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
$18.67M
Companies
20
Total Filings
95
Lifetime Open-Market Net
$59.73M
Filer Profile
Reported Address
72 COLEYTOWN ROADWESTPORT, CT 06882
Related Filers
LLP Bulldog Investors — 492 joint filings, latest 2019-12-06
Andrew Dakos — 486 joint filings, latest 2019-12-06
PHILLIP GOLDSTEIN — 486 joint filings, latest 2019-12-06
FULL VALUE PARTNERS LP — 4 joint filings, latest 2016-08-02
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses.
View filings on SEC EDGAR.
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 | $5.48 | $6.59M | $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 | $9.76 | $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 | $2.81 | $12.07M | $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 | $13.32 | $7.0K | -$34.3K | 2 | 2015-02-02 |
Recent Filings · Page 5 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 |
|---|---|---|---|---|---|
| 2016-08-08 | Virtus Total Return Fund (DCA) Delisted | Buy (P) | +302,000 | $1.38M | EDGAR |
| 2016-07-25 | Nuveen Global Equity Income Fund (JGV) Delisted | Buy (P) | +97,880 | $1.18M | EDGAR |
| 2016-07-15 | Virtus Total Return Fund (DCA) Delisted | Buy (P) | +218,800 | $996.6K | EDGAR |
| 2016-07-13 | Nuveen Global Equity Income Fund (JGV) Delisted | Buy (P) | +155,664 | $1.86M | EDGAR |
| 2016-07-13 | Virtus Total Return Fund (DCA) Delisted | Buy (P) | +230,208 | $1.05M | EDGAR |
| 2016-07-05 | Nuveen Global Equity Income Fund (JGV) Delisted | Buy (P) | +6,800 | $78.3K | EDGAR |
| 2016-07-01 | PACHOLDER HIGH YIELD FUND INC (PHF) Delisted | Sell (S) | −4,436 | -$31.7K | EDGAR |
| 2016-06-30 | Nuveen Global Equity Income Fund (JGV) Delisted | Buy (P) | +62,400 | $708.6K | EDGAR |
| 2016-06-23 | FIRST TRUST DIVIDEND & INCOME FUND (FAV) Delisted | Buy (P) | +21,080 | $187.8K | EDGAR |
| 2016-06-14 | FIRST TRUST DIVIDEND & INCOME FUND (FAV) Delisted | Buy (P) | +5,192 | $46.1K | 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.