Steven Samuels
CIK 1561169 · last filed 2018-10-09
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$19.61M
Companies
20
Total Filings
95
Lifetime Open-Market Net
$59.73M
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND (AKP) Delisted | 10%+ Owner | 634,621 | — | — | $2.18M | 2 | 2018-10-09 |
| PCF | 10%+ Owner | 1,202,887 | $5.30 | $6.38M | $4.58M | 6 | 2017-11-01 |
| abrdn Emerging Markets ex-China Fund, Inc. (CH) Delisted | 10%+ Owner | 921,486 | — | — | -$977.3K | 1 | 2017-10-10 |
| PMO | 10%+ Owner | 0 | $10.30 | $0 | $0 | 1 | 2017-08-21 |
| PACHOLDER HIGH YIELD FUND INC (PHF) Delisted | 10%+ Owner | 1,226,530 | — | — | $1.44M | 12 | 2017-05-25 |
| ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (LCM) Delisted | 10%+ Owner | 1,027,009 | — | — | -$1.04M | 3 | 2017-05-17 |
| JPMORGAN CHINA REGION FUND, INC. (JFC) Delisted | 10%+ Owner | 656,696 | — | — | $11.29M | 5 | 2017-04-26 |
| KOREA EQUITY FUND INC (KEF) Delisted | 10%+ Owner | 837,826 | — | — | $1.63M | 1 | 2017-02-09 |
| NRO | 10%+ Owner | 4,295,140 | $3.08 | $13.23M | $92.2K | 2 | 2016-12-16 |
| Nuveen Long/Short Commodity Total Return Fund (CTF) Delisted | 10%+ Owner | 1,179,781 | — | — | $1.41M | 3 | 2016-12-12 |
| NXG NextGen Infrastructure Income Fund (SZC) Delisted | 10%+ Owner | 459,250 | $40.78 | $18.73M | $181.6K | 2 | 2016-12-01 |
| Nuveen Global Equity Income Fund (JGV) Delisted | 10%+ Owner | 2,125,782 | — | — | $8.32M | 10 | 2016-09-21 |
| Virtus Total Return Fund (DCA) Delisted | 10%+ Owner | 3,764,743 | — | — | $5.95M | 6 | 2016-08-08 |
| FIRST TRUST DIVIDEND & INCOME FUND (FAV) Delisted | 10%+ Owner | 1,420,230 | — | — | $2.67M | 6 | 2016-06-23 |
| LMP REAL ESTATE INCOME FUND INC. (RIT) Delisted | 10%+ Owner | 2,180,690 | — | — | $17.02M | 16 | 2016-04-25 |
| MFS INTERMARKET INCOME TRUST I (CMK) Delisted | 10%+ Owner | 817,017 | — | — | $4.16M | 2 | 2015-09-08 |
| ALLIANCE NEW YORK MUNICIPAL INCOME FUND (AYN) Delisted | 10%+ Owner | 446,222 | — | — | $1.45M | 4 | 2015-07-16 |
| CROSSROADS CAPITAL, INC. (BDCV) Delisted | 10%+ Owner | 813,887 | — | — | $591.0K | 2 | 2015-06-23 |
| Firsthand Technology Value Fund, Inc. (SVVC) Delisted | 10%+ Owner | 736,685 | $0.23 | $173.1K | -$1.18M | 7 | 2015-02-04 |
| SPE | 523 | $13.09 | $6.8K | -$34.3K | 2 | 2015-02-02 |
Recent Filings · Page 2 of 10
95 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2017-05-25 | PACHOLDER HIGH YIELD FUND INC (PHF) Delisted | Buy (P) | +26,552 | $211.3K | EDGAR |
| 2017-05-17 | PACHOLDER HIGH YIELD FUND INC (PHF) Delisted | Buy (P) | +32,400 | $256.3K | EDGAR |
| 2017-05-17 | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (LCM) Delisted | Sell (S) | −280,660 | -$2.45M | EDGAR |
| 2017-05-09 | PACHOLDER HIGH YIELD FUND INC (PHF) Delisted | Buy (P) | +55,880 | $441.4K | EDGAR |
| 2017-04-26 | JPMORGAN CHINA REGION FUND, INC. (JFC) Delisted | Buy (P) | +40,000 | $745.2K | EDGAR |
| 2017-04-19 | JPMORGAN CHINA REGION FUND, INC. (JFC) Delisted | Buy (P) | +119,520 | $2.19M | EDGAR |
| 2017-04-13 | JPMORGAN CHINA REGION FUND, INC. (JFC) Delisted | Buy (P) | +80,000 | $1.47M | EDGAR |
| 2017-04-04 | JPMORGAN CHINA REGION FUND, INC. (JFC) Delisted | Buy (P) | +334,396 | $6.15M | EDGAR |
| 2017-03-23 | JPMORGAN CHINA REGION FUND, INC. (JFC) Delisted | Buy (P) | +40,000 | $729.6K | EDGAR |
| 2017-03-22 | PACHOLDER HIGH YIELD FUND INC (PHF) Delisted | Buy (P) | +45,828 | $354.4K | EDGAR |
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.