| Nov 26, 2018 |
Nov 28, 2018 |
Bloom Energy Corp
|
10% Owner |
Sell |
27.5
|
-31
|
-1.86%
|
✗
|
$465.9 |
| Sep 19, 2018 |
Sep 21, 2018 |
Eaton Vance Ltd Duration Income Fund
|
10% Owner |
Sell |
15.0
|
-557
|
-48.82%
|
✗
|
$12.8M |
| Sep 19, 2018 |
Sep 21, 2018 |
Eaton Vance Senior Income Trust
|
10% Owner |
Sell |
16.3
|
-327
|
-77.67%
|
✗
|
$7.5M |
| Sep 27, 2016 |
Sep 28, 2016 |
Eaton Vance Senior Income Trust
|
10% Owner |
Sell |
16.3
|
-357
|
-45.89%
|
✗
|
$8.5M |
| Oct 28, 2015 |
Oct 29, 2015 |
Eaton Vance Ltd Duration Income Fund
|
10% Owner |
Buy |
56.3
|
+1
|
0.09%
|
✗
|
$25K |
| Oct 13, 2015 |
Oct 15, 2015 |
Eaton Vance Senior Income Trust
|
10% Owner |
Buy |
90.0
|
+19
|
2.50%
|
✗
|
$475K |
| Sep 11, 2015 |
Sep 15, 2015 |
Eaton Vance Ltd Duration Income Fund
|
10% Owner |
Buy |
60.0
|
+2
|
0.18%
|
✗
|
$50K |
| Sep 2, 2015 |
Sep 4, 2015 |
Eaton Vance Senior Income Trust
|
10% Owner |
Buy |
56.3
|
+1
|
0.13%
|
✗
|
$25K |
| Sep 2, 2015 |
Sep 4, 2015 |
Eaton Vance Ltd Duration Income Fund
|
10% Owner |
Buy |
65.0
|
+4
|
0.35%
|
✗
|
$100K |
| Aug 12, 2015 |
Aug 14, 2015 |
Eaton Vance Ltd Duration Income Fund
|
10% Owner |
Buy |
56.3
|
+1
|
0.09%
|
✗
|
$25K |
| Jul 28, 2015 |
Jul 30, 2015 |
Eaton Vance Ltd Duration Income Fund
|
10% Owner |
Buy |
56.3
|
+1
|
0.09%
|
✗
|
$25K |
| Jul 16, 2015 |
Jul 20, 2015 |
Eaton Vance Ltd Duration Income Fund
|
10% Owner |
Buy |
65.0
|
+5
|
0.44%
|
✗
|
$125K |
| Mar 13, 2014 |
Mar 18, 2014 |
PIONEER HIGH INCOME FUND, INC.
|
10% Owner |
Sell |
15.0
|
-1,442
|
-100.00%
|
✗
|
$36.1M |
| Jul 2, 2013 |
Jul 5, 2013 |
Eaton Vance Ltd Duration Income Fund
|
10% Owner |
Buy |
56.3
|
+1
|
0.09%
|
✗
|
$20.5K |
| Sep 12, 2012 |
Sep 17, 2012 |
MFS HIGH INCOME MUNICIPAL TRUST
|
10% Owner |
Sell |
15.0
|
-432
|
-100.00%
|
✗
|
$10.3M |
| Sep 7, 2012 |
Sep 17, 2012 |
MFS INVESTMENT GRADE MUNICIPAL TRUST
|
10% Owner |
Sell |
16.3
|
-308
|
-100.00%
|
✗
|
$7.3M |
| Sep 7, 2012 |
Sep 13, 2012 |
MFS INVESTMENT GRADE MUNICIPAL TRUST
|
10% Owner |
Sell |
16.3
|
-308
|
-100.00%
|
✗
|
$7.7M |
| Sep 12, 2012 |
Sep 13, 2012 |
MFS HIGH INCOME MUNICIPAL TRUST
|
10% Owner |
Sell |
15.0
|
-432
|
-100.00%
|
✗
|
$10.8M |
| Sep 7, 2012 |
Sep 10, 2012 |
MFS HIGH INCOME MUNICIPAL TRUST
|
10% Owner |
Sell |
15.0
|
-432
|
-100.00%
|
✗
|
$10.8M |
| Sep 7, 2012 |
Sep 10, 2012 |
MFS INVESTMENT GRADE MUNICIPAL TRUST
|
10% Owner |
Sell |
16.3
|
-308
|
-100.00%
|
✗
|
$7.7M |
| May 9, 2012 |
May 10, 2012 |
BLACKROCK MUNIYIELD QUALITY FUND, INC.
|
10% Owner |
Sell |
15.0
|
-544
|
-100.00%
|
✗
|
$54.4M |
| Mar 1, 2012 |
Mar 5, 2012 |
PIONEER HIGH INCOME FUND, INC.
|
10% Owner |
Buy |
65.0
|
+5
|
0.35%
|
✗
|
$125K |
| Feb 29, 2012 |
Mar 1, 2012 |
BLACKROCK MUNIYIELD QUALITY FUND, INC.
|
10% Owner |
Sell |
15.0
|
-290
|
-34.77%
|
✗
|
$29M |
| Feb 27, 2012 |
Feb 29, 2012 |
BLACKROCK MUNIYIELD QUALITY FUND, INC.
|
10% Owner |
Sell |
15.0
|
-264
|
-24.04%
|
✗
|
$26.4M |
| Feb 17, 2012 |
Feb 22, 2012 |
BLACKROCK MUNIYIELD QUALITY FUND, INC.
|
10% Owner |
Sell |
27.5
|
-480
|
-5.58%
|
✗
|
$7.6K |
| Jan 3, 2012 |
Jan 5, 2012 |
Nuveen California Quality Municipal Income Fund
|
10% Owner |
Sell |
15.0
|
-369
|
-100.00%
|
✗
|
$36.9M |
| Dec 21, 2011 |
Dec 23, 2011 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
17.5
|
-107
|
-100.00%
|
✗
|
$2.7M |
| Dec 19, 2011 |
Dec 21, 2011 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
17.5
|
-92
|
-46.23%
|
✗
|
$2.3M |
| Oct 13, 2011 |
Oct 17, 2011 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
17.5
|
-78
|
-28.16%
|
✗
|
$2M |
| Oct 11, 2011 |
Oct 12, 2011 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
17.5
|
-121
|
-30.40%
|
✗
|
$3M |
| Jul 14, 2011 |
Jul 15, 2011 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
17.5
|
-77
|
-16.21%
|
✗
|
$1.9M |
| Jul 11, 2011 |
Jul 13, 2011 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
17.5
|
-121
|
-20.30%
|
✗
|
$3M |
| May 2, 2011 |
May 9, 2011 |
Eaton Vance Ltd Duration Income Fund
|
10% Owner |
Buy |
56.3
|
+1
|
0.09%
|
✗
|
$25K |
| Apr 13, 2011 |
Apr 15, 2011 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
17.5
|
-106
|
-15.10%
|
✗
|
$2.7M |
| Apr 11, 2011 |
Apr 13, 2011 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
17.5
|
-91
|
-11.48%
|
✗
|
$2.3M |
| Jan 18, 2011 |
Jan 20, 2011 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
17.5
|
-399
|
-33.47%
|
✗
|
$5M |
| Aug 6, 2010 |
Aug 9, 2010 |
MFS INVESTMENT GRADE MUNICIPAL TRUST
|
10% Owner |
Sell |
27.5
|
-200
|
-100.00%
|
✗
|
$2K |
| Nov 10, 2009 |
Nov 12, 2009 |
Cyclacel Pharmaceuticals, Inc.
|
10% Owner |
Sell |
20.0
|
-328,850
|
-12.62%
|
✗
|
$263.1K |
| Nov 6, 2009 |
Nov 10, 2009 |
Cyclacel Pharmaceuticals, Inc.
|
10% Owner |
Sell |
22.5
|
-71,150
|
-2.66%
|
✗
|
$61.2K |
| Nov 5, 2009 |
Nov 6, 2009 |
Cyclacel Pharmaceuticals, Inc.
|
10% Owner |
Sell |
22.5
|
-103,172
|
-3.71%
|
✗
|
$90.8K |
| Mar 31, 2009 |
Apr 2, 2009 |
Cyclacel Pharmaceuticals, Inc.
|
10% Owner |
Sell |
26.3
|
-101,320
|
-3.52%
|
✗
|
$33K |
| Mar 27, 2009 |
Mar 31, 2009 |
Cyclacel Pharmaceuticals, Inc.
|
10% Owner |
Sell |
26.3
|
-63,180
|
-2.15%
|
✗
|
$22.9K |
| Mar 25, 2009 |
Mar 27, 2009 |
Cyclacel Pharmaceuticals, Inc.
|
10% Owner |
Sell |
26.3
|
-47,300
|
-1.58%
|
✗
|
$18.9K |
| Dec 24, 2008 |
Jan 14, 2009 |
Saba Capital Income & Opportunities Fund
|
10% Owner |
Sell |
22.5
|
-25,900
|
-96.64%
|
✗
|
$84.4K |
| Dec 9, 2008 |
Jan 14, 2009 |
MFS INVESTMENT GRADE MUNICIPAL TRUST
|
10% Owner |
Buy |
90.0
|
+200
|
100.00%
|
✗
|
$1.2K |
| Apr 7, 2008 |
Apr 9, 2008 |
NovelStem International Corp.
|
10% Owner |
Sell |
20.0
|
-300,000
|
-9.36%
|
✗
|
$738K |
| Apr 1, 2008 |
Apr 3, 2008 |
NovelStem International Corp.
|
10% Owner |
Sell |
52.5
|
-1,114
|
-0.03%
|
✗
|
$2.7K |
| Feb 2, 2006 |
Feb 6, 2006 |
CADIZ INC
|
10% Owner |
Sell |
16.3
|
-400,000
|
-26.62%
|
✗
|
$7.8M |
| Jan 31, 2006 |
Feb 2, 2006 |
CADIZ INC
|
10% Owner |
Sell |
20.0
|
-25,000
|
-1.64%
|
✗
|
$523.5K |
| Nov 18, 2005 |
Jan 25, 2006 |
CADIZ INC
|
10% Owner |
Buy |
85.0
|
+22,881
|
1.52%
|
✗
|
$457.2K |
| Sep 27, 2005 |
Jan 25, 2006 |
CADIZ INC
|
10% Owner |
Buy |
92.5
|
+55,436
|
3.83%
|
✗
|
$1.1M |
| Aug 8, 2005 |
Jan 25, 2006 |
CADIZ INC
|
10% Owner |
Buy |
90.0
|
+35,837
|
2.54%
|
✗
|
$642.8K |
| Jun 3, 2005 |
Jan 25, 2006 |
CADIZ INC
|
10% Owner |
Buy |
100.0
|
+145,940
|
11.52%
|
✗
|
$2.4M |
| Apr 15, 2005 |
Jan 25, 2006 |
CADIZ INC
|
10% Owner |
Buy |
100.0
|
+221,645
|
21.19%
|
✗
|
$3.3M |