B8| Monday, March 16, 2020 THE WALL STREET JOURNAL.
Insider-Trading Spotlight
Trading by ‘insiders’ of a corporation, such as a company’s CEO, vice president or director, potentially conveys
new information about the prospects of a company. Insiders are required to report large trades to the SEC
within two business days. Here’s a look at the biggest individual trades by insiders, based on data received by
Thomson Financial on March 13, and year-to-date stock performance of the company
KEY: B:beneficial owner of more than 10% of a security classCB:chairmanCEO:chief executive officerCFO:chief financial officer
CO:chief operating officerD:directorDO:director and beneficial ownerGC:general counselH:officer, director and beneficial owner
I:indirect transaction filed through a trust, insider spouse, minor child or otherO:officerOD:officer and directorP:presidentUT:
unknownVP:vice president Excludes pure options transactions
Biggest weekly individual trades
Based on reports filed with regulators this past week
No. of shrs inPrice range ($) $ Value
Date(s) Company Symbol Insider Title trans (000s) in transaction (000s) Close ($) Ytd (%)
Buyers
Mar. 11 TransDigm Group TDG R. Small DI 244 456.38-483.41 114,012 414.72 -25.9
Mar. 10 R. Small DI 59 467.02-481.17 28,220
Mar. 10-11 R. Small DI 54 452.07-495.71 25,563
Mar. 9-11 Newell Brands NWL C. Icahn BI 2,585 13.15-13.57 34,657 12.96 -32.6
Mar. 9 B. Icahn DO 239 13.22 3,154
Mar. 6-9 American Homes 4 Rent AMH T. Gustavson DI 1,091 27.99-28.40 30,759 27.94 6.6
Mar. 10 Hertz Global Holdings HTZ C. Icahn BI 1,285 7.79 10,011 8.24 -47.7
Mar. 9 Energy Transfer ET R. Davis D 1,281 7.77 9,959 6.73 -47.5
Mar. 11 Kinder Morgan KMI R. Kinder H 500 15.51 7,754 14.78 -30.2
Mar. 5 R. Kinder H 300 19.51 5,854
Mar. 11 Bunge BG G. Heckman CEOI 120 39.85 4,781 38.56 -33.0
Mar. 6 Nielsen Holdings NLSN J. Attwood D 250 16.33 4,083 15.05 -25.9
Mar. 6-10 Northern Oil & Gas NOG R. Rowling B 3,352 .80-1.23 3,584 0.94 -59.7
Mar. 4-6 Trinity Industries TRN B. Boze DOI 173 20.40-21.00 3,539 17.90 -19.2
Mar. 5-6 Qurate Retail QRTEA M. George CEO 550 5.44-5.46 2,995 4.49 -46.7
Mar. 5-6 Tivity Health TVTY D. Tully DI 250 11.34-11.80 2,904 4.36 -78.6
Mar. 11 Encompass Health EHC A. Anthony O 40 64.24 2,570 63.91 -7.7
Mar. 5 Freeport-McMoRan FCX R. Adkerson CEO 250 10.02 2,506 7.53 -42.6
Sellers
Mar. 10 Regeneron Pharmaceuticals REGN G. Yancopoulos P 118 461.79-486.31 55,428 465.55 24.0
Mar. 6 Inspire Medical Systems INSP C. Khuong DI 500 83.52 41,760 65.30 -12.0
Mar. 10-11Masimo MASI J. Kiani CEO 168 181.09-185.10 30,519 186.78 18.2
Mar. 5 Marsh & McLennan MMC D. Glaser CEO 248 106.81 26,527 98.64 -11.5
Mar. 6 Quest Diagnostics DGX S. Rusckowski CEO 230 112.21-116.27 25,935 96.77 -9.4
Mar. 4 Trade Desk TTD D. Pickles CT 78 267.82-285.45 21,319 200.00 -23.0
Mar. 9-10 BlackLine BL M. Spanicciati ODI 313 61.40-62.41 19,275 53.11 3.0
Mar. 9 Broadcom AVGO H. Tan CEO 75 245.01-260.00 18,962 234.22 -25.9
Mar. 5 Ameresco AMRC G. Sakellaris CEO 800 21.25 17,000 16.19 -7.5
Mar. 4 SBA Communications SBAC J. Silberstein O 58 292.00 16,902 281.89 17.0
Mar. 4-5 lululemon Athletica LULU D. Wilson OXI 71 216.44-229.87 15,808 176.75 -23.7
Mar. 6 Zoom Video Communications ZM C. Eschenbach DI 130 112.89 14,719 107.47 58.0
Mar. 10-12Uber Technologies UBER G. Camp DI 510 22.74-29.35 13,312 22.60 -24.0
Mar. 10-11RealPage RP S. Winn CEOI 200 57.37-59.99 11,837 54.80 2.0
Mar. 6 Qorvo QRVO R. Quinsey D 110 92.88-95.58 10,333 83.80 -27.9
Mar. 6 Moody's MCO R. Mcdaniel CEO 43 232.22-244.25 10,198 213.07 -10.3
Mar. 10 Walmart WMT M. Lore O 85 115.63-120.30 9,980 114.10 -4.0
Mar. 4-5 Tyler Technologies TYL J. Marr ODI 30 327.83-329.16 9,855 287.13 -4.3
- Half the transactions were indirect **Two day transaction
p - Pink Sheets
Buying and selling by sector
Based on actual transaction dates in reports received this past week
Sector Buying Selling Sector Buying Selling
Basic Industries 9,077,685 1,272,661 Finance 36,854,865 78,517,735
Businessservices 1,145,927 6,904,462 Health care 7,197,873 95,356,692
Capital goods 00 Industrial 8,651,022 12,712,262
Consumerdurables 905,229 240,601 Media 6,879,813 10,632,592
Consumernondurables 8,657,144 14,288,783 Technology 2,627,199 62,435,553
Consumerservices 9,516,471 25,972,644 Transportation 1,071,337 0
Energy 29,724,985 1,457,246 Utilities 4,546,056 5,241,861
Sources: Thomson Financial; WSJ Market Data GroupFriday
Energy
Coal,C.Aplc.,12500Btu,1.2SO2-r,w 59.150
Coal,PwdrRvrBsn,8800Btu,0.8SO2-r,w 11.650
Metals
Gold, per troy oz
Engelhard industrial 1590.00
Engelhard fabricated n.a.
Handy & Harman base 1562.80
Handy & Harman fabricated 1734.71
LBMA Gold Price AM *1636.65
LBMA Gold Price PM *1570.70
Krugerrand,wholesale-e 1577.58
Maple Leaf-e 1592.75
American Eagle-e 1592.75
Mexican peso-e 1836.93
Austria crown-e 1489.87
Austria phil-e 1592.75
Silver, troy oz.
Engelhard industrial 15.7500
Engelhard fabricated n.a.
Handy & Harman base 14.7820
Handy & Harman fabricated 18.4780
LBMA spot price *£12.9800
(U.S.$ equivalent) *16.5250
Coins,wholesale $1,000 face-a 10699
Other metals
LBMA Platinum Price PM *809.0
Platinum,Engelhard industrial 799.0
Platinum,Engelhard fabricated n.a.Friday
Palladium,Engelhard industrial 1845.0
Palladium,Engelhard fabricated n.a.
Aluminum, LME, $ per metric ton *1643.0
Copper,Comex spot 2.4740
Iron Ore, 62% Fe CFR China-s 91.0
Shredded Scrap, US Midwest-s,m 280
Steel, HRC USA, FOB Midwest Mill-s 587
Fibers and Textiles
Burlap,10-oz,40-inch NY yd-n,w 0.5650
Cotton,1 1/16 std lw-mdMphs-u 0.5674
Cotlook 'A' Index-t *71.00
Hides,hvy native steers piece fob-u 34.500
Wool,64s,staple,Terr del-u,w n.a.Grains and Feeds
Barley,top-quality Mnpls-u n.a.
Bran,wheat middlings, KC-u 87
Corn,No. 2 yellow,Cent IL-bp,u 3.6250
Corn gluten feed,Midwest-u,w 108.5
Corn gluten meal,Midwest-u,w 465.3
Cottonseed meal-u,w 250
Hominy feed,Cent IL-u,w 98
Meat-bonemeal,50% pro Mnpls-u,w 210
Oats,No.2 milling,Mnpls-u 3.3075
Rice, Long Grain Milled, No. 2 AR-u,w 25.88
Sorghum,(Milo) No.2 Gulf-u 7.4963
SoybeanMeal,Cent IL,rail,ton48%-u 301.00
Soybeans,No.1 yllw IL-bp,u 8.3600
Wheat,Spring14%-pro Mnpls-u 6.4050Friday
Wheat,No.2 soft red,St.Louis-bp,u 5.3900
Wheat - Hard - KC (USDA) $ per bu-u 4.3650
Wheat,No.1soft white,Portld,OR-u 5.8500
Food
Beef,carcass equiv. index
choice 1-3,600-900 lbs.-u 180.89
select 1-3,600-900 lbs.-u 174.42
Broilers, National comp wtd. avg.-u,w 0.8033
Butter,AA Chicago 1.8125
Cheddar cheese,bbl,Chicago 150.00
Cheddar cheese,blk,Chicago 187.25
Milk,Nonfat dry,Chicago lb. 105.25
Coffee,Brazilian,Comp 1.0822
Coffee,Colombian, NY 1.5388
Eggs,large white,Chicago-u 0.9350
Flour,hard winter KC 13.80
Hams,17-20 lbs,Mid-US fob-u n.a.
Hogs,Iowa-So. Minnesota-u 58.45
Pork bellies,12-14 lb MidUS-u n.a.
Pork loins,13-19 lb MidUS-u 1.0333
Steers,Tex.-Okla. Choice-u 105.00
Steers,feeder,Okla. City-u,w 159.06
Fats and Oils
Corn oil,crude wet/dry mill wtd. avg.-u,w36.0000
Grease,choice white,Chicago-h 0.2750
Lard,Chicago-u n.a.
Soybean oil,crude;Centl IL-u 0.2637
Tallow,bleach;Chicago-h 0.3200
Tallow,edible,Chicago-u n.a.KEY TO CODES: A=ask; B=bid; BP=country elevator bids to producers; C=corrected; E=Manfra,Tordella & Brooks; G=ICE; H=American Commodities Brokerage Co;
M=monthly; N=nominal; n.a.=not quoted or not available; R=SNL Energy; S=Platts-TSI; T=Cotlook Limited; U=USDA; W=weekly, Z=not quoted. *Data as of 3/12
Source: WSJ Market Data GroupCash Prices Friday, March 13, 2020
These prices reflect buying and selling of a variety of actual or “physical” commodities in the marketplace—
separate from the futures price on an exchange, which reflects what the commodity might be worth in future
months.WSJ.com/commoditiesBorrowing Benchmarks|WSJ.com/bonds
Money Rates March 13, 2020
Key annual interest rates paid to borrow or lend money in U.S. and international markets. Rates below are a
guide to general levels but don’t always represent actual transactions.
Inflation
Feb. index Chg From (%)
level Jan. '20 Feb. '19
U.S. consumer price index
All items 258.678 0.27 2.3
Core 267.268 0.48 2.4
International rates
Week 52-Week
Latest ago High Low
Prime rates
U.S. 4.25 4.25 5.50 4.25
Canada 3.45 3.95 3.95 3.45
Japan 1.475 1.475 1.475 1.475
Policy Rates
Euro zone 0.00 0.00 0.00 0.00
Switzerland 0.50 0.50 0.50 0.50
Britain 0.75 0.75 0.75 0.75
Australia 0.50 0.50 1.50 0.50
Overnight repurchase
U.S. 1.18 1.15 3.40 1.15
U.S. government rates
Discount
1.75 1.75 3.00 1.75
Federal funds
Effective rate1.12001.0800 2.4800 1.0800Week —52-WEEK—
Latest ago High Low
High 1.15001.1500 3.0000 1.1500
Low 1.00001.0000 2.4400 0.5000
Bid 1.05001.0500 2.4400 1.0500
Offer 1.10001.1000 2.5000 1.1000
Treasury bill auction
4 weeks 0.3950.925 2.470 0.395
13 weeks 0.3901.155 2.410 0.390
26 weeks 0.4001.010 2.455 0.400
Secondary market
Fannie Mae
30-year mortgage yields
30 days 2.9912.398 3.885 2.328
60 days 3.0352.439 3.896 2.353
Other short-term rates
Week 52-Week
Latest ago high low
Call money
3.00 3.00 4.25 3.00
Notes on data:
U.S. prime rateis the base rate on corporate loans posted by at least 70% of the 10 largest U.S. banks,
and is effective March 4, 2020.Other prime ratesaren’t directly comparable; lending practices vary
widely by location;Discount rateis effective March 4, 2020.DTCC GCF Repo Indexis Depository
Trust & Clearing Corp.'s weighted average for overnight trades in applicable CUSIPs. Value traded is in
billions of U.S. dollars.Federal-funds ratesare Tullett Prebon rates as of 5:30 p.m. ET.
Sources: Federal Reserve; Bureau of Labor Statistics; DTCC; FactSet;
Tullett Prebon Information, Ltd.Commercial paper (AA financial)
90 days 1.19 1.01 2.58 0.79Libor
One month 0.80013 0.86263 2.50150 0.70463
Three month 0.84313 0.89600 2.63263 0.74050
Six month 0.82138 0.87988 2.68213 0.73538
One year 0.82163 0.84563 2.84050 0.74350Euro Libor
One month -0.527 -0.573 -0.408 -0.621
Three month-0.427 -0.518 -0.334 -0.539
Six month -0.380 -0.470 -0.296 -0.491
One year -0.298 -0.402 -0.171 -0.441
Value 52-Week
Latest Traded High LowDTCC GCF Repo Index
Treasury 1.158 63.216 6.007 1.146
MBS 1.149 90.200 6.699 1.149Week —52-WEEK—
Latest ago High LowGeneral Equity Funds
Adams Diversified EquityADX15.29 12.84 -16.0 -1.8
Boulder Growth & IncomeBIF11.34 9.10 -19.8 -13.4
Central SecsCET 33.16 25.75 -22.3 -5.8
CohenStrsCEOppFdFOF10.48 9.86 -5.9 -14.0
EVTxAdvDivIncmEVT NA 17.84 NA -13.7
GabelliDiv&IncTrGDV16.36 15.73 -3.9 -21.6
Gabelli Equity TrGAB 3.92 5.13 +30.9 -9.7
GeneralAmerGAM 34.75 28.40 -18.3 -8.9
JHancockTaxAdvDivHTD20.68 18.69 -9.6 -18.1
Librty AllStr EqUSA 5.41 5.10 -5.7 -7.3
Royce Micro-Cap TrRMT6.79 5.89 -13.3 -21.7
Royce Value TrustRVT11.81 9.99 -15.4 -21.8
Source CapitalSOR NA 31.12 NA -11.9
Tri-ContinentalTY 25.79 22.18 -14.0 -9.96
Specialized Equity Funds
Aberdeen Glb Prem PropAWP5.79 4.83 -16.6 -10.9
Adams Natural ResourcesPEO10.80 9.28 -14.1 -40.3
GI NFJ DivInt&PremStrNFJ NA 9.49 NA -16.9
ASA Gold & Prec Met LtdASA NA 8.90 NA -12.5
BR Enh C&ICII 13.50 13.00 -3.7 -13.2
BlackRock Energy & ResBGR6.43 6.57 +2.2 -40.5
BlackRock Eq Enh DivBDJ6.98 6.44 -7.7 -18.8
BlackRock Enh Glbl DivBOE9.32 8.21 -11.9 -16.8
BlackRock Enh Intl DivBGY5.02 4.47 -11.0 -13.4
BlackRock Hlth SciencesBME34.30 35.44 +3.3 -7.5
BlackRock Res & CommBCX5.56 4.81 -13.5 -35.4
BlackRock Sci&Tech Tr IIBSTZ17.15 16.00 -6.7 NS
BlackRock Sci&Tech TrustBST27.11 28.38 +4.7 -3.5
BlackRock Utl Inf & PwrBUI17.04 16.97 -0.4 -15.2
CBRE ClrnGlbRlEstIGR7.05 5.99 -15.0 -10.7
CLEARBRIDGE ENGY MDS OPPEMO NA 2.41 NA -71.4
CLEARBRIDGE MLP&MDSTM TRCTR NA 2.48 NA -71.2
ClearBridge MLP & MidstmCEM NA 3.39 NA -69.2
Cntr Cst Brkfld MLP&EICEN2.18 1.93 -11.5 -71.9
ChnStrInfrUTF 19.96 18.60 -6.8 -16.6
Cohen&SteersQualIncRQI11.00 10.96 -0.4 -5.6
Listed are the 300 largest closed-end funds as
measured by assets. Closed-end funds sell a limited
number of shares and invest the proceeds in securities.
Unlike open-end funds, closed-ends generally do not
buy their shares back from investors who wish to cash
in their holdings. Instead, fund shares trade on a stock
exchange.NAsignifies that the information is not
available or not applicable.NSsignifies fund not in
existence of entire period. 12 month yield is computed
by dividing income dividends paid (during the previous
twelve months for periods ending at month-end or
during the previous fifty-two weeks for periods ending
at any time other than month-end) by the latest
month-end market price adjusted for capital gains
distributions.
Source: Lipper
Friday, March 13, 2020
52 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
CohenStrsREITPrefRNP21.20 19.43 -8.3 1.5
Cohen&Steers TotRetRFI12.30 12.08 -1.8 -1.8
Columbia Sel Prm Tech GrSTK18.65 17.84 -4.3 -3.4
DNP Select IncomeDNP8.56 10.82 +26.3 0.7
Duff&Ph Uti&Infra Inc FdDPG NA 10.39 NA -23.3
EtnVncEqtyIncEOI NA 11.78 NA -12.3
EtnVncEqtyIncoIIEOS NA 13.77 NA -11.2
EVRskMnDvsEqIncETJ NA 8.30 NA 0.0
ETnVncTxMgdBuyWrtIncETB NA 13.11 NA -9.7
EtnVncTxMgdBuyWrtOppETV NA 11.70 NA -13.7
EvTxMnDvsEqIncETY NA 9.41 NA -10.1
EtnVncTxMgdGlbBETW NA 7.47 NA -17.2
EVTxMnGblDvEqIncEXG NA 6.29 NA -15.0
First Trust Energy Inc GFEN12.91 11.60 -10.1 -37.9
First Tr Enhanced EqFFA13.97 12.71 -9.0 -9.4
FirstTrEnergyInfraFIF11.23 9.01 -19.8 -37.5
FirstTrMLPEner&IncFEI6.73 5.54 -17.7 -45.8
Gabelli HealthcareGRX9.89 8.90 -10.0 -9.8
Gab UtilityGUT 3.74 6.85 +83.2 11.8
GAMCOGlGold&NatResGGN3.05 2.84 -6.9 -23.9
J Han Finl OpptysBTO NA 22.17 NA -28.8
Neuberger Brmn MLP & EINML3.12 2.50 -19.9 -65.3
NubrgrRlEstSecNRO 4.18 3.88 -7.2 -14.2
Nuv Dow 30 Dyn OverwriteDIAX NA 12.91 NA -23.4
Nuveen Engy MLP Tot RtnJMF NA 2.02 NA -75.6
Nuveen Nasdaq 100 Dyn OvQQQX NA 18.60 NA -9.7
Nuv Real EstJRS 9.33 7.92 -15.1 -16.6
Nuveen Rl Asst Inc & GroJRI NA 11.97 NA -17.9
NuvS&P500DynOvFdSPXX NA 11.99 NA -16.9
NuvSP500BuyIncFdBXMX11.57 10.27 -11.2 -15.0
ReavesUtilityIncomeUTG29.03 27.64 -4.8 -11.0
RMRRealEstIncRIF 17.31 13.15 -24.0 -24.1
Tortoise Enrgy Infra CrpTYG NA 5.51 NA -73.1
Tortoise Ess Asst Inc TmTEAF NA 11.13 NA NS
Tortoise Midstream EnrgyNTG NA 3.28 NA -73.2
Income & Preferred Stock Funds
CalamosStratTotCSQ NA 10.21 NA -10.5
CohenStrsLtdDurPref&IncLDP23.03 21.61 -6.2 -1.7
CohenStrsSelPref&IncomePSF23.63 23.78 +0.6 -4.6
FirstTrIntDurPref&IncFPF21.13 19.95 -5.6 -1.6
JHanPrefIncHPI 16.84 17.18 +2.0 -16.4
JHPrefIncIIHPF 16.59 16.37 -1.4 -19.7
HnckJPfdInco IIIHPS 14.74 15.08 +2.3 -12.9
J Han PrmPDT 12.07 12.39 +2.7 -17.3
LMP CapIncoSCD NA 9.39 NA -21.1
Nuveen Pref & Inc OppJPC8.73 8.40 -3.8 -5.5
Nuveen FdJPS 8.80 8.12 -7.7 -3.6
Nuveen Pref & Inc TermJPI21.65 20.56 -5.0 -1.8
Nuveen TxAdvDivGrJTD NA 11.81 NA -19.552 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret DoubleLine Inc SolDSL NA 15.06 NA 9.8
First Tr Hi Inc Lng/ShrtFSD14.76 12.81 -13.2 9.0
IVY HIGH INCOME OPPIVH12.98 11.36 -12.5 9.4
NeubHgYldStrtNHS NA 9.90 NA 8.8
NexPointStratOpptyNHF19.32 13.06 -32.4 14.9
Nuveen Crdt Opps 2022 TTJCO8.47 9.18 +8.4 5.7
Nuveen Global High IncJGH14.88 13.02 -12.5 7.8
Nuveen HI Nov 2021 TgtJHB NA 9.30 NA 5.1
PGIM Global High YieldGHY NA 12.28 NA 8.6
PGIM High Yield BondISD NA 12.47 NA 8.5
PioneerHilncmTrPHT8.48 7.45 -12.1 8.2
Wells Fargo Income OpptyEAD NA 6.77 NA 9.1
WstAstHIF IIHIX NA 5.56 NA 8.7
Western Asset Hi Inc OppHIO NA 4.26 NA 7.5
Western Asset Hi Yld D OHYI NA 12.78 NA 6.8
Other Domestic Taxable Bond Funds
Ares Dynamic Crdt AllocARDC NA 12.16 NA 8.8
Barings Corporate InvMCI NA 14.63 NA 7.2
BlackRock Mlt-Sctr IncBIT15.31 13.29 -13.2 9.2
BlackRock Tax Muni BdBBN26.40 24.16 -8.5 5.5
DoubleLine:Oppor Crdt FdDBL NA 19.51 NA 7.0
Duff&Ph Util CorDUC9.24 8.94 -3.2 4.8
EVLmtDurIncmEVV NA 11.29 NA 7.8
Franklin Ltd Dur IncomeFTF NA 8.13 NA 11.6
J Han InvestorsJHI 15.49 13.87 -10.5 7.2
KKR Income OpportunitiesKIO NA 12.56 NA 10.4
MFS CharterMCR 8.37 7.39 -11.7 8.9
Nuveen Taxable Muni IncNBB21.57 20.61 -4.5 5.4
PIMCO Corp & Inc OpptyPTY NA 15.24 NA 9.6
PIMCO Corp & Inc StratPCN NA 14.78 NA 8.6
PIMCOHilncoPHK NA 5.48 NA 11.4
PIMCO IncmStrFdPFL NA 9.21 NA 9.7
PIMCO IncmStrFd IIPFN NA 8.48 NA 9.5
Putnam Mas IntPIM 4.51 4.17 -7.5 8.3
Putnam Prem IncPPT5.00 4.59 -8.2 8.3
Wells Fargo Multi-SectorERC NA 10.08 NA 10.1
World Income Funds
Abrdn AP IncFdFAX 4.45 3.72 -16.4 5.1
BrndywnGLB Glb Inc OpptsBWG NA 11.39 NA 6.0
EtnVncStDivIncEVG NA 11.44 NA 6.9
MS EmMktDomDebtEDD6.74 5.63 -16.5 8.9
PIMCO Dyn Crd & Mrt IncPCI NA 20.51 NA 10.6
PIMCO Dynamic IncomePDI NA 25.88 NA 10.3
PIMCO Income OpportunityPKO NA 22.61 NA 8.9
PIMCO Stratg IncRCS NA 6.88 NA 9.4
Templeton Em IncTEI NA 7.80 NA 8.9
Templtn Glbl IncGIM NA 5.58 NA 6.8
WstAstEmergDebtEMD NA 11.92 NA 8.7
Western Asset Gl Cr D OpGDO NA 15.49 NA 7.1
National Muni Bond Funds
AllBerNatlMunIncAFB14.68 12.73 -13.3 3.9
BlckRk Inv Q MunBKN15.54 14.27 -8.2 4.3
BlackRock Muni 2030 TgtBTT25.29 23.24 -8.1 3.0
BlackRock MuniBFK 13.70 12.62 -7.9 4.7
BlackRock Muni IIBLE14.18 13.02 -8.2 4.7
BlckRk Muni Inc QlyBYM14.82 13.17 -11.1 4.1
BR MuniAssets FdMUA13.70 13.02 -5.0 4.0
BR MuniEnhancedMEN11.61 10.16 -12.5 4.2
BR MuniHoldings QlyMFL14.02 12.79 -8.8 4.1
BR MH Qly 2MUE 13.36 11.82 -11.5 4.2
BR MuniHoldngsMHD16.08 14.60 -9.2 4.5
BR MuniVest FdMVF9.18 8.52 -7.2 4.7
BR MuniVest 2MVT 14.49 13.22 -8.8 4.6
BR MuniYield FdMYD14.18 13.02 -8.2 4.6
BR MuniYield QltyMQY15.50 13.81 -10.9 4.2
BR MuniYld Qlty2MQT13.64 11.98 -12.2 4.0
BR MuniYld Qly 3MYI14.38 12.81 -10.9 3.9
BNY Mellon Muni Bd InfraDMB13.86 12.30 -11.3 4.4
BNY Mellon Str Muni BondDSM7.89 7.00 -11.3 5.0
BNY Mellon Strat MuniLEO8.19 7.58 -7.4 4.9
DWS Muni IncKTF 12.15 10.52 -13.4 4.2
EVMuniBdEIM 13.59 12.45 -8.4 3.9
EVMuniIncmEVN 13.34 11.85 -11.2 4.3
EVNatMuniOppEOT20.92 19.81 -5.3 4.1
InvAdvMuIncTrIIVKI11.57 10.27 -11.2 4.8
Invesco MuniOpOIA 7.39 6.89 -6.8 4.8
InvescoMuOppTrVMO12.95 11.65 -10.0 4.7
InvescoMuTrVKQ 12.96 11.45 -11.7 4.8
InvescoQual IncIQI 13.10 11.63 -11.2 4.7
InvTrInvGrMuVGM 13.36 11.85 -11.3 4.7
InvescoValMunIncIIM15.92 14.12 -11.3 4.5
MAINSTAY:MK DEFTR MUN OPMMD19.89 19.98 +0.5 4.8
NeubrgrBrmNBH 14.66 14.28 -2.6 4.7
Nuveen AMT-Fr Mu ValNUW16.43 15.16 -7.7 3.6
Nuveen AMT-Fr Qlty Mun INEA NA 13.58 NA 4.3
Nuveen AMT-Fr Mu CINVG NA 14.73 NA 4.7
Nuveen Enh Muni ValNEV NA 13.43 NA 4.4
Nuveen Int Dur Mun TermNID NA 13.09 NA 3.6Prem12 Mo
Fund (SYM) NAV Close /Disc YldTCW Strat IncomeTSI NA 5.32 NA 3.5
Convertible Sec's. Funds
AdvntCnvrtbl&IncFdAVK NA 12.00 NA -9.0
GI Conv & IncNCV NA 4.00 NA -29.1
AGI Conv & Inc IINCZ NA 3.59 NA -28.6
AGI Eqty & Conv IncNIE NA 18.14 NA -9.4
CalamosConvHiCHY NA 8.86 NA -10.7
CalmosConvOpCHI NA 8.41 NA -8.7
World Equity Funds
Aberdeen Emg Mkts Eq IncAEF6.78 5.67 -16.4 -20.7
Aberdeen Tot Dyn DivAOD7.91 6.59 -16.7 -14.2
Calamos GloDynIncCHW NA 5.93 NA -16.4
Cdn Genl InvCGI 28.58 20.37 -28.7 -12.6
EV TxAdvGlbDivIncETG NA 12.37 NA -14.8
EtnVncTxAdvOppETO NA 19.31 NA -11.3
FirstTr Dyn Euro Eq IncFDEU10.54 9.28 -12.0 -28.9
Gabelli MultimediaGGT4.89 5.96 +21.9 -24.2
GDL FundGDL 9.88 8.35 -15.5 -9.4
Highland Global AllocHGLB9.28 5.80 -37.5 -49.2
India FundIFN 18.78 15.69 -16.5 -19.1
Japan Smaller CapJOF NA 6.36 NA -19.2
MS ChinaShrFdCAF 22.78 18.15 -20.3 -18.1
MS IndiaIIF 19.36 15.33 -20.8 -27.1
New GermanyGF 12.93 11.25 -13.0 -16.9
Templeton DragonTDF NA 16.48 NA -5.5
Templeton Em MktEMF NA 11.63 NA -14.8
Wells Fargo Gl Div OpptyEOD NA 3.92 NA -15.9U.S. Mortgage Bond Funds
BlckRk IncomeBKT 6.43 5.88 -8.6 6.8
Invesco HI 2023 Tgt TermIHIT10.00 9.71 -2.9 5.7
Nuveen Mortgage and IncJLS22.22 21.63 -2.7 6.2
Investment Grade Bond Funds
BlRck Core BondBHK15.59 13.80 -11.5 5.2
BR Credit Alloc IncBTZ13.85 12.07 -12.9 6.4
J Han IncomeJHS 14.74 14.17 -3.9 4.6
MFS IntmdtMIN 3.97 3.62 -8.8 9.2
Western Asset Inf-Lk IncWIA NA 10.78 NA 3.3
Western Asset Inf-Lk O&IWIW NA 9.86 NA 3.7
Loan Participation Funds
Apollo Senior FloatingAFT NA 12.72 NA 8.1
BR Debt StrategyDSU10.60 9.14 -13.8 7.9
BR F/R Inc StrFRA 12.73 10.77 -15.4 7.0
BlackRock Floatng Rt IncBGT12.34 10.48 -15.1 6.8
Blackstone / GSO StratBGB NA 12.00 NA 9.8
Blackstone/GSO Sr Flt RtBSL NA 13.50 NA 8.5
Eagle Point CreditECC NA 10.40 NA 17.8
EtnVncFltRteIncEFT NA 11.35 NA 7.9
EV SenFlRtTrEFR NA 10.86 NA 7.8
EVSnrIncmEVF NA 5.11 NA 7.1
FT/Sr Fltg Rte Inc 2FCT12.07 10.26 -15.0 7.4
FT/Sr Fltg Rte 2022 TgTrFIV8.52 8.16 -4.2 4.0
Highland IncomeHFRO13.64 11.07 -18.8 7.7
InvDYCrOppVTA 11.02 9.40 -14.7 7.5
InvSnrIncTrVVR 4.21 3.55 -15.7 6.7
Nuveen Credit Strat IncJQC NA 5.91 NA 17.5
NuvFloatRateIncFdJFR NA 7.84 NA 7.9
NuvFloatRteIncOpptyJRO NA 7.81 NA 8.0
Nuveen Senior IncomeNSL NA 4.86 NA 8.0
PionrFltRate TrPHD10.52 8.97 -14.7 6.5
High Yield Bond Funds
AllianceBernGlHiIncmAWF11.65 10.05 -13.7 6.9
Barings Glb SD HY BdBGH14.71 13.60 -7.5 10.8
BR Corporate HYHYT10.21 9.30 -8.9 8.5
BlackRock Ltd Dur IncBLW15.29 13.13 -14.1 7.0
BNY Mellon Hi Yield StrDHF2.82 2.53 -10.4 9.0
Brookfield Real Asst IncRA NA 16.84 NA 11.8
CrSuisHighYldDHY 2.27 2.05 -9.7 9.552 wk
Prem Ttl
Fund (SYM) NAV Close /Disc RetPrem12 Mo
Fund (SYM) NAV Close /Disc Yld52 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
Calmos Dyn Conv and IncCCD NA 15.71 NA NA
World Equity Funds
ACAP Strategic:A 18.72 NA NA 15.5
ACAP Strategic:W 13.92 NA NA 16.5
BMO LGM Front ME;I 6.82 NA NA -25.9
CalamosGlbTotRetCGO NA 8.76 NA NA
Loan Participation Funds
1WS Credit Income NA NA NA NS
AlphCntrc Prime Merid In NA NA NA NS
Angel Oak Str Crdt:Inst NA NA NA 6.6
Axonic Alternative Inc23.27 NA NA 3.5
Blackstone/GSO FR EI D NA NA NA 6.4Blackstone/GSO FR EI I NA NA NA 6.7
Blackstone/GSO FR EI T NA NA NA 6.2
Blackstone/GSO FR EI T-I NA NA NA NS
Blackstone/GSO FR EI U NA NA NA NS
Blstn Commnty Dev 10.13 NA NA 3.4
BNYM Alcntr Glb MS Cr Fd86.74 NA NA NS
CLIFFWATER CL FD;I10.05 NA NA NS
CNR Strategic Credit 9.15 NA NA 7.4
FedProj&TrFinanceTendr 9.83 NA NA 4.1
FS Global Crdt Opptys D NA NA NA 6.9
Garrison Capital IncGARS NA 2.93 NA NA
Schrdrs Opp Inc;A 24.60 NA NA NS
Schrdrs Opp Inc;A2 NA NA NA NS
Schrdrs Opp Inc;I 24.60 NA NA NS
Schrdrs Opp Inc;SDR 24.61 NA NA NS
Invesco Sr Loan A 5.85 NA NA 4.8
Invesco Sr Loan C 5.86 NA NA 4.1
Invesco Sr Loan IB 5.85 NA NA 5.1
Invesco Sr Loan IC 5.85 NA NA 4.9
Invesco Sr Loan Y 5.85 NA NA 5.1
Sierra Total Return:T 19.09 NA NA 6.6
High Yield Bond Funds
Griffin Inst Access Cd:A NA NA NA 6.9
Griffin Inst Access Cd:C NA NA NA 6.8
Griffin Inst Access Cd:F NA NA NA 6.8
Griffin Inst Access Cd:I NA NA NA 6.8
Griffin Inst Access Cd:L NA NA NA 6.9
PIMCO Flexible Cr I;A-2 NA NA NA NS
PIMCO Flexible Cr I;A-4 NA NA NA 9.2
PIMCO Flexible Cr I;Inst NA NA NA 10.0
PionrILSBridge NA NA NA 0.0
WA Middle Mkt Dbt NA NA NA 8.5
WA Middle Mkt Inc NA NA NA 8.9
Other Domestic Taxable Bond Funds
Am Beacon Apollo TR:T 9.55 NA NA NS
Am Beacon Apollo TR:Y 9.56 NA NA 2.9
Am Beacon SP Enh Inc:T 8.89 NA NA NS
Am Beacon SP Enh Inc:Y 8.90 NA NA 5.0
BR Credit Strat;Inst 9.32 NA NA 4.6
BlackRock Mlt-Sctr Oppty88.30 NA NA 7.6
BlackRock Mlt-Sec Opp II90.22 NA NA NS
Carlyle Tact Pvt Cred:A NA NA NA 7.8
Carlyle Tact Pvt Cred:I NA NA NA 8.4
Carlyle Tact Pvt Cred:L NA NA NA 8.1
Carlyle Tact Pvt Cred:N NA NA NA NS
Carlyle Tact Pvt Cred:Y NA NA NA 8.2
CION Ares Dvsfd Crdt;A NA NA NA 5.4
CION Ares Dvsfd Crdt;C NA NA NA 5.4
CION Ares Dvsfd Crdt;I NA NA NA 5.4
CION Ares Dvsfd Crdt;L NA NA NA 5.4
CION Ares Dvsfd Crdt;U NA NA NA NS
CION Ares Dvsfd Crdt;W NA NA NA 5.4
CNR Select Strategies10.90 NA NA 0.0
GL Beyond Income 1.10 NA NA NE
KKR CREDIT OPPTY;I NA NA NA NS
Lord Abbett Cred Opps Fd 8.90 NA NA NS
Lord Abbett Cred Opps Fd 8.90 NA NA 7.6
Palmer Square Opp Inc NA NA NA 5.8
Resource Credit Inc:A10.03 NA NA 7.7
Resource Credit Inc:C10.13 NA NA 6.9
Resource Credit Inc:I 10.06 NA NA 7.9
Resource Credit Inc:L 10.02 NA NA 7.4
Resource Credit Inc:W10.03 NA NA 7.7
Thrivent Church Ln&Inc:S NA NA NA 3.3
World Income Funds
Destra Int&Evt-Dvn Crd:A23.23 NA NA 5.0
Destra Int&Evt-Dvn Crd:I23.24 NA NA 5.2
Destra Int&Evt-Dvn Crd:L23.21 NA NA 4.7
Destra Int&Evt-Dvn Crd:T23.20 NA NA 4.5
National Muni Bond Funds
PIMCO Flex Mun Inc;A-3 NA NA NA NS
PIMCO Flex Mun Inc;Inst NA NA NA NS
Tortoise Tax-Adv Soc Inf 9.57 NA NA 4.6Prem12 Mo
Fund (SYM) NAV Close /Disc YldCLOSED-END FUNDS
Nuv Muni Credit IncomeNZF NA 14.36 NA 4.8
NuvMuniHiIncOppNMZ NA 12.55 NA 5.0
Nuveen Muni ValNUV10.34 9.75 -5.7 3.5
Nuveen Quality Muni IncNAD NA 13.71 NA 4.3
Nuveen Sel TFNXP NA 14.66 NA 3.4
Nuveen Sel TF 2NXQ NA 13.80 NA 3.3
PIMCO MuniIncPMF NA 12.40 NA 4.7
PIMCOMuniIncIIPML NA 12.63 NA 5.1
Pimco Muni IIIPMX NA 10.79 NA 4.8
PioneerHilncAdvMAV NA 10.23 NA 4.1
PioneerMunHiIcmTMHI12.53 10.98 -12.4 4.7
Putnam Mgd IncPMM7.76 7.00 -9.8 4.8
Putnam Muni OppPMO13.10 12.20 -6.9 4.8
RiverNorth Mgd Dur Mun IRMM NA 18.55 NA NS
Western Asset Mgd MuniMMU NA 11.71 NA 4.7
Westn Asst Mu Def Opp TrMTT NA 19.96 NA 4.0
Single State Muni Bond
BlackRock CA MunBFZ14.60 12.41 -15.0 3.5
BR MH CA Qly Fd IncMUC14.91 13.42 -10.0 3.7
BR MH NJ QlyMUJ NA 13.32 NA 4.3
BR MH NY QlyMHN 14.49 12.66 -12.6 3.8
BR MuniYld CAMYC14.97 13.31 -11.1 3.6
BR MuniYld CA QlyMCA15.05 13.15 -12.6 3.9
BR MuniYld MI QlyMIY15.19 13.26 -12.7 4.1
BR MuniYld NJMYJ NA 13.94 NA 4.7
BR MuniYld NY QlyMYN13.89 12.34 -11.2 3.8
EVCAMuniBdEVM 12.30 10.73 -12.7 4.0
Eaton Vance NY Muni BdENX13.06 11.33 -13.2 3.9
InvCaValMuIncTrVCV12.99 11.48 -11.6 4.3
InvPAValMuIncTrVPV13.70 11.91 -13.1 4.7
InvTrInvGrNYMuVTN13.94 12.44 -10.8 4.4
Nuveen CA AMT-F Qual MINKX NA 14.06 NA 3.9
Nuveen CA ValNCA 10.40 9.47 -8.9 3.2
NuveenCAQtyMuIncNAC NA 13.65 NA 4.2
Nuveen MD Qual Muni IncNMY14.60 12.79 -12.4 3.8
Nuveen MI Qual Muni IncNUM15.46 13.02 -15.8 3.7
NuvNJ Qual Muni IncNXJ15.81 13.58 -14.1 4.3
Nuveen NY AMT/Fr Qual MINRK14.33 12.80 -10.7 3.9
Nuveen NY Qual Muni IncNAN14.89 12.93 -13.2 3.9
Nuveen OH Qual Muni IncNUO NA 14.24 NA 3.4
Nuveen PA Qual Muni IncNQP NA 12.93 NA 4.1
Nuveen VA Qlty Mun IncNPV14.46 12.98 -10.2 3.6
PIMCO CAPCQ NA 16.24 NA 4.7
PIMCOCAMuniIIPCK NA 8.12 NA 4.1Prem12 Mo
Fund (SYM) NAV Close /Disc YldSpecialized Equity Funds
Clarion Partners REI D NA NA NA NS
Clarion Partners REI I NA NA NA NS
Clarion Partners REI S NA NA NA NS
Clarion Partners REI T NA NA NA NS
NexPointHCOpp;A 14.13 NA NA -10.0
NexPointHCOpp;C 13.93 NA NA -10.6
NexPointRlEstStrat;A16.18 NA NA -12.5
NexPointRlEstStrat;C16.32 NA NA -12.9
NexPointRlEstStrat;Z16.33 NA NA -12.0
PREDEX;I 26.09 NA NA 4.3
PREDEX;T 26.15 NA NA 4.3
PREDEX;W 26.15 NA NA 4.3
Principal Dvs Sel RA A NA NA NA NS
Principal Dvs Sel RA Ins NA NA NA NS
Principal Dvs Sel RA Y NA NA NA NS
Resource RE Div Inc:A 9.84 NA NA 0.2
Resource RE Div Inc:C 9.82 NA NA -0.5
Resource RE Div Inc:I 10.25 NA NA 0.3
Resource RE Div Inc:L 9.83 NA NA -0.1
Resource RE Div Inc:W 9.99 NA NA 0.2
SharesPost 100;A 30.44 NA NA 5.2
SharesPost 100:I 30.61 NA NA 5.5
SharesPost 100:L 30.28 NA NA 4.9
USQ Core Real Estate:I25.88 NA NA 4.4
USQ Core Real Estate:IS25.88 NA NA 4.4
Versus Cap MMgr RE Inc:I27.68 NA NA NE
Wildermuth Endwmnt:A13.69 NA NA 6.3
Wildermuth Endwmnt:C13.28 NA NA 5.5
Wildermuth Endowment:I13.82 NA NA 6.7
Income & Preferred Stock Funds
A3 Alternative Cr 10.57 NA NA NS
Calamos L/S Eqty and DICPZ NA 13.84 NA NS
Destra Multi-Altrntv;A12.39 NA NA -3.8
Destra Multi-Altrntv;C11.91 NA NA -4.6
Destra Multi-Altrntv;I12.61 NA NA -3.7
Destra Multi-Altrntv;L12.07 NA NA -4.3
Variant Altrntv Inc:Inst26.96 NA NA 11.7
Variant Altrntv Inc:Inv26.96 NA NA 11.4
Convertible Sec's. Funds52 wk
Prem Ttl
Fund (SYM) NAV Close /Disc RetIPO Scorecard
Performance of IPOs, most-recent listed first
% Chg From % Chg From
CompanySYMBOL Friday 3 sOffer1st-day CompanySYMBOL Friday 3 sOffer1st-day
IPO date/Offer price close ($)price close IPO date/Offer price close ($)price close
DFP Healthcare Acquisitions10.00 ... –2.0 dMY Technology Grp 9.90 –1.0 –4.3
DFPHUMarch 9/$10.00 DMYT.UTFeb. 21/$10.00
Flying Eagle Acquisition10.05 0.5 –3.4 East Stone Acquisition 9.81 –1.9 –2.0
FEAC.UMarch 6/$10.00 ESSCUFeb. 20/$10.00
GFL Environmental 16.70 –12.1 –0.6 Churchill Capital III 10.05 0.5 –4.4
GFLMarch 2/$19.00 CCXX.UTFeb. 14/$10.00
Passage Bio 15.52 –13.8–30.1 Newborn Acquisition 9.90 –1.0 –1.5
PASGFeb. 28/$18.00 NBACUFeb. 14/$10.00
Zhongchao 2.35 –41.3–41.3 CITIC Capital Acquisition 9.99 –0.1 –2.1
ZCMDFeb. 24/$4.00 CCAC.UTFeb. 11/$10.00
Sources: Dow Jones Market Data; FactSet