B8| Monday, December 7, 2020 THE WALL STREET JOURNAL.
IPO 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
Capitol Investment V 10.10 1.0 0.5 Spartan Acquisition II 10.37 3.7 0.7
CAP.UTDec. 2/$10.00 SPRQ.UTNov. 25/$10.00
Rodgers Silicon Valley Acquisition10.80 8.0 –3.7 10X Capital Venture Acquisition10.15 1.5 1.4
RSVAUDec. 2/$10.00 VCVCUNov. 24/$10.00
Trepont Acquisition I 10.19 1.9 0.4 Genesis Park Acquisition10.08 0.8 0.7
TACA.UTDec. 2/$10.00 GNPK.UTNov. 24/$10.00
Seaport Global Acquisition10.16 1.6 1.6 HF Enterprises 5.46 –22.0–21.8
SGAMUNov. 30/$10.00 HFENNov. 24/$7.00
Forest Road Acquisition10.20 2.0 ... Ozon Hldgs 47.85 59.5 19.1
FRX.UTNov. 25/$10.00 OZONNov. 24/$30.00
Sources: Dow Jones Market Data; FactSetInsider-Trading Spotlight
Trading by ‘insiders’ of a corporation, such as a company’s CEO, vice president or director, potentially conveys
new information about the prospects of a company. Insiders are required to report large trades to the SEC
within two business days. Here’s a look at the biggest individual trades by insiders, based on data received by
Thomson Financial on December 4, and year-to-date stock performance of the company
KEY: B:beneficial owner of more than 10% of a security classCB:chairmanCEO:chief executive officerCFO:chief financial officer
CO:chief operating officerD:directorDO:director and beneficial ownerGC:general counselH:officer, director and beneficial owner
I:indirect transaction filed through a trust, insider spouse, minor child or otherO:officerOD:officer and directorP:presidentUT:
unknownVP:vice president Excludes pure options transactions
Biggest weekly individual trades
Based on reports filed with regulators this past week
No. of shrs inPrice range ($) $ Value
Date(s) Company Symbol Insider Title trans (000s) in transaction (000s) Close ($) Ytd (%)
Buyers
Dec. 1-3 HC2 Holdings HCHC A. Glazer DOI 2,600 3.36-3.54 8,963 3.46 59.7
Dec. 1 Espey Manufacturing Electronics ESP P. Murphy OBI 300 18.29 5,487 20.62 -4.5
Dec. 1 H. Pinsley DOI 300 18.29 5,487
Nov. 30-Dec. 1American Assets Trust AAT E. Rady CEOI 50 28.99-29.00 1,452 31.08 -32.3
Nov. 27 Genesis Park Acquisition GNPKU P. Hobby CEO 100 10.00 1,000 10.08 0.7
Nov. 27 R. Anderson D 25 10.00 250
Nov. 27 T. Friedkin D 20 10.00 200
Nov. 25 Maravai LifeSciences Holdings MRVI C. Hull CEOI 35 26.94 943 27.62
Dec. 1 CNX Resources CNX B. Lanigan DI 63 9.58 600 9.47 7.0
Dec. 2 Hormel Foods HRL S. Lykken OI 7 46.97 323 47.38 5.0
Nov. 24 Net 1 U.E.P.S. Technologies UEPS A. Ball DI 89 3.39 301 3.43 -7.8
Dec. 1-2 Atlas Technical Consultants ATCX G. Cappa COI 50 5.51-5.92 286 7.07 -30.4
Nov. 24 Merrimack Pharmaceuticals MACK E. Andersen DI 69 3.65 252 7.07 124.4
Nov. 24 N. Levy DOI 69 3.65 252
Dec. 3 Bain Capital Specialty Finance BCSF J. Hawkins D 18 12.50 228 12.83 -35.1
Nov. 25 Keurig Dr Pepper KDP R. Singer D 8 30.16-30.26 227 30.53 5.5
Nov. 16-30Century Bancorp CNBKA J. Filler B 2 74.93-81.91 131 77.36 -14.0
Nov. 25 Coty COTY R. Singer D 18 7.14 125 7.75 -31.1
Sellers
Nov. 30-Dec. 1Walmart WMT S. Walton DOI 678 151.97-152.72 103,303 148.91 25.3
Nov. 30-Dec. 1 A. Walton BI 678 151.97-152.72 103,303
Nov. 30-Dec. 1 J. Walton BI 678 151.97-152.72 103,303
Nov. 30 Carnival CCL M. Arison CBI 5,000 20.37-21.59 102,910 23.45 -53.9
Nov. 24-27Sysco SYY J. Frank DI 1,229 71.42-73.59 88,882 78.12 -8.7
Nov. 24-27 N. Peltz DI 1,229 71.42-73.59 88,882
Nov. 30 Clorox CLX B. Dorer OD 417 200.49-203.04 83,789 199.98 30.2
Dec. 1 NVIDIA NVDA J. Huang CEO 100 529.84-540.74 53,557 542.33 130.5
Dec. 1 Workday WDAY D. Duffield DOI 221 223.83-229.16 50,008 222.18 35.1
Nov. 30 Procter Gamble PG N. Peltz DI 307 137.24-138.14 42,096 137.47 10.1
Dec. 1-2 Datadog DDOG O. Pomel CEO 439* 90.77-98.45 41,488 101.57 168.8
Nov. 27-30Green Dot GDOT J. Osher DI 690 51.95-55.99 35,856 55.28137.300
Nov. 27 Trane Technologies TT M. Lamach CEO 232 144.81 33,612 141.85 37.6
Nov. 24 Broadcom AVGO H. Tan CEO 78 387.17-392.10 30,484 411.68 30.3
Nov. 25 Slack Technologies WORK D. Butterfield CEO 650 38.11-40.00 25,528 42.80 90.4
Nov. 30 Square SQ J. Dorsey CEOI 100 205.95-212.87 20,914 208.15 232.7
Nov. 17-19Pinterest PINS B. Silbermann CEO 315 62.46-66.34 20,303 67.31 261.1
Nov. 2 ServiceNow NOW F. Luddy DI 37 475.09-507.15 18,033 525.70 86.2
- 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 63,700 129,997,568 Finance 1,091,752 52,940,468
Business services 49,975 3,186,439 Health care 428,265 45,647,772
Capital goods 00 Industrial 10,974,000 87,685,199
Consumer durables 59,746 12,595,522 Media 0 17,675,088
Consumer nondurables 549,378 57,587,443 Technology 55,002 88,285,110
Consumer services 49,658 112,394,767 Transportation 154,609 2,917,046
Energy 858,801 2,479,645 Utilities 123,718 937,588
Sources: Refinitiv; Dow Jones Market DataFriday
Energy
Coal,C.Aplc.,12500Btu,1.2SO2-r,w 52.750
Coal,PwdrRvrBsn,8800Btu,0.8SO2-r,w 11.600
Metals
Gold, per troy oz
Engelhard industrial 1841.00
Handy & Harman base 1843.00
Handy & Harman fabricated 2045.73
LBMA Gold Price AM *1834.80
LBMA Gold Price PM *1832.35
Krugerrand,wholesale-e 1909.96
Maple Leaf-e 1928.33
American Eagle-e 1928.33
Mexican peso-e 2222.27
Austria crown-e 1803.14
Austria phil-e 1928.33
Silver, troy oz.
Engelhard industrial 24.0900
Handy & Harman base 24.1150
Handy & Harman fabricated 30.1440
LBMA spot price *£18.0000
(U.S.$ equivalent) *24.1700
Coins,wholesale $1,000 face-a 18190
Other metals
LBMA Platinum Price PM *1023.0
Platinum,Engelhard industrial 1063.0
Palladium,Engelhard industrial 2365.0Friday
Aluminum, LME, $ per metric ton *n.a.
Copper,Comex spot 3.5140
Iron Ore, 62% Fe CFR China-s 145.3
Shredded Scrap, US Midwest-s,m 287
Steel, HRC USA, FOB Midwest Mill-s 840
Fibers and Textiles
Burlap,10-oz,40-inch NY yd-n,w 0.6300
Cotton,1 1/16 std lw-mdMphs-u 0.6882
Cotlook 'A' Index-t *78.35
Hides,hvy native steers piece fob-u 38.500
Wool,64s,staple,Terr del-u,w n.a.
Grains and Feeds
Barley,top-quality Mnpls-u n.a.
Bran,wheat middlings, KC-u 148
Corn,No. 2 yellow,Cent IL-bp,u 4.1200
Corn gluten feed,Midwest-u,w 149.5
Corn gluten meal,Midwest-u,w 545.1
Cottonseed meal-u,w 420
Hominy feed,Cent IL-u,w 120
Meat-bonemeal,50% pro Mnpls-u,w n.a.
Oats,No.2 milling,Mnpls-u 3.5100
Rice, Long Grain Milled, No. 2 AR-u,w 28.38
Sorghum,(Milo) No.2 Gulf-u 6.2700
SoybeanMeal,Cent IL,rail,ton48%-u 385.00
Soybeans,No.1 yllw IL-bp,u 11.5300
Wheat,Spring14%-pro Mnpls-u 6.7300
Wheat,No.2 soft red,St.Louis-u 6.0300Friday
Wheat - Hard - KC (USDA) $ per bu-u 5.6775
Wheat,No.1soft white,Portld,OR-u 6.1750
Food
Beef,carcass equiv. index
choice 1-3,600-900 lbs.-u 193.83
select 1-3,600-900 lbs.-u 174.77
Broilers, National comp wtd. avg.-u,w 0.8527
Butter,AA Chicago 1.4800
Cheddar cheese,bbl,Chicago 140.00
Cheddar cheese,blk,Chicago 158.50
Milk,Nonfat dry,Chicago lb. 115.00
Coffee,Brazilian,Comp 1.1217
Coffee,Colombian, NY 1.6770
Eggs,large white,Chicago-u 0.9350
Flour,hard winter KC 15.20
Hams,17-20 lbs,Mid-US fob-u n.a.
Hogs,Iowa-So. Minnesota-u 64.02
Pork bellies,12-14 lb MidUS-u n.a.
Pork loins,13-19 lb MidUS-u 0.7867
Steers,Tex.-Okla. Choice-u 110.00
Steers,feeder,Okla. City-u,w 155.94
Fats and Oils
Corn oil,crude wet/dry mill wtd. avg.-u,w42.9000
Grease,choice white,Chicago-h 0.2900
Lard,Chicago-u n.a.
Soybean oil,crude;Centl IL-u 0.4082
Tallow,bleach;Chicago-h 0.3250
Tallow,edible,Chicago-u 0.3500KEY TO CODES: A=ask; B=bid; BP=country elevator bids to producers; C=corrected; E=Manfra,Tordella & Brookes; 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 12/3
Source: Dow Jones Market DataCash Prices Friday, December 4, 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/market-data/commodities
Borrowing Benchmarks|wsj.com/market-data/bonds/benchmarks
Money Rates December 4, 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
Oct. index Chg From (%)
level Sept. '20 Oct. '19
U.S. consumer price index
All items 260.388 0.04 1.2
Core 269.328 0.10 1.6
International rates
Week 52-Week
Latest ago High Low
Prime rates
U.S. 3.25 3.25 4.75 3.25
Canada 2.45 2.45 3.95 2.45
Japan 1.475 1.475 1.475 1.475
Policy Rates
Euro zone 0.00 0.00 0.00 0.00
Switzerland 0.00 0.00 0.50 0.00
Britain 0.10 0.10 0.75 0.10
Australia 0.10 0.10 0.75 0.10
Overnight repurchase
U.S. 0.09 0.07 1.65 -0.07
U.S. government rates
Discount
0.25 0.25 2.25 0.25
Federal funds
Effective rate0.09000.0900 1.6200 0.0600
High 0.10000.1000 1.6500 0.1000Notes 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 16, 2020.Other prime ratesaren’t directly comparable; lending practices vary
widely by location;Discount rateis effective March 16, 2020.Secured Overnight Financing Rateis
as of December 3, 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.Low 0.05000.0500 1.5800 0.0100
Bid 0.08000.0800 1.6000 0.0100
Offer 0.10000.1000 1.6300 0.0500
Treasury bill auction
4 weeks 0.0750.080 1.575 0.000
13 weeks 0.0850.085 1.560 0.000
26 weeks 0.0900.090 1.570 0.080Secondary market
Fannie Mae
30-year mortgage yields
30 days 1.8961.894 3.362 1.751
60 days 1.9231.921 3.370 1.804Other short-term rates
Week 52-Week
Latest ago high low
Call money
2.00 2.00 3.50 2.00Week —52-WEEK—
Latest ago High Low
Commercial paper (AA financial)
90 days 0.14 n.a. 2.53 0.04
Libor
One month 0.15175 0.15475 1.80475 0.12663
Three month 0.22588 0.22538 1.96050 0.20488
Six month 0.25575 0.25738 1.92438 0.23375
One year 0.33675 0.33038 2.01200 0.32763
Euro Libor
One month -0.590 -0.581 -0.360 -0.621
Three month-0.553 -0.545 -0.142 -0.554
Six month -0.522 -0.515 -0.052 -0.526
One year -0.485 -0.477 0.008 -0.485
Secured Overnight Financing Rate
0.08 0.08 1.64 0.01
Value 52-Week
Latest Traded High Low
DTCC GCF Repo Index
Treasury 0.117 35.000 1.720 0.002
MBS 0.121 51.900 1.763 0.011Week —52-WEEK—
Latest ago High LowGeneral Equity Funds
Adams Diversified EquityADX19.73 17.12 -13.2 17.4
Boulder Growth & IncomeBIF NA 11.15 NA -0.3
Central SecsCET 38.47 31.56 -18.0 4.7
CohenStrsCEOppFdFOF12.64 11.98 -5.2 0.4
EVTxAdvDivIncmEVT24.60 23.62 -4.0 2.4
GabelliDiv&IncTrGDV24.71 21.54 -12.8 9.3
Gabelli Equity TrGAB 5.90 6.58 +11.5 19.0
GeneralAmerGAM 43.30 36.49 -15.7 7.6
JHancockTaxAdvDivHTD23.04 21.09 -8.5 -16.7
Liberty All-Star EquityUSA7.29 6.76 -7.3 13.3
Liberty All-Star GrowthASG7.56 8.41 +11.2 46.5
Royce Micro-Cap TrRMT11.59 9.96 -14.1 30.0
Royce Value TrustRVT18.17 16.14 -11.2 19.3
Source CapitalSOR 44.74 40.35 -9.8 9.8
Tri-ContinentalTY 33.32 29.71 -10.8 12.9
Specialized Equity Funds
Aberdeen Glb Prem PropAWP5.96 5.26 -11.7 -10.8
Adams Natural ResourcesPEO14.25 11.79 -17.3 -19.3
AllianzGI AI & Tech OppsAIO27.88 24.99 -10.4 38.0
GI DivInt&PremStrNFJ15.12 13.22 -12.6 9.2
ASA Gold & Prec Met LtdASA25.28 21.07 -16.7 71.3
BR Enh C&ICII 18.87 17.29 -8.4 11.1
BlackRock Energy & ResBGR8.26 7.62 -7.7 -24.7
BlackRock Eq Enh DivBDJ9.24 8.47 -8.3 -2.7
BlackRock Enh Glbl DivBOE12.11 10.81 -10.7 8.1
BlackRock Enh Intl DivBGY6.41 5.83 -9.0 10.8
BlackRock Hlth Sci Tr IIBMEZ28.51 28.30 -0.7 NS
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 funds not in
existence for the entire period. 12 month yield is
computed by dividing income dividends paid (during
the previous 12 months for periods ending at month-
end or during the previous 52 weeks for periods
ending at any time other than month-end) by the
latest month-end market price adjusted for capital
gains distributions. Depending on the fund category,
either 12-month yield or total return is listed.
Source: Lipper
Friday, December 4, 2020
52 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
BlackRock Hlth SciencesBME44.15 46.62 +5.6 19.7
BlackRock Res & CommBCX8.28 7.17 -13.4 2.0
BlackRock Sci&Tech Tr IIBSTZ35.19 33.76 -4.1 78.9
BlackRock Sci&Tech TrustBST48.25 49.87 +3.4 61.8
BlackRock Utl Inf & PwrBUI23.30 24.29 +4.2 19.4
CBRE ClrnGlbRlEstIGR8.01 6.79 -15.2 -6.5
ClearBridge MLP & MidstmCEM NA 18.67 NA -58.8
ChnStrInfrUTF 24.78 25.78 +4.0 9.7
Cohen&SteersQualIncRQI13.18 12.37 -6.1 -10.4
Cohen&Steers TotRetRFI13.17 13.42 +1.9 -2.5
CohenStrsREITPrefIncRNP23.57 22.14 -6.1 -0.5
Columbia Sel Prm Tech GrSTK26.74 26.35 -1.5 24.3
DNP Select IncomeDNP9.16 10.35 +13.0 -11.9
Duff&Ph Uti&Infra Inc FdDPG13.61 12.03 -11.6 -10.0
EtnVncEqtyIncEOI 16.64 15.76 -5.3 8.0
EtnVncEqtyIncoIIEOS20.79 20.70 -0.4 27.8
EVRskMnDvsEqIncETJ9.99 10.14 +1.5 20.1
ETnVncTxMgdBuyWrtIncETB14.45 14.46 +0.1 -1.2
EtnVncTxMgdBuyWrtOppETV14.30 14.87 +4.0 11.3
EvTxMnDvsEqIncETY12.60 12.13 -3.7 7.9
EtnVncTxMgdGlbBETW10.12 9.55 -5.6 3.2
EVTxMnGblDvEqIncEXG9.15 8.47 -7.4 8.5
First Trust Energy Inc GFEN13.30 11.42 -14.1 -37.3
First Tr Enhanced EqFFA18.12 16.84 -7.1 11.4
FirstTrMLPEner&IncFEI7.20 6.22 -13.6 -35.6
Gabelli HealthcareGRX13.65 11.64 -14.7 9.9
Gab UtilityGUT 4.13 7.72 +86.9 13.8
GAMCOGlGold&NatResGGN3.99 3.52 -11.8 -5.8
J Han Finl OpptysBTO28.45 29.83 +4.9 -7.5
Nuv Dow 30 Dyn OverwriteDIAX NA 15.14 NA -9.4
NuvCorEqAlphaJCE NA 13.93 NA 2.4
Nuveen Nasdaq 100 Dyn OvQQQX NA 25.86 NA 16.0
Nuv Real EstJRS NA 8.69 NA -11.0
Nuveen Rl Asst Inc & GroJRI NA 13.40 NA -18.6
NuvS&P500DynOvFdSPXX NA 15.01 NA -0.1
NuvSP500BuyIncFdBXMX NA 12.72 NA -0.3
ReavesUtilityIncomeUTG32.61 33.05 +1.3 -3.9
Tortoise Enrgy Infra CrpTYG27.85 21.88 -21.4 -65.2
Income & Preferred Stock Funds
CalamosStratTotCSQ15.52 15.56 +0.3 26.7
CohenStrsLtdDurPref&IncLDP25.82 25.34 -1.9 1.9
CohenStrsSelPref&IncomePSF26.69 27.67 +3.7 -0.7
FirstTrIntDurPref&IncFPF24.05 22.94 -4.6 3.252 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret Ares Dynamic Crdt AllocARDC NA 13.71 NA 8.9
BlackRock Mlt-Sctr IncBIT18.34 17.19 -6.3 8.7
BlackRock Tax Muni BdBBN24.86 26.69 +7.4 5.0
DoubleLine:Oppor Crdt FdDBL19.73 19.63 -0.5 7.1
Duff&Ph Util CorDUC9.59 9.84 +2.6 5.9
EVLmtDurIncmEVV13.68 12.47 -8.8 9.8
Franklin Ltd Dur IncomeFTF9.39 8.77 -6.6 10.8
J Han InvestorsJHI 18.50 17.20 -7.0 7.8
KKR Income OpportunitiesKIO NA 14.44 NA 10.5
MFS CharterMCR 8.94 8.51 -4.9 8.1
Nuveen Taxable Muni IncNBB NA 23.48 NA 4.8
PIMCO Corp & Inc OpptyPTY NA 17.92 NA 9.1
PIMCO Corp & Inc StratPCN NA 17.21 NA 8.3
PIMCOHilncoPHK NA 6.19 NA 11.1
PIMCO IncmStrFdPFL NA 11.36 NA 9.7
PIMCO IncmStrFd IIPFN NA 10.03 NA 9.8
Putnam Mas IntPIM 4.46 4.20 -5.8 8.6
Putnam Prem IncPPT4.95 4.68 -5.5 9.1
Wells Fargo Multi-SectorERC12.94 11.98 -7.4 9.7
World Income Funds
Abrdn AP IncFdFAX 4.87 4.34 -10.9 7.8
BrndywnGLB Glb Inc OpptsBWG NA 12.45 NA 7.0
EtnVncStDivIncEVG13.73 12.54 -8.7 7.2
MS EmMktDomDebtEDD7.29 6.29 -13.7 7.4
PIMCO Dyn Crd & Mrt IncPCI NA 21.34 NA 12.2
PIMCO Dynamic IncomePDI NA 26.96 NA 11.5
PIMCO Income OpportunityPKO23.43 25.52 +8.9 9.1
PIMCO Stratg IncRCS NA 6.91 NA 9.7
Templeton Em IncTEI8.89 7.89 -11.2 7.7
Templtn Glbl IncGIM 6.11 5.43 -11.1 4.5
WstAstEmergDebtEMD NA 13.81 NA 8.8
Western Asset Gl Cr D OpGDO NA 17.92 NA 6.7
National Muni Bond Funds
AllBerNatlMunIncAFB15.28 14.25 -6.7 4.2
BlckRk Inv Q MunBKN16.57 17.12 +3.3 4.2
BlackRock Muni 2030 TgtBTT26.61 25.25 -5.1 2.9
BlackRock MuniBFK 14.58 14.95 +2.5 4.4
BlackRock Muni IIBLE15.02 15.22 +1.3 4.6
BlckRk Muni Inc QlyBYM15.80 14.85 -6.0 4.0
BR MuniAssets FdMUA14.30 14.95 +4.5 4.3
BR MuniEnhancedMEN12.38 11.95 -3.5 4.1
BR MuniHoldings QlyMFL15.03 14.04 -6.6 3.9
BR MH Qly 2MUE 14.19 13.23 -6.8 4.3
BR MuniHoldngsMHD17.11 15.90 -7.1 4.5
BR MuniVest FdMVF9.81 9.07 -7.5 4.4
BR MuniVest 2MVT 15.41 15.17 -1.6 4.4
BR MuniYield FdMYD15.06 14.25 -5.4 4.7
BR MuniYield QltyMQY16.48 16.42 -0.4 4.1
BR MuniYld Qlty2MQT14.48 13.71 -5.3 4.1
BR MuniYld Qly 3MYI15.14 14.15 -6.5 3.9
BNY Mellon Muni Bd InfraDMB14.47 14.20 -1.9 4.5
BNY Mellon Str Muni BondDSM NA 7.71 NA 4.7
BNY Mellon Strat MuniLEO8.58 8.60 +0.2 4.9
DWS Muni IncKTF 12.75 11.47 -10.0 4.1
EVMuniBdEIM 14.24 13.34 -6.3 4.3
EVMuniIncmEVN 14.18 13.57 -4.3 4.2
EVNatMuniOppEOT21.64 20.80 -3.9 3.7
InvAdvMuIncTrIIVKI12.14 11.38 -6.3 4.7
Invesco MuniOpOIA 7.67 7.62 -0.7 4.9
InvescoMuOppTrVMO13.58 12.77 -6.0 4.7
InvescoMuTrVKQ 13.60 12.88 -5.3 4.6
InvescoQual IncIQI 13.77 12.85 -6.7 4.7
InvTrInvGrMuVGM 14.02 13.10 -6.6 4.7
InvescoValMunIncIIM16.72 15.56 -6.9 4.5
MAINSTAY:MK DEFTR MUN OPMMD NA 21.69 NA 4.7
NeubrgrBrmNBH 15.16 15.24 +0.5 4.8
Nuveen AMT-Fr Mu ValNUW NA 16.30 NA 2.8
Nuveen AMT-Fr Qlty Mun INEA NA 14.88 NA 4.5
Nuveen AMT-Fr Mu CINVG NA 16.65 NA 4.8
Nuveen Dyn Muni OppNDMO NA NA NA NS
Nuveen Enh Muni ValNEV NA 15.39 NA 4.5
Nuveen Int Dur Mun TermNID NA 13.84 NA 3.7
Nuveen Mu Crdt OppsNMCO NA 12.87 NA 5.6
Nuv Muni Credit IncomeNZF NA 15.87 NA 4.8
NuvMuniHiIncOppNMZ NA 13.90 NA 5.3
Nuveen Muni ValNUV NA 11.11 NA 3.3
Nuveen Quality Muni IncNAD NA 15.02 NA 4.4
Nuveen Sel TFNXP NA 16.57 NA 3.2
Nuveen Sel TF 2NXQ NA 15.42 NA 3.2
Nuveen Sel TF 3NXR NA 16.57 NA 3.1
PIMCO MuniIncPMF NA 13.88 NA 4.7
PIMCOMuniIncIIPML NA 14.39 NA 5.0
Pimco Muni IIIPMX NA 11.99 NA 4.6
PioneerHilncAdvMAV12.32 11.65 -5.4 4.3
PioneerMunHiIcmTMHI13.19 12.32 -6.6 4.4
Putnam Mgd IncPMM8.14 8.00 -1.7 4.8
Putnam Muni OppPMO13.90 13.48 -3.0 4.7
RiverNorth Mgd Dur Mun IRMM NA 17.91 NA 5.7
Western Asset Mgd MuniMMU NA 12.75 NA 4.2
Westn Asst Mu Def Opp TrMTT NA 20.52 NA 3.2
Single State Muni Bond
BlackRock CA MunBFZ15.96 14.01 -12.2 3.3
BR MH CA Qly Fd IncMUC15.94 14.67 -8.0 3.9
BR MH NJ QlyMUJ 15.98 14.49 -9.3 4.8
BR MH NY QlyMHN 15.09 13.89 -8.0 4.2
BR MuniYld CAMYC 16.30 14.47 -11.2 3.5
BR MuniYld CA QlyMCA16.12 14.84 -7.9 4.0
BR MuniYld MI QlyMIY15.81 14.37 -9.1 4.2
BR MuniYld NJMYJ 16.06 14.27 -11.1 5.1
BR MuniYld NY QlyMYN14.48 13.17 -9.0 4.1
EVCAMuniBdEVM 12.79 11.67 -8.8 4.0
Eaton Vance NY Muni BdENX13.50 12.12 -10.2 4.1
InvCaValMuIncTrVCV13.70 12.86 -6.1 4.1Prem12 Mo
Fund (SYM) NAV Close /Disc YldPrem12 Mo
Fund (SYM) NAV Close /Disc Yld
Blackstone/GSO FR EI T23.48 NA NA 5.5
Blackstone/GSO FR EI T-I24.06 NA NA 5.4
Blackstone/GSO FR EI U24.52 NA NA 5.4
Blstn Commnty Dev 10.11 NA NA 3.4
BNYM Alcntr Glb MS Cr Fd101.95 NA NA 6.9
CLIFFWATER CL FD;I10.50 NA NA 5.1
CNR Strategic Credit 10.24 NA NA 7.8
FedProj&TrFinanceTendr10.01 NA NA 2.8
FS Global Crdt Opptys D NA NA NA 8.5
Schrdrs Opp Inc;A 25.66 NA NA 1.1
Schrdrs Opp Inc;A2 NA NA NA NS
Schrdrs Opp Inc;I 25.67 NA NA 1.1
Schrdrs Opp Inc;SDR 25.71 NA NA 1.2
Invesco Sr Loan A 6.20 NA NA 4.4
Invesco Sr Loan C 6.22 NA NA 3.7
Invesco Sr Loan IB 6.20 NA NA 4.6
Invesco Sr Loan IC 6.20 NA NA 4.5
Invesco Sr Loan Y 6.21 NA NA 4.6
Pioneer Sec Inc 9.35 NA NA NS
High Yield Bond Funds
Griffin Inst Access Cd:A NA NA NA 6.1
Griffin Inst Access Cd:C NA NA NA 6.1
Griffin Inst Access Cd:F NA NA NA 6.2
Griffin Inst Access Cd:I NA NA NA 6.1
Griffin Inst Access Cd:L NA NA NA 6.2
PIMCO Flexible Cr I;A-2 9.16 NA NA 9.8
PIMCO Flexible Cr I;A-3 9.16 NA NA NS
PIMCO Flexible Cr I;A-4 9.16 NA NA 10.1
PIMCO Flexible Cr I;Inst 9.16 NA NA 10.9
PionrILSBridge NA NA NA 0.0
WA Middle Mkt Dbt NA NA NA 7.8
WA Middle Mkt Inc NA NA NA 8.7
Other Domestic Taxable Bond Funds
Am Beacon Apollo TR:T10.38 NA NA 1.7
Am Beacon Apollo TR:Y10.42 NA NA 2.5
Am Beacon SP Enh Inc:T 9.58 NA NA NS
Am Beacon SP Enh Inc:Y 9.64 NA NA 3.3
BR Credit Strat;A 10.41 NA NA NS
BR Credit Strat;Inst 10.41 NA NA 5.1
BlackRock Mlt-Sctr Oppty87.07 NA NA 8.6
BlackRock Mlt-Sec Opp II90.19 NA NA 8.3
Carlyle Tact Pvt Cred:A NA NA NA 8.2
Carlyle Tact Pvt Cred:I NA NA NA 9.1
Carlyle Tact Pvt Cred:L NA NA NA 8.6
Carlyle Tact Pvt Cred:M NA NA NA NS
Carlyle Tact Pvt Cred:N NA NA NA 9.1
Carlyle Tact Pvt Cred:Y NA NA NA 8.8
CION Ares Dvsfd Crdt;A NA NA NA 5.7
CION Ares Dvsfd Crdt;C NA NA NA 5.7
CION Ares Dvsfd Crdt;I NA NA NA 5.6
CION Ares Dvsfd Crdt;L NA NA NA 5.6
CION Ares Dvsfd Crdt;U NA NA NA 5.6
CION Ares Dvsfd Crdt:U2 NA NA NA NS
CION Ares Dvsfd Crdt;W NA NA NA 5.6
CNR Select Strategies11.58 NA NA 0.0
GL Beyond Income 0.76 NA NA NE
KKR CREDIT OPPTY;D NA NA NA NS
KKR CREDIT OPPTY;I NA NA NA NS
KKR CREDIT OPPTY;T NA NA NA NS
KKR CREDIT OPPTY;U NA NA NA NS
Lord Abbett Cred Opps Fd10.22 NA NA 7.2
Lord Abbett Cred Opps Fd10.22 NA NA 7.8
Lord Abbett Crd Op:U10.22 NA NA NS
Palmer Square Opp Inc18.25 NA NA 6.0
Resource Credit Inc:A NA NA NA 8.0
Resource Credit Inc:C NA NA NA 7.3
Resource Credit Inc:I NA NA NA 8.2
Resource Credit Inc:L NA NA NA 7.7
Resource Credit Inc:W NA NA NA 8.0
Thrivent Church Ln&Inc:S10.93 NA NA 2.6
World Income Funds
Destra Int&Evt-Dvn Crd:A25.15 NA NA 4.6
Destra Int&Evt-Dvn Crd:I25.16 NA NA 4.8
Destra Int&Evt-Dvn Crd:L25.14 NA NA 4.4
Destra Int&Evt-Dvn Crd:T25.12 NA NA 4.2
National Muni Bond Funds
PIMCO Flex Mun Inc;A-3 NA NA NA 2.1
PIMCO Flex Mun Inc:A1 NA NA NA NS
PIMCO Flex Mun Inc;A2 NA NA NA NS
PIMCO Flex Mun Inc;Inst NA NA NA 2.8
Tortoise Tax-Adv Soc Inf 9.51 NA NA 5.0JHanPrefIncHPI 19.88 19.74 -0.7 -3.4
JHPrefIncIIHPF 19.54 18.61 -4.8 -7.0
HnckJPfdInco IIIHPS17.50 17.35 -0.9 -0.9
J Han PrmPDT 13.79 14.24 +3.3 -9.5
LMP CapIncoSCD NA 11.83 NA -7.5
Nuveen Pref & Inc OppJPC NA 9.32 NA -2.1
Nuveen FdJPS NA 9.55 NA 1.0
Nuveen Pref & Inc TermJPI NA 24.12 NA 3.7
Nuveen TxAdvDivGrJTD NA 14.12 NA -11.2
TCW Strat IncomeTSI5.71 5.71 0.0 4.7
Convertible Sec's. Funds
AdvntCnvrtbl&IncFdAVK18.57 16.01 -13.8 16.6
GI Conv & IncNCV 6.04 5.57 -7.8 10.1
AGI Conv & Inc IINCZ 5.41 4.93 -8.9 10.1
AGI Dvs Inc & ConvACV33.44 31.42 -6.0 36.7
AGI Eqty & Conv IncNIE30.47 27.60 -9.4 31.3
CalamosConvHiCHY15.37 14.02 -8.8 34.1
CalmosConvOpCHI 14.58 13.25 -9.1 32.0
World Equity Funds
Aberdeen Emg Mkts Eq IncAEF9.26 7.96 -14.0 14.8
Aberdeen Tot Dyn DivAOD10.13 8.85 -12.6 12.0
Calamos GloDynIncCHW9.42 9.51 +0.9 22.7
ChinaCHN 33.04 29.58 -10.5 50.7
EV TxAdvGlbDivIncETG19.16 17.45 -8.9 6.7
EtnVncTxAdvOppETO26.33 24.10 -8.5 2.9
FirstTr Dyn Euro Eq IncFDEU13.60 11.74 -13.7 -12.7
Gabelli MultimediaGGT8.07 8.18 +1.4 15.8
Highland Global AllocHGLB10.35 6.47 -37.5 -13.2
India FundIFN 22.01 19.45 -11.6 6.5
Japan Smaller CapJOF10.67 9.80 -8.2 12.2
LazardGlbTotRetIncLGI19.33 17.51 -9.4 19.9
MS ChinaShrFdCAF 28.14 24.14 -14.2 18.2
MS IndiaIIF 24.30 20.44 -15.9 4.3
New GermanyGF 22.29 19.34 -13.3 32.7
Templeton DragonTDF27.10 25.30 -6.6 55.6
Templeton Em MktEMF20.13 18.31 -9.0 26.7
Wells Fargo Gl Div OpptyEOD5.55 4.90 -11.7 0.6U.S. Mortgage Bond Funds
BlckRk IncomeBKT 6.24 6.08 -2.6 6.7
Invesco HI 2023 Tgt TermIHIT8.67 8.31 -4.2 7.2
Investment Grade Bond Funds
BlRck Core BondBHK16.41 15.90 -3.1 4.9
BR Credit Alloc IncBTZ15.71 14.77 -6.0 6.7
Insight Select IncomeINSI22.36 21.51 -3.8 3.9
InvescoBondVBF 21.85 20.86 -4.5 3.6
J Han IncomeJHS 16.50 15.93 -3.5 4.6
MFS IntmdtMIN 3.95 3.79 -4.1 8.9
Western Asset Inf-Lk IncWIA NA 13.53 NA 2.9
Western Asset Inf-Lk O&IWIW NA 12.07 NA 3.4
Westn Asst IG Def Opp TrIGI NA 21.58 NA 3.8
Loan Participation Funds
Apollo Senior FloatingAFT NA 13.93 NA 6.9
BR Debt StrategyDSU11.53 10.45 -9.4 8.2
BR F/R Inc StrFRA 13.78 12.30 -10.7 7.8
BlackRock Floatng Rt IncBGT13.37 12.00 -10.2 7.7
Blackstone / GSO StratBGB NA 12.75 NA 9.3
Blackstone/GSO Sr Flt RtBSL NA 14.41 NA 8.0
Eagle Point CreditECC NA 9.68 NA 15.8
EtnVncFltRteIncEFT14.29 13.39 -6.3 6.7
EV SenFlRtTrEFR 14.07 12.96 -7.9 7.0
EVSnrIncmEVF 6.74 6.35 -5.9 6.3
FT/Sr Fltg Rte Inc 2FCT12.68 11.42 -9.9 9.7
FT/Sr Fltg Rte 2022 TgTrFIV9.39 8.84 -5.9 2.9
Highland IncomeHFRO12.98 9.28 -28.5 10.2
InvDYCrOppVTA 11.53 10.41 -9.7 8.7
InvSnrIncTrVVR 4.42 4.00 -9.5 6.8
Nuveen Credit Strat IncJQC NA 6.39 NA 16.5
NuvFloatRateIncFdJFR NA 8.85 NA 7.4
NuvFloatRteIncOpptyJRO NA 8.70 NA 7.4
Nuveen Senior IncomeNSL NA 5.21 NA 7.9
PionrFltRate TrPHD11.23 10.84 -3.5 6.3
High Yield Bond Funds
AllianceBernGlHiIncmAWF12.81 11.45 -10.6 6.9
Angel Oak FS Inc TrmFINS NA 16.96 NA 7.4
Barings Glb SD HY BdBGH16.45 14.81 -10.0 9.7
BR Corporate HYHYT11.94 11.72 -1.8 8.0
BlackRock Ltd Dur IncBLW16.89 15.89 -5.9 7.4
BNY Mellon Hi Yield StrDHF3.25 2.99 -8.0 8.5
Brookfield Real Asst IncRA NA 18.07 NA 13.5
CrSuisHighYldDHY NA 2.30 NA 8.5
DoubleLine Inc SolDSL NA 16.32 NA 10.7
DoubleLine Yld OppsDLY19.87 18.64 -6.2 NS
First Tr Hi Inc Lng/ShrtFSD16.37 14.63 -10.6 9.0
First Trust HY Opp:2027FTHY21.31 19.88 -6.7 NS
IVY HIGH INCOME OPPIVH14.42 13.08 -9.3 9.5
NeubHgYldStrtNHS12.53 11.80 -5.8 9.4
New Amer Hi IncHYB 9.82 8.68 -11.6 6.5
NexPointStratOpptyNHF17.74 10.29 -42.0 14.3
Nuveen CI Nov 2021 TgtJHB NA 9.13 NA 4.4
Nuveen Crdt Opps 2022 TTJCO NA 8.21 NA 6.8
Nuveen Global High IncJGH NA 15.10 NA 7.6
PGIM Global High YieldGHY NA 14.45 NA 8.9
PGIM High Yield BondISD NA 15.06 NA 8.5
PioneerHilncmTrPHT 9.36 9.09 -2.9 8.4
Wells Fargo Income OpptyEAD8.94 8.05 -10.0 8.8
WstAstHIF IIHIX NA 7.01 NA 8.4
Western Asset Hi Inc OppHIO NA 5.05 NA 7.7
Western Asset Hi Yld D OHYI NA 15.09 NA 7.4
Other Domestic Taxable Bond Funds
Apollo Tactical IncomeAIF NA 13.89 NA 7.252 wk
Prem Ttl
Fund (SYM) NAV Close /Disc RetPrem12 Mo
Fund (SYM) NAV Close /Disc YldGeneral Equity Funds
Specialized Equity Funds
Bluerock Total Inc+ RE:A29.52 NA NA 1.4
Bluerock Total Inc+ RE:C28.10 NA NA 0.6
Bluerock Total Inc+ RE:I30.08 NA NA 1.6
Bluerock Total Inc+ RE:L29.26 NA NA 1.1
Broadstone Rl Est Acc:I 9.57 NA NA -5.0
Broadstone Rl Est Acc:W 9.56 NA NA -5.2
CIM RA&C A NA NA NA NS
CIM RA&C C NA NA NA NS
CIM RA&C I NA NA NA NS
CIM RA&C L NA NA NA NS
GS Real Est Div Inc:A 9.79 NA NA -4.2
GS Real Est Div Inc:C 9.78 NA NA -4.7
GS Real Est Div Inc:I 10.22 NA NA -4.0
GS Real Est Div Inc:L 9.80 NA NA -4.3
GS Real Est Div Inc:W 9.94 NA NA -4.2
NexPointRlEstStrat;A16.82 NA NA -11.7
NexPointRlEstStrat;C17.00 NA NA -12.0
NexPointRlEstStrat;Z16.99 NA NA -11.1
Principal Dvs Sel RA A25.15 NA NA 1.5
Principal Dvs Sel RA Ins25.20 NA NA 1.7
Principal Dvs Sel RA Y25.28 NA NA 2.0
SharesPost 100;A 35.34 NA NA 20.4
SharesPost 100:I 35.60 NA NA 20.8
SharesPost 100:L 35.09 NA NA 20.1
USQ Core Real Estate:I24.81 NA NA 0.0
USQ Core Real Estate:IS24.82 NA NA 0.0
Versus Cap MMgr RE Inc:I27.06 NA NA NE
Versus Capital Real Asst25.08 NA NA 1.0
Wildermuth Endwmnt:A13.47 NA NA -3.0
Wildermuth Endwmnt:C12.97 NA NA -4.0
Wildermuth Endowment:I13.54 NA NA -3.4
Income & Preferred Stock Funds
A3 Alternative Cr 10.31 NA NA 6.6
Calamos L/S Eqty and DICPZ NA 17.94 NA NA
Destra Multi-Altrntv;A12.17 NA NA -4.9
Destra Multi-Altrntv;C11.64 NA NA -5.7
Destra Multi-Altrntv;I12.42 NA NA -4.7
Destra Multi-Altrntv;T11.82 NA NA -5.4
Variant Altrntv Inc:Inst26.63 NA NA 6.2
Variant Altrntv Inc:Inv26.63 NA NA 5.9
Convertible Sec's. Funds
Calmos Dyn Conv and IncCCD29.65 27.80 -6.2 58.5
World Equity Funds
ACAP Strategic:A 26.14 NA NA 49.3
ACAP Strategic:W 19.26 NA NA 50.4
BMO LGM Front ME;I 6.38 NA NA -21.9
CalamosGlbTotRetCGO14.25 14.49 +1.7 32.6
Primark Priv Eq Inv:III NA NA NA NS
VirtusTotalRetFdZTR9.38 8.64 -7.9 2.7Loan Participation Funds
1WS Credit Income NA NA NA 6.0
AlphCntrc Prime Merid In 9.96 NA NA NS
Angel Oak Str Crdt:Inst NA NA NA 7.9
Axonic Alternative Inc NA NA NA 3.5
Blackstone/GSO FR EI D23.56 NA NA 5.7
Blackstone/GSO FR EI I23.52 NA NA 5.9Prem12 Mo
Fund (SYM) NAV Close /Disc YldA Week in the Life of the DJIA
A look at how the Dow Jones Industrial Average component stocks
did in the past week and how much each moved the index. The DJIA
gained 307.89 points, or 1.03%, on the week. A $1 change in the price
of any DJIA stock = 6.58-point change in the average. To date, a
$1,000 investment on Dec. 31 in each current DJIA stock component
would have returned $32,712, or a gain of 9.04%, on the $30,000
investment, including reinvested dividends.
The Week’s Action
Pct Stock pricePoint chg $1,000 Invested(year-end '19)
chg (%)change in average* Company Symbol Close $1,000
11.31 4.41 29.02 Walgreens WBA$43.41 $769
9.56 4.54 29.84 Intel INTC 51.99 890
7.49 16.21 106.65 Boeing BA 232.71 719
4.85 5.66 37.24 Apple AAPL122.25 1,680
4.76 7.01 46.12 Walt Disney DIS 154.14 1,066
4.35 6.27 41.25 Johnson & Johnson JNJ 150.27 1,058
4.07 7.13 46.91 Caterpillar CAT 182.21 1,271
3.93 1.68 11.05 Cisco CSCO 44.38 957
3.69 4.45 29.28 American Express AXP 125.04 1,022
3.54 11.95 78.63 UnitedHealth GroupUNH 349.89 1,209
2.60 2.08 13.69 Merck MRK 81.94 922
2.29 2.85 18.75 IBM IBM 127.20 998
2.19 2.94 19.34 Nike NKE 137.19 1,367
2.18 1.15 7.57 Coca-Cola KO 53.85 1,006
2.16 1.97 12.96 Chevron CVX 93.28 818
1.96 4.40 28.95 Amgen AMGN229.21 977
1.78 4.18 27.50 Goldman Sachs GS 239.58 1,067
1.60 0.97 6.38 Verizon VZ 61.55 1,046
1.56 3.27 21.51 Honeywell HON 212.68 1,230
1.28 1.72 11.32 Travelers TRV 136.16 1,016
0.92 1.12 7.37 JPMorgan Chase JPM 122.34 910
0.80 1.68 11.05 Visa V 212.68 1,139
–0.40 –0.87 –5.72 Microsoft MSFT214.36 1,374
–0.63 –0.35 –2.30 Dow DOW 55.05 1,071
–0.82 –1.14 –7.50 Procter & Gamble PG 137.47 1,128
–1.77 –2.69 –17.70 Walmart WMT148.91 1,269
–2.50 –4.43 –29.15 3M MMM172.46 1,014
–3.48 –7.59 –49.94 McDonald’s MCD210.74 1,093
–4.35 –12.00 –78.95 Home Depot HD 263.99 1,238
–8.79 –21.77 –143.24 salesforce.com CRM225.86 1,389
*Based on Composite price. DJIA is calculated on primary-market price.
Source: Dow Jones Market Data; FactSet.CLOSED-END FUNDS
InvPAValMuIncTrVPV14.23 12.65 -11.1 4.7
InvTrInvGrNYMuVTN14.34 12.63 -11.9 4.3
Nuveen CA AMT-F Qual MINKX NA 15.58 NA 4.0
Nuveen CA ValNCA NA 10.47 NA 3.0
NuveenCAQtyMuIncNAC NA 15.05 NA 4.1
Nuveen MD Qual Muni IncNMY NA 13.86 NA 4.1
Nuveen MI Qual Muni IncNUM NA 14.70 NA 3.8
NuvNJ Qual Muni IncNXJ NA 14.27 NA 4.5
Nuveen NY AMT/Fr Qual MINRK NA 13.31 NA 4.2
Nuveen NY Qual Muni IncNAN NA 13.99 NA 4.3
Nuveen OH Qual Muni IncNUO NA 15.86 NA 3.4
Nuveen PA Qual Muni IncNQP NA 14.18 NA 4.5
Nuveen VA Qlty Mun IncNPV NA 15.66 NA 3.5
PIMCO CAPCQ NA 18.07 NA 4.5
PIMCOCAMuniIIPCK NA 9.13 NA 4.2
Pimco CA Muni IIIPZC NA 10.39 NA 4.4Prem12 Mo
Fund (SYM) NAV Close /Disc Yld52 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret