	11	6	1	0	-1	0	0	6
4/13/17 10:35	4/11/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	35	7.84	0	5	0	1,126	I	26	29	15	10	0	2	1	1	0	0	2
4/12/17 11:33	4/10/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	63	8.51	0	7	1	1,205	I	15	11	3	11	2	-3	-4	-3	1	1	12
4/6/17 11:16	4/4/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	209	18.40	1	11	2	597	I	7	30	10	15	5	2	1	1	0	-1	3
4/4/17 10:29	3/31/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	1,538	18.40	1	84	17	585	I	9	29	9	18	4	4	1	0	0	0	5
4/4/17 09:55	3/31/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	91	8.78	0	10	1	1,197	I	20	15	6	19	6	5	2	1	0	-3	3
3/30/17 10:43	3/28/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	197	8.66	0	23	2	1,187	I	22	13	7	16	6	7	0	0	1	0	3
3/30/17 09:45	3/28/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	276	18.43	1	15	3	502	I	11	27	7	20	5	6	1	0	0	1	4
3/28/17 11:10	3/24/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	220	18.35	1	12	3	487	I	13	26	7	18	5	4	1	1	0	0	3
3/28/17 11:05	3/24/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	222	8.70	0	26	2	1,164	I	22	15	7	17	7	6	1	-1	0	1	3
3/24/17 10:02	3/22/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	37	8.62	0	4	0	1,139	I	19	14	5	14	5	6	3	-1	1	2	3
3/24/17 10:00	3/22/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	18	7.71	0	2	0	1,122	I	22	27	13	9	0	-2	0	0	1	1	3
3/23/17 12:33	3/22/17	DCA	Dividend Capital Realty Income Allocation Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-12,842	4.87	1	-2,637	-63	1,554	I	19	20	4	5	-4	-5	-5	-2	0	1
3/23/17 10:37	3/21/17	JFC	Jpmorgan China Region Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	182	18.24	1	10	2	475	I	10	24	7	15	6	4	2	1	0	1	2
3/22/17 13:28	3/20/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	8	8.65	0	1	0	1,134	I	21	16	11	11	6	5	4	1	1	0	1
3/22/17 13:23	3/20/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	89	7.73	0	11	1	1,119	I	23	26	15	9	0	-3	-1	-1	0	1	2
3/14/17 11:00	3/10/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	102	8.19	0	13	1	1,133	I	20	16	6	11	4	1	2	2	0	4	1
3/10/17 11:52	3/8/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	47	7.85	0	6	1	1,108	I	22	36	12	12	1	0	-1	-1	0	-1	1
3/10/17 11:48	3/8/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	11	8.06	1	1	0	1,121	I	16	16	0	10	0	-1	-1	1	2	6	6
3/8/17 12:00	3/6/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	57	7.87	0	7	1	1,102	I	21	38	14	13	2	1	0	0	0	-2	0
3/8/17 11:58	3/6/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	410	8.13	1	50	5	1,120	I	14	17	2	10	3	0	-1	0	0	2	7
3/2/17 13:52	2/28/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	456	8.24	1	55	5	1,069	I	15	19	5	12	5	2	0	0	-1	-1	6
2/23/17 10:22	2/21/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	477	8.29	1	58	6	1,014	I	18	24	6	13	9	2	2	1	0	0	3
2/22/17 09:34	2/17/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	16	7.83	0	2	0	1,095	I	23	48	14	16	9	1	1	1	0	1	-1
2/21/17 11:05	2/16/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	510	8.19	1	62	7	956	I	18	24	4	13	9	2	1	0	1	0	5
2/16/17 12:13	2/14/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	61	8.20	1	7	1	894	I	15	24	3	12	10	1	0	1	0	1	4
2/14/17 13:22	2/9/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	400	8.18	1	49	6	887	I	13	24	2	8	10	3	-1	0	1	2	5
2/9/17 13:36	2/8/17	KEF	Korea Equity Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	407	8.14	1	50	6	838	I	13	20	3	5	9	4	1	-2	1	1	2	15
2/9/17 12:34	2/7/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	64	8.50	0	8	1	1,092	I	16	36	10	11	6	4	2	1	1	2	0	3
2/9/17 12:08	2/7/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	95	7.78	0	12	1	1,093	I	26	48	13	15	8	7	0	0	0	1	1	3
2/7/17 13:17	2/3/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	503	8.44	0	60	6	1,084	I	15	33	10	11	4	3	1	1	0	2	2	4
2/6/17 13:14	2/2/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	54	7.75	0	7	1	1,080	I	25	42	14	15	10	8	0	0	0	1	2	3
2/3/17 10:06	2/1/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	153	8.42	0	18	2	1,025	I	14	30	10	9	4	2	2	1	0	2	3	4
2/2/17 11:59	1/31/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	152	7.76	0	20	2	1,074	I	26	44	14	13	8	7	6	0	0	0	2	3
2/1/17 09:56	1/30/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	267	8.38	0	32	3	1,007	I	14	28	8	8	4	2	2	0	0	1	3	5
1/31/17 12:59	1/27/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	41	7.78	0	5	1	1,054	I	24	43	14	13	10	8	7	1	0	0	2	3
1/30/17 15:28	1/26/17	PCF	Putnam High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	370	8.43	0	44	5	975	I	15	30	8	8	6	3	3	2	-1	0	3	5
1/27/17 13:03	1/25/17	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	24	7.74	0	3	0	1,049	I	24	44	12	13	9	7	8	6	0	0	3	3
12/16/16 11:47	12/15/16	NRO	Neuberger Berman Real Estate Securities Income Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-239	5.30	1	-45	-1	4,295	I	21	18	1	-2	4	1	1	-2	0	0	2	1
12/16/16 10:49	12/14/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	13	7.20	0	2	0	1,046	I	21	30	4	5	6	2	1	0	0	1	3	10
12/15/16 10:59	12/13/16	NRO	Neuberger Berman Real Estate Securities Income Fund Inc		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S.m	-485	5.32	1	-91	-2	4,340	I	21	20	1	-3	3	3	2	-1	0	0	2	1
12/14/16 10:52	12/12/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	76	7.20	0	11	1	1,044	I	20	34	6	4	4	2	2	1	0	0	1	10
12/12/16 11:15	12/8/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P	17	13.13	0	1	0	1,180	I	7	-10	-10	-3	-1	3	0	0	6	6
12/9/16 10:29	12/7/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	82	7.13	0	11	1	1,033	I	16	26	6	2	2	4	1	2	1	0	3	10
12/8/16 09:42	12/6/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P	17	13.13	0	1	0	1,179	I	7	-9	-10	-5	-2	3	1	-2	0	5
12/7/16 12:20	12/5/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	151	7.10	0	21	2	1,022	I	12	24	6	1	2	4	2	1	0	1	3	12
12/6/16 10:35	12/2/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	143	13.20	0	11	1	1,177	I	7	-8	-7	-4	0	4	3	2	-1	4
12/5/16 09:38	12/1/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	38	7.08	0	5	1	1,000	I	11	23	7	0	2	6	1	0	-1	2	3	13
12/2/16 10:56	11/30/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	107	13.08	0	8	1	1,166	I	6	-10	-8	-5	-3	1	1	0	3	1
12/1/16 10:04	11/29/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	4	7.00	0	1	0	995	I	10	22	9	0	3	6	3	1	0	1	2	13
11/30/16 11:49	11/28/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	156	12.95	0	12	1	1,158	I	6	-11	-9	-7	-4	0	1	0	1	2
11/29/16 12:20	11/25/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	80	6.98	0	11	1	995	I	8	19	8	0	2	3	3	0	1	-1	4	15
11/28/16 10:33	11/23/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P	100	13.05	0	8	1	1,146	I	5	-12	-10	-9	-5	-2	-1	-1	3	5
11/25/16 11:05	11/22/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	27	7.00	0	4	0	983	I	8	20	8	-1	1	3	5	2	0	1	4	15
11/23/16 11:53	11/21/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	70	13.03	0	5	0	1,138	I	5	-11	-9	-8	-3	0	1	1	0	1	8
11/22/16 08:51	11/18/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	31	6.94	0	4	0	979	I	7	18	8	0	0	0	4	1	1	2	4	15
11/21/16 11:26	11/17/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P	22	12.90	0	2	0	1,133	I	4	-13	-11	-9	-4	-3	-2	0	1	3	9
11/16/16 10:20	11/14/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	121	12.88	0	9	1	1,131	I	4	-12	-11	-9	-3	-5	-1	-1	0	1	8
11/15/16 11:52	11/11/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	56	6.71	0	8	1	975	I	2	14	4	-5	-4	-4	-2	0	2	4	8	19
11/14/16 09:30	11/9/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	318	13.06	0	24	2	1,122	I	5	-12	-11	-8	-2	-4	-1	-1	0	0	8
11/9/16 14:20	11/7/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	73	13.03	0	6	1	1,098	I	4	-11	-10	-7	-1	-4	-3	0	1	-1	2
11/7/16 14:27	11/3/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	101	13.04	0	8	1	1,092	I	4	-11	-10	-7	0	-3	-4	-1	0	-1	1
11/3/16 11:37	11/1/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	103	13.02	0	8	1	1,084	I	4	-11	-10	-7	-2	-4	-3	-3	0	1	4
11/1/16 14:07	10/28/16	CTF	Nuveen Long/short Commodity Total Return Fund	DE	Financ	FinTrd	Commodity Contracts Brokers &	Bulldog Investors, LLC	NJ	T	P.m	103	13.33	0	8	1	1,076	I	7	-9	-8	-6	0	-2	-2	-2	0	-1	-1
11/1/16 11:52	10/31/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-73	7.01	0	-10	-1	964	I	7	15	8	0	1	0	1	-1	-1	-1	2	13	17
10/21/16 11:49	10/19/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	100	8.89	0	11	1	1,952	I	19	18	6	0	0	0	0	1	0
10/7/16 12:01	10/5/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	14	9.11	0	2	0	1,940	I	20	21	10	3	1	2	1	1	0	-1
10/4/16 10:10	9/30/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	137	9.10	0	15	1	1,939	I	19	24	11	3	0	1	0	0	0	0
9/30/16 11:58	9/28/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	215	11.89	1	18	1	2,195	I	5	27	14	4	0	0	1	0	1	0
9/29/16 09:57	9/27/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	228	9.03	0	25	1	1,924	I	17	29	9	3	0	-1	1	0	1	1
9/26/16 10:16	9/22/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	955	9.08	0	105	6	1,899	I	16	27	10	5	-1	-1	1	1	-1	1
9/23/16 12:44	9/21/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	606	11.86	1	51	2	2,177	I	5	26	17	3	1	0	3	1	0	-1
9/22/16 11:51	9/20/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	803	9.00	0	89	5	1,794	I	15	27	10	3	-1	-1	-1	0	1	1	1
9/21/16 09:42	9/19/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	12	11.78	1	1	0	2,126	I	1	22	14	3	0	-1	0	0	1	1
9/20/16 10:03	9/16/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	88	8.96	0	10	1	1,704	I	13	25	9	3	-1	-1	-2	0	0	0	0
9/19/16 10:19	9/15/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	298	11.70	1	26	1	2,125	I	-1	18	13	4	-1	-2	-3	0	1	2
9/15/16 10:29	9/13/16	DCA	Dividend Capital Realty Income Allocation Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	337	4.53	1	74	2	4,190	I	14	26	16	5	-2	-4	-2	-2	0	2	2	0	5
9/14/16 12:32	9/12/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	6	9.07	0	1	0	1,695	I	15	25	13	4	0	-2	-2	-2	0	0	1
9/14/16 12:30	9/12/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	96	12.00	1	8	0	2,099	I	-1	19	14	5	0	-2	-2	-3	1	1
9/12/16 09:45	9/8/16	DCA	Dividend Capital Realty Income Allocation Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	639	4.64	0	138	3	4,116	I	13	29	18	5	-1	-2	-1	-2	0	-1	1	-3	8
9/12/16 09:42	9/8/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-93	7.22	0	-13	-1	975	I	-1	19	19	4	1	0	-1	-1	0	-3	0	2	13
9/9/16 09:21	9/7/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	264	12.27	1	22	1	2,091	I	3	22	18	4	1	1	1	1	-2	-2	-1
9/8/16 09:33	9/6/16	DCA	Dividend Capital Realty Income Allocation Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	264	4.67	0	56	1	3,978	I	14	29	23	4	1	0	0	2	1	-3	0	-4	6
9/7/16 09:53	9/2/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	33	9.18	0	4	0	1,694	I	16	30	16	4	1	1	1	1	0	-2	0
9/7/16 09:51	9/2/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	460	12.22	1	38	2	2,070	I	0	23	20	4	1	1	1	1	0	-3	-1
9/7/16 09:48	9/2/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-7	7.24	0	-1	0	988	I	0	21	21	6	1	1	0	0	0	-3	-1	-1	13
9/2/16 11:14	8/31/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S.m	-38	7.22	0	-5	-1	989	I	-1	21	22	7	1	2	2	0	0	-1	-1	0	13
9/2/16 11:11	8/31/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	366	12.13	1	30	2	2,032	I	-1	20	19	4	0	0	0	0	0	-1	0
8/31/16 13:38	8/29/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S.m	-26	7.22	0	-4	0	994	I	0	20	25	8	1	1	1	0	0	0	-1	0	14
8/31/16 13:36	8/29/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	553	12.17	1	45	2	2,002	I	0	19	21	3	1	0	1	0	0	1	0
8/31/16 13:32	8/29/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	143	9.13	0	16	1	1,690	I	15	26	17	4	0	0	0	0	0	1	0
8/29/16 11:59	8/25/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	98	12.13	1	8	0	1,957	I	0	20	23	3	0	1	0	0	1	1	0
8/29/16 11:57	8/25/16	SZC	Cushing Renaissance Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	140	16.56	0	8	2	459	I	-32	16	36	10	2	5	1	-1	1	2	3	9	21
8/25/16 12:18	8/23/16	SZC	Cushing Renaissance Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	57	16.50	0	3	1	451	I	-32	24	41	12	4	7	2	1	0	0	5	8	20
8/25/16 11:52	8/23/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	245	12.17	1	20	1	1,948	I	1	24	25	5	1	2	0	0	0	0	0
8/24/16 10:51	8/22/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	535	9.12	0	59	4	1,675	I	16	33	22	5	2	1	0	0	0	0	0
8/23/16 12:31	8/19/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	61	12.07	1	5	0	1,928	I	1	19	27	8	1	2	0	0	0	0	0
8/22/16 11:00	8/18/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	98	9.10	0	11	1	1,616	I	16	23	21	6	2	0	0	0	0	0	-1
8/22/16 10:57	8/18/16	SZC	Cushing Renaissance Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	48	16.37	0	3	1	447	I	-32	8	39	10	5	7	5	1	0	0	3	6	22
8/19/16 10:47	8/17/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	183	12.11	1	15	1	1,923	I	1	14	28	9	3	0	1	0	0	0	-1
8/18/16 09:44	8/16/16	SZC	Cushing Renaissance Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	114	16.15	0	7	2	444	I	-32	5	36	11	6	1	3	2	1	2	1	4	23
8/17/16 09:40	8/15/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	3	9.13	0	0	0	1,605	I	16	20	20	7	4	0	0	0	0	0	-1
8/16/16 10:45	8/12/16	DCA	Dividend Capital Realty Income Allocation Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	153	4.61	1	33	1	3,922	I	19	22	40	10	3	1	1	1	-1	1	-3	-6	6
8/16/16 10:42	8/12/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	279	12.17	1	23	1	1,908	I	3	12	32	15	5	0	3	1	0	-1	-2
8/16/16 10:35	8/12/16	SZC	Cushing Renaissance Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	72	16.13	0	4	1	437	I	-32	4	41	10	4	0	5	3	0	1	4	3	24
8/15/16 10:39	8/11/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P	39	9.09	0	4	0	1,605	I	17	21	29	8	3	1	1	0	0	0	-2
8/12/16 11:34	8/10/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	38	12.11	1	3	0	1,885	I	3	11	34	14	4	0	2	1	0	0	0
8/12/16 11:16	8/10/16	DCA	Cushing Renaissance Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	45	15.77	1	3	1	433	I	21	23	43	10	2	0	1	1	0	2	-1	-3	6
8/12/16 10:38	8/10/16	DCA	Dividend Capital Realty Income Allocation Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	77	4.58	1	17	0	3,889	I	21	23	43	10	2	0	1	1	0	2	-1	-3	6
8/11/16 12:34	8/9/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	26	9.08	0	3	0	1,601	I	17	21	28	6	4	1	0	0	0	0	0
8/10/16 09:57	8/8/16	DCA	Dividend Capital Realty Income Allocation Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	292	4.56	1	64	2	3,872	I	20	21	41	9	4	-2	-1	0	0	1	2	-2	7
8/10/16 09:55	8/8/16	JGV	Nuveen Global Equity Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	426	12.04	1	35	2	1,882	I	2	10	29	12	7	0	-1	2	0	1	2
8/9/16 09:50	8/5/16	FAV	First Trust Active Dividend Income Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	667	9.07	0	74	5	1,598	I	19	21	26	7	7	0	0	1	0	1	1
8/9/16 09:44	8/5/16	PHF	Pacholder High Yield Fund Inc	MD	Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	S	-45	7.15	0	-6	-1	997	I	2	18	30	9	5	1	0	0	1	1	2	-2	14
8/8/16 09:49	8/4/16	DCA	Dividend Capital Realty Income Allocation Fund		Fund	CEF	Closed-End Funds	Bulldog Investors, LLC	NJ	T	P.m	344	4.56	1	76	2	3,808	I	19	19	34	8	4	-1	-1	-1	0	1	2	-2	7

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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