B8| Monday, October 28, 2019 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 October 25, 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
Oct. 18 Principia Biopharma PRNB D. Becker DI 535 28.00 14,980 33.06 20.7
Oct. 18 S. George DI 357 28.00 10,000
Oct. 24 vTv Therapeutics VTVT R. Perelman BI 1,370 1.46 2,000 1.54 -41.9
Oct. 23 JPMorgan Chase Co JPM M. Hobson DI 16 124.65 1,994 126.03 29.1
Oct. 17-18 Assured Guaranty AGO A. Feldstein CI 23 46.68-46.84 1,094 46.64 21.8
Oct. 21-22 A. Feldstein CI 23 46.80-47.11 1,080
Oct. 21 Cardlytics CDLX C. Sosin BI 28 37.87 1,065 38.10 251.8
Oct. 18 C. Sosin BI 16 37.62 606
Oct. 17-21 NGM Biopharmaceuticals NGM D. Goeddel DOI 85 10.62-11.94 983 13.25
Oct. 17-21 P. Svennilson DOI 85 10.62-11.94 983
Oct. 22 Thor Industries THO R. Martin CEO 10 58.82 588 67.10 29.0
Oct. 16 HBT Financial HBT G. Pfeiffer D 30 16.00 480 16.11
Oct. 16 J. Carter P 20 16.00 320
Oct. 16 P. Busch OD 10 16.00 160
Oct. 16 M. Doherty CFO 10 16.00 160
Oct. 17 Mosaic Acquisition MOSC D. Maura CEO 25 10.29 257 10.26 4.5
Oct. 18 D. Maura CEO 16 10.30 167
Oct. 18 United Natural Foods UNFI J. Muehlbauer D 30 6.91 207 7.49 -29.3
Sellers
Oct. 17-18 Paychex PAYX M. Mucci CEO 315 84.43-84.86 26,609 84.53 29.7
Oct. 17 Facebook FB M. Zuckerberg CEOI 126 189.50-190.36 23,862 187.89 43.3
Oct. 21 M. Zuckerberg CEOI 126 187.41-189.42 23,707
Oct. 23 M. Zuckerberg CEOI 126 182.10-186.28 23,209
Oct. 18 M. Zuckerberg CEOI 118 184.52-191.20 22,142
Oct. 22 M. Zuckerberg CEOI 115 182.25-190.52 21,379
Oct. 22 Vertex Pharmaceuticals VRTX J. Leiden CEO 108 190.00 20,488 194.49 17.4
Oct. 18-21 Garmin GRMN M. Kao HI 172 87.21-87.31 15,024 87.23 37.8
Oct. 17 M. Kao HI 85 87.32 7,442
Oct. 21 Netflix NFLX R. Hastings CEO 40 269.69-279.59 11,042 276.82 3.4
Oct. 17 Coupa Software COUP R. Bernshteyn CEO 63 135.39-140.97 8,654 133.90 113.0
Oct. 22 KeyCorp KEY B. Mooney CEO 438 18.28 8,002 18.20 23.1
Oct. 17 Five Below FIVE T. Vellios D 60 133.31 7,998 129.47 26.5
Oct. 22 PPL PPL W. Spence CEO 215 33.00 7,096 33.22 17.3
Oct. 21 Hewlett Packard Enterprise HPE J. Schultz O 433 16.04 6,944 16.16 22.3
Oct. 16 UnitedHealth Group UNH R. Burke D 25 236.56 5,914 244.91 -1.7
Oct. 22 Alnylam Pharmaceuticals ALNY B. Greene P 59 89.99 5,302 89.25 22.4
Oct. 23 Procter Gamble PG S. Bishop O 41 123.00-123.50 5,078 123.25 34.1
- 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 33,820 3,806,456 Finance 3,761,398 22,360,145
Business services 10,837 32,450,648 Health care 0 41,375,962
Capital goods 00 Industrial 29,438 2,643,836
Consumer durables 588,200 4,623,703 Media 0 26,831
Consumer nondurables 372,487 28,286,059 Technology 925 12,069,307
Consumer services 35,535 24,442,249 Transportation 0 3,613,813
Energy 52,700 1,172,723 Utilities 0 7,685,223
Sources: Thomson Financial; WSJ Market Data GroupFriday
Energy
Coal,C.Aplc.,12500Btu,1.2SO2-r,w 65.400
Coal,PwdrRvrBsn,8800Btu,0.8SO2-r,w 12.150
Metals
Gold, per troy oz
Engelhard industrial 1515.50
Engelhard fabricated 1629.16
Handy & Harman base 1513.45
Handy & Harman fabricated 1679.93
LBMA Gold Price AM *1488.85
LBMA Gold Price PM *1496.55
Krugerrand,wholesale-e 1563.12
Maple Leaf-e 1578.15
American Eagle-e 1578.15
Mexican peso-e 1820.17
Austria crown-e 1476.24
Austria phil-e 1578.15
Silver, troy oz.
Engelhard industrial 18.2800
Engelhard fabricated 21.9360
Handy & Harman base 18.0010
Handy & Harman fabricated 22.5010
LBMA spot price *£13.6000
(U.S.$ equivalent) *17.5300
Coins,wholesale $1,000 face-a 13278
Other metals
LBMA Platinum Price PM *927.0
Platinum,Engelhard industrial 934.0
Platinum,Engelhard fabricated 1034.0Friday
Palladium,Engelhard industrial 1784.0
Palladium,Engelhard fabricated 1884.0
Aluminum, LME, $ per metric ton *1715.0
Copper,Comex spot 2.6665
Iron Ore, 62% Fe CFR China-s 87.7
Shredded Scrap, US Midwest-s,m 212
Steel, HRC USA, FOB Midwest Mill-s 471Fibers and Textiles
Burlap,10-oz,40-inch NY yd-n,w 0.4950
Cotton,1 1/16 std lw-mdMphs-u 0.6440
Cotlook 'A' Index-t *75.50
Hides,hvy native steers piece fob-u n.a.
Wool,64s,staple,Terr del-u,w n.a.
Grains and Feeds
Barley,top-quality Mnpls-u n.a.
Bran,wheat middlings, KC-u 90
Corn,No. 2 yellow,Cent IL-bp,u 3.7800
Corn gluten feed,Midwest-u,w 101.6
Corn gluten meal,Midwest-u,w 379.9
Cottonseed meal-u,w n.a.
Hominy feed,Cent IL-u,w 115
Meat-bonemeal,50% pro Mnpls-u,w 208
Oats,No.2 milling,Mnpls-u 3.1900
Rice, Long Grain Milled, No. 2 AR-u,w 25.25
Sorghum,(Milo) No.2 Gulf-u 7.4425
SoybeanMeal,Cent IL,rail,ton48%-u 304.30
Soybeans,No.1 yllw IL-bp,u 8.8800
Wheat,Spring14%-pro Mnpls-u 6.8175Friday
Wheat,No.2 soft red,St.Louis-bp,u 5.1300
Wheat - Hard - KC (USDA) $ per bu-u 4.2275
Wheat,No.1soft white,Portld,OR-u 6.0300
Food
Beef,carcass equiv. index
choice 1-3,600-900 lbs.-u 190.96
select 1-3,600-900 lbs.-u 165.18
Broilers, National comp wtd. avg.-u,w 0.7831
Butter,AA Chicago 2.0600
Cheddar cheese,bbl,Chicago 225.00
Cheddar cheese,blk,Chicago 212.25
Milk,Nonfat dry,Chicago lb. 115.25
Coffee,Brazilian,Comp 0.9742
Coffee,Colombian, NY 1.3142
Eggs,large white,Chicago-u 0.5950
Flour,hard winter KC 13.75
Hams,17-20 lbs,Mid-US fob-u 0.63
Hogs,Iowa-So. Minnesota-u 63.28
Pork bellies,12-14 lb MidUS-u n.a.
Pork loins,13-19 lb MidUS-u 0.9160
Steers,Tex.-Okla. Choice-u 109.98
Steers,feeder,Okla. City-u,w 153.00
Fats and Oils
Corn oil,crude wet/dry mill wtd. avg.-u,w28.3000
Grease,choice white,Chicago-h 0.2300
Lard,Chicago-u n.a.
Soybean oil,crude;Centl IL-u 0.3089
Tallow,bleach;Chicago-h 0.2450
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 10/24
Source: WSJ Market Data GroupCash Prices Friday, October 25, 2019
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 October 25, 2019
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
Sept. index Chg From (%)
level Aug. '19 Sept. '18
U.S. consumer price index
All items 256.759 0.08 1.7
Core 264.522 0.13 2.4
International rates
Week 52-Week
Latest ago High Low
Prime rates
U.S. 5.00 5.00 5.50 5.00
Canada 3.95 3.95 3.95 3.70
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 0.75 0.75 1.50 0.75
Overnight repurchase
U.S. 1.85 1.91 3.40 1.85
U.S. government rates
Discount
2.50 2.50 3.00 2.50
Federal funds
Effective rate1.82001.8400 2.4800 1.8100
High 1.90001.9200 3.0000 1.8500Week —52-WEEK—
Latest ago High Low
Low 1.70001.7500 2.4400 1.5000
Bid 1.78001.7500 2.4400 1.7200
Offer 1.80001.8000 2.5000 1.7800
Treasury bill auction
4 weeks 1.7101.720 2.470 1.710
13 weeks 1.6301.640 2.465 1.630
26 weeks 1.6001.620 2.505 1.600
Secondary market
Fannie Mae
30-year mortgage yields
30 days 3.3313.331 4.607 2.871
60 days 3.3443.342 4.632 2.890
Other short-term rates
Week 52-Week
Latest ago high low
Call money
3.75 3.75 4.25 3.75
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 September 19, 2019.Other prime ratesaren’t directly comparable; lending practices
vary widely by location;Discount rateis effective September 19, 2019.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 1.83 1.92 2.80 1.81Libor
One month 1.80488 1.85025 2.52238 1.80425
Three month 1.92813 1.95325 2.82375 1.92813
Six month 1.93325 1.95175 2.90788 1.91400
One year 1.95575 1.98725 3.14413 1.85313Euro Libor
One month -0.497 -0.499 -0.403 -0.522
Three month-0.431 -0.435 -0.324 -0.482
Six month -0.405 -0.411 -0.288 -0.474
One year -0.303 -0.316 -0.159 -0.428
Value 52-Week
Latest Traded High Low
DTCC GCF Repo Index
Treasury 1.880 51.320 6.007 1.869
MBS 1.897 80.060 6.699 1.871Week —52-WEEK—
Latest ago High LowGeneral Equity Funds
Adams Diversified EquityADX18.17 16.04 -11.7 22.6
Boulder Growth & IncomeBIF13.35 11.18 -16.3 13.1
Central SecsCET 37.81 32.21 -14.8 28.1
CohenStrsCEOppFdFOF13.20 13.18 -0.2 24.8
EVTxAdvDivIncmEVT24.37 24.54 +0.7 21.2
GabelliDiv&IncTrGDV23.24 20.68 -11.0 7.2
Gabelli Equity TrGAB 5.68 6.00 +5.6 16.3
GeneralAmerGAM 42.95 37.09 -13.6 19.2
JHancockTaxAdvDivHTD26.99 27.18 +0.7 32.9
Librty AllStr EqUSA 6.58 6.48 -1.5 22.5
Royce Micro-Cap TrRMT9.08 8.10 -10.8 1.2
Royce Value TrustRVT15.70 13.92 -11.3 7.1
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, October 25, 2019
52 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
Source CapitalSOR 42.79 37.09 -13.3 4.6
Tri-ContinentalTY 30.34 27.41 -9.7 16.0
Specialized Equity Funds
Aberdeen Glb Prem PropAWP7.21 6.39 -11.4 29.4
Adams Natural ResourcesPEO18.85 16.20 -14.1 -2.0
GI NFJ DivInt&PremStrNFJ13.87 12.35 -11.0 12.2
BR Enh C&ICII 17.21 16.37 -4.9 13.3
BlackRock Energy & ResBGR12.17 11.33 -6.9 -1.8
BlackRock Eq Enh DivBDJ9.75 9.22 -5.4 17.7
BlackRock Enh Glbl DivBOE11.75 10.43 -11.2 12.0
BlackRock Enh Intl DivBGY6.14 5.43 -11.6 11.9
BlackRock Hlth SciencesBME37.85 38.66 +2.1 10.5
BlackRock Res & CommBCX8.66 7.56 -12.7 4.5
BlackRock Sci&Tech TrustBST31.69 32.07 +1.2 21.7
BlackRock Utl Inf & PwrBUI21.28 22.63 +6.3 27.9
CBRE ClrnGlbRlEstIGR8.94 7.91 -11.5 28.0
CLEARBRIDGE ENGY MDS OPPEMO NA 8.26 NA -10.2
CLEARBRIDGE MLP&MDSTM TRCTR NA 8.40 NA -7.2
ClearBridge MLP & MidstmCEM NA 10.76 NA -8.2
ChnStrInfrUTF 27.21 26.79 -1.5 36.3
COHEN & STEERS MLP INC&EMIE8.04 7.90 -1.7 -5.4
Cohen&SteersQualIncRQI15.23 15.37 +0.9 46.4
CohenStrsREITPrefRNP24.98 24.43 -2.2 46.3
Cohen&Steers TotRetRFI14.46 15.08 +4.3 41.3
Columbia Sel Prm Tech GrSTK21.64 22.05 +1.9 31.8
DNP Select IncomeDNP10.56 12.90 +22.1 27.7
Duff&Ph Glbl Util Inc FdDPG16.62 15.58 -6.3 29.952 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
Blackstone/GSO Sr Flt RtBSL16.18 16.12 -0.4 8.9
Eagle Point CreditECC NA 15.54 NA 15.2
EtnVncFltRteIncEFT14.89 13.27 -10.9 6.8
EV SenFlRtTrEFR 14.55 12.98 -10.8 7.4
EVSnrIncmEVF 6.92 6.25 -9.7 6.4
FT/Sr Fltg Rte Inc 2FCT13.57 12.07 -11.1 6.3
FT/Sr Fltg Rte 2022 TgTrFIV9.46 8.93 -5.6 4.9
Highland IncomeHFRO13.72 11.96 -12.8 6.9
InvDYCrOppVTA 12.29 11.08 -9.8 8.3
InvSnrIncTrVVR 4.64 4.18 -9.9 6.6
Nuveen Credit Strat IncJQC8.20 7.39 -9.9 13.9
NuvFloatRateIncFdJFR10.79 9.54 -11.6 7.5
NuvFloatRteIncOpptyJRO10.70 9.55 -10.7 7.7
Nuveen Senior IncomeNSL6.45 5.73 -11.2 7.6
PionrFltRate TrPHD 11.85 10.46 -11.7 6.9
High Yield Bond Funds
AllianceBernGlHiIncmAWF13.18 12.02 -8.8 6.8
Barings Glb SD HY BdBGH17.60 17.39 -1.2 10.2
BR Corporate HYHYT11.81 10.84 -8.2 8.0
BlackRock Ltd Dur IncBLW16.96 15.79 -6.9 6.1
BNY Mellon Hi Yield StrDHF3.32 3.08 -7.4 8.8
Brookfield Real Asst IncRA23.38 22.91 -2.0 10.5
CrSuisHighYldDHY 2.54 2.53 -0.4 9.0
DoubleLine Inc SolDSL19.14 19.97 +4.3 9.0
First Tr Hi Inc Lng/ShrtFSD17.03 15.36 -9.8 8.3
IVY HIGH INCOME OPPIVH14.92 13.55 -9.2 8.7
NeubHgYldStrtNHS 12.73 11.95 -6.1 7.5
NexPointStratOpptyNHF21.09 16.75 -20.6 13.3
Nuveen Crdt Opps 2022 TTJCO9.54 9.88 +3.6 5.7
Nuveen Global High IncJGH17.67 15.68 -11.3 7.9
Nuveen HI Dec 2019 TgtJHD9.90 9.87 -0.3 4.0
Nuveen HI Nov 2021 TgtJHB9.92 9.93 +0.1 5.2
PGIM Global High YieldGHY NA 14.44 NA 7.7
PGIM High Yield BondISD NA 14.91 NA 7.5
PioneerHilncmTrPHT10.00 9.42 -5.8 8.6
Wells Fargo Income OpptyEAD NA 8.18 NA 8.6
WstAstHIF IIHIX 7.31 6.78 -7.3 8.1
Western Asset Hi Inc OppHIO5.51 5.08 -7.8 6.6
Western Asset Hi Yld D OHYI16.28 15.37 -5.6 7.0
Other Domestic Taxable Bond Funds
Ares Dynamic Crdt AllocARDC16.48 14.65 -11.1 8.6
Barings Corporate InvMCI NA 16.79 NA 7.1
BlackRock Mlt-Sctr IncBIT18.28 17.17 -6.1 8.1
BlackRock Tax Muni BdBBN24.53 23.73 -3.3 5.6
DoubleLine:Oppor Crdt FdDBL20.63 20.60 -0.1 6.9
Duff&Ph Util CorDUC9.53 9.16 -3.9 4.5
EVLmtDurIncmEVV14.36 12.72 -11.4 6.5
Franklin Ltd Dur IncomeFTF NA 9.33 NA 10.6
KKR Income OpportunitiesKIO15.60 15.32 -1.8 9.6
MFS CharterMCR 8.99 8.29 -7.8 8.3
Nuveen Taxable Muni IncNBB22.08 21.52 -2.5 5.5
PIMCO Corp & Inc OpptyPTY14.19 18.48 +30.2 8.9
PIMCO Corp & Inc StratPCN14.53 18.88 +29.9 7.7
PIMCOHilncoPHK 6.14 7.71 +25.6 11.0
PIMCO IncmStrFdPFL10.62 11.68 +10.0 9.4
PIMCO IncmStrFd IIPFN9.57 10.55 +10.2 9.97
Putnam Mas IntPIM 4.82 4.71 -2.3 7.4
Putnam Prem IncPPT5.38 5.33 -0.9 7.6
Wells Fargo Multi-SectorERC NA 12.49 NA 9.9
World Income Funds
Abrdn AP IncFdFAX 4.86 4.23 -13.0 4.3
BrndywnGLB Glb Inc OpptsBWG14.34 12.41 -13.5 6.3
EtnVncStDivIncEVG14.53 13.23 -8.9 6.3
MS EmMktDomDebtEDD7.66 6.91 -9.8 8.9
PIMCO Dyn Crd & Mrt IncPCI NA 25.19 NA 9.5
PIMCO Dynamic IncomePDI27.21 32.99 +21.2 9.6
PIMCO Income OpportunityPKO24.04 27.04 +12.5 9.95
PIMCO Stratg IncRCS NA 9.18 NA 8.6
Templeton Em IncTEI9.92 9.02 -9.1 8.2
Templtn Glbl IncGIM 6.76 6.04 -10.7 6.3
WstAstEmergDebtEMD NA 13.79 NA 8.6
Western Asset Gl Cr D OpGDO18.38 17.40 -5.3 6.9
National Muni Bond Funds
AllBerNatlMunIncAFB15.18 13.41 -11.7 3.9
BlckRk Inv Q MunBKN16.30 15.24 -6.5 4.4
BlackRock Muni 2030 TgtBTT25.79 23.79 -7.8 3.1
BlackRock MuniBFK 14.42 13.83 -4.1 4.8
BlackRock Muni IIBLE14.88 14.74 -0.9 4.6
BlckRk Muni Inc QlyBYM15.40 13.86 -10.0 4.4
BR MuniAssets FdMUA14.35 15.48 +7.9 4.2
BR MuniEnhancedMEN12.07 10.95 -9.3 4.7
BR MuniHoldings QlyMFL14.63 13.27 -9.3 4.6
BR MH Qly 2MUE 13.92 12.52 -10.1 4.5
BR MuniVest FdMVF9.64 9.01 -6.5 4.9
BR MuniVest 2MVT 15.16 14.38 -5.1 4.9
BR MuniYield FdMYD14.84 14.48 -2.4 4.7
BR MuniYield QltyMQY16.09 14.71 -8.6 4.4
BR MuniYld Qlty2MQT14.13 12.72 -10.0 4.3
BR MuniYld Qly 3MYI14.85 13.39 -9.8 4.3
BNY Mellon Muni Bd InfraDMB14.42 14.07 -2.4 4.4
BNY Mellon Str Muni BondDSM8.28 8.40 +1.4 4.9
BNY Mellon Strat MuniLEO8.62 8.40 -2.6 4.9
DWS Muni IncKTF 12.56 11.37 -9.5 4.8
EVMuniBdEIM 13.87 12.68 -8.6 3.9
EVMuniIncmEVN 13.75 12.51 -9.0 4.4
EVNatMuniOppEOT21.49 23.08 +7.4 4.3
InvAdvMuIncTrIIVKI11.98 10.99 -8.3 5.052 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
EtnVncEqtyIncEOI 15.16 15.27 +0.7 20.1
EtnVncEqtyIncoIIEOS16.60 16.87 +1.6 16.0
EVRskMnDvsEqIncETJ9.12 9.30 +2.0 12.5
ETnVncTxMgdBuyWrtIncETB15.01 16.03 +6.8 16.2
EtnVncTxMgdBuyWrtOppETV14.29 14.89 +4.2 12.1
EvTxMnDvsEqIncETY11.86 11.89 +0.3 14.4
EtnVncTxMgdGlbBETW10.24 9.85 -3.8 2.0
EVTxMnGblDvEqIncEXG8.66 8.30 -4.2 8.3
First Trust Energy Inc GFEN20.37 21.39 +5.0 19.8
First Tr Enhanced EqFFA16.05 16.04 -0.1 19.8
FirstTrEnergyInfraFIF17.44 16.09 -7.7 20.2
FirstTrMLPEner&IncFEI NA 11.14 NA 8.8
Gabelli HealthcareGRX11.94 10.33 -13.5 10.3
Gab UtilityGUT 5.01 7.52 +50.1 43.6
GAMCOGlGold&NatResGGN4.20 4.18 -0.5 17.8
J Han Finl OpptysBTO34.08 33.27 -2.4 8.7
Neuberger Brmn MLP & EINML7.85 6.79 -13.5 -3.9
NubrgrRlEstSecNRO 5.87 5.62 -4.3 32.8
Nuv Dow 30 Dyn OverwriteDIAX17.87 17.70 -1.0 6.0
NuvCorEqAlphaJCE 14.61 14.27 -2.3 15.1
NuveenDiversDiv&IncJDD11.67 10.91 -6.5 17.2
Nuveen Engy MLP Tot RtnJMF8.19 7.78 -5.0 -9.98
Nuveen Nasdaq 100 Dyn OvQQQX23.19 23.02 -0.7 12.2
Nuv Real EstJRS 11.56 10.73 -7.2 26.9
Nuveen Rl Asst Inc & GroJRI19.68 17.60 -10.6 26.6
NuvS&P500DynOvFdSPXX NA 15.64 NA 10.6
NuvSP500BuyIncFdBXMX13.48 13.31 -1.3 9.3
ReavesUtilityIncomeUTG36.75 37.00 +0.7 31.5
Tortoise Enrgy Infra CrpTYG19.87 18.83 -5.2 -13.2
Tortoise Midstream EnrgyNTG12.10 11.36 -6.1 -12.4
Income & Preferred Stock Funds
CalamosStratTotCSQ12.86 13.05 +1.5 21.3
CohenStrsLtdDurPref&IncLDP26.14 25.60 -2.1 20.9
CohenStrsSelPref&IncomePSF27.09 29.56 +9.1 25.2
FirstTrIntDurPref&IncFPF24.43 23.74 -2.8 26.1
JHanPrefIncHPI 21.84 22.83 +4.5 20.7
JHPrefIncIIHPF 21.48 22.39 +4.2 20.1
HnckJPfdInco IIIHPS19.10 19.17 +0.4 18.6
J Han PrmPDT 15.85 17.61 +11.1 23.7
LMP CapIncoSCD NA 14.14 NA 29.0
Nuveen Pref & Inc OppJPC10.32 10.02 -2.9 20.5
Nuveen FdJPS 10.07 9.99 -0.8 28.8
Nuveen Pref & Inc TermJPI25.29 25.27 -0.1 25.0
Nuveen TxAdvDivGrJTD17.37 16.81 -3.2 17.5
TCW Strat IncomeTSI NA 5.77 NA 14.6
Virtus Glb Div & IncZTR10.40 11.27 +8.4 31.6
Convertible Sec's. Funds
GI Conv & IncNCV 5.61 5.69 +1.4 1.9
AGI Conv & Inc IINCZ 5.03 5.03 0.0 2.5
AGI Eqty & Conv IncNIE23.47 21.84 -6.9 19.2
CalamosConvHiCHY11.12 11.17 +0.4 13.4
CalmosConvOpCHI 10.59 10.66 +0.7 17.0
World Equity Funds
Aberdeen Tot Dyn DivAOD9.56 8.38 -12.3 15.8
Calamos GloDynIncCHW7.89 8.08 +2.4 19.0
Cdn Genl InvCGI 34.55 NA NA NA
ChinaCHN 22.57 19.87 -12.0 20.4
EV TxAdvGlbDivIncETG17.43 16.52 -5.2 16.0
EtnVncTxAdvOppETO23.77 25.92 +9.0 31.8
FirstTr Dyn Euro Eq IncFDEU15.63 14.66 -6.2 16.6
Gabelli MultimediaGGT7.68 8.05 +4.8 12.1
GDL FundGDL 11.16 9.18 -17.7 7.5
India FundIFN 22.98 20.67 -10.1 16.1
Japan Smaller CapJOF10.46 8.89 -15.0 7.8
KoreaKF 32.29 28.02 -13.2 5.1
MexicoMXF NA 13.45 NA -4.0
MS ChinaShrFdCAF 24.12 21.47 -11.0 21.0
MS IndiaIIF 22.36 19.19 -14.2 8.6
New GermanyGF 16.38 14.38 -12.2 17.5
Swiss HelvetiaSWZ 9.30 8.19 -11.9 7.2
Templeton DragonTDF20.68 18.15 -12.2 14.7
Templeton Em MktEMF17.08 15.08 -11.7 21.0
VirtusTotalRetFdZF10.88 11.67 +7.3 45.3
Wells Fargo Gl Div OpptyEOD NA 5.50 NA 23.3U.S. Mortgage Bond Funds
BlckRk IncomeBKT 6.38 6.04 -5.3 6.3
Invesco HI 2023 Tgt TermIHIT10.52 10.52 0.0 5.7
Nuveen Mtge Oppty TermJLS23.02 22.40 -2.7 7.1
Investment Grade Bond Funds
BlRck Core BondBHK15.36 14.34 -6.6 5.2
BR Credit Alloc IncBTZ14.88 13.52 -9.1 5.9
J Han IncomeJHS 15.49 14.56 -6.0 4.5
MFS IntmdtMIN 4.02 3.76 -6.5 9.0
Western Asset Inf-Lk IncWIA NA 11.75 NA 3.5
Western Asset Inf-Lk O&IWIW NA 11.11 NA 3.9
Loan Participation Funds
Apollo Senior FloatingAFT NA 14.65 NA 8.7
BR Debt StrategyDSU12.11 10.76 -11.1 7.6
BR F/R Inc StrFRA 14.40 12.73 -11.6 6.9
BlackRock Floatng Rt IncBGT13.96 12.49 -10.5 6.5
Blackstone / GSO StratBGB15.02 14.07 -6.3 8.252 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
Wildermuth Endowment:I13.90 NA NA 8.5
Income & Preferred Stock Funds
A3 Alternative CrAAACX NA NA NA NS
Destra Multi-Altrntv;A13.68 NA NA 4.6
Destra Multi-Altrntv;C13.19 NA NA 3.9
Destra Multi-Altrntv;I13.92 NA NA 4.9
Destra Multi-Altrntv;L13.36 NA NA 4.2
Flat Rock Opportunity19.31 NA NA 10.0
Variant Altrntv Inc:Inst26.38 NA NA 11.8
Variant Altrntv Inc:Inv26.39 NA NA NS
Convertible Sec's. Funds
Calmos Dyn Conv and IncCCD19.78 20.79 +5.1 13.7
World Equity Funds
ACAP Strategic:A 17.96 NA NA 23.9
ACAP Strategic:W 13.47 NA NA 24.8
BMO LGM Front ME;I 8.29 NA NA -10.4
CalamosGlbTotRetCGO11.60 12.19 +5.1 12.2Loan Participation Funds
1WS Credit Income NA NA NA NS
Angel Oak Str Crdt:Inst24.44 NA NA 8.0
Blackstone/GSO FR EI D23.89 NA NA 6.6
Blackstone/GSO FR EI I23.90 NA NA 6.8
Blackstone/GSO FR EI T23.85 NA NA 6.3
Blackstone/GSO FR EI T-I24.36 NA NA NS
Blstn Commnty Dev 9.83 NA NA 3.5
BNYM Alcntr Glb MS Cr Fd NA NA NA NS
CLIFFWATER CL FD;I10.14 NA NA NS
CNR Strategic Credit 9.65 NA NA NS
FedProj&TrFinanceTendr10.02 NA NA 4.3
FS Global Crdt Opptys D NA NA NA 6.8
Invesco Sr Loan A 6.40 NA NA 4.8
Invesco Sr Loan C 6.42 NA NA 4.0
Invesco Sr Loan IB 6.40 NA NA 5.0
Invesco Sr Loan IC 6.40 NA NA 4.9
Invesco Sr Loan Y 6.40 NA NA 5.0
Sierra Total Return:T 23.51 NA NA 5.5
High Yield Bond Funds
Griffin Inst Access Cd:A NA NA NA 6.8
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 6.8
PIMCO Flexible Cr I;A 9.84 NA NA NS
PIMCO Flexible Cr I;Inst 9.84 NA NA 10.4
PionrILSBridge NA NA NA 0.0
WA Middle Mkt Dbt 685.46 NA NA 9.2
WA Middle Mkt Inc 715.11 NA NA 9.2
Other Domestic Taxable Bond Funds
Am Beacon Apollo TR:Y10.41 NA NA 2.4
Am Beacon SP Enh Inc:Y10.02 NA NA 5.5
BR Credit Strat;Inst 10.21 NA NA NS
BlackRock Mlt-Sctr Oppty97.68 NA NA 7.2
BlackRock Mlt-Sec Opp II101.26 NA NA NS
CION Ares Dvsfd Crdt;A25.45 NA NA 5.4
CION Ares Dvsfd Crdt;C25.45 NA NA 5.4
CION Ares Dvsfd Crdt;I25.45 NA NA 5.4
CION Ares Dvsfd Crdt;L25.45 NA NA 5.4
CION Ares Dvsfd Crdt;U NA NA NA NS
CION Ares Dvsfd Crdt;W25.47 NA NA NS
CNR Select Strategies10.82 NA NA 0.0
GL Beyond Income 1.45 NA NA NE
Lord Abbett Cred Opps Fd 9.86 NA NA NS
Lord Abbett Cred Opps Fd 9.86 NA NA NS
OFI Carlyle Pvt Cred:A NA NA NA 5.9
OFI Carlyle Pvt Cred:I NA NA NA 9.0
OFI Carlyle Pvt Cred:L NA NA NA 8.6
OFI Carlyle Pvt Cred:N NA NA NA NS
OFI Carlyle Pvt Cred:Y NA NA NA 9.0
Palmer Square Opp Inc17.77 NA NA 5.7
Resource Credit Inc:A10.78 NA NA 6.4
Resource Credit Inc:C10.90 NA NA 5.7
Resource Credit Inc:I 10.81 NA NA 6.7
Resource Credit Inc:L 10.78 NA NA 6.2
Resource Credit Inc:W10.78 NA NA 6.4
Thrivent Church Ln&Inc:S10.57 NA NA NS
World Income Funds
Destra Int&Evt-Dvn Crd:A25.55 NA NA NS
Destra Int&Evt-Dvn Crd:I25.55 NA NA 4.6
Destra Int&Evt-Dvn Crd:L25.54 NA NA NS
Destra Int&Evt-Dvn Crd:T25.53 NA NA NS
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 9.98 NA NA 4.3Prem12 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 187.87 points, or 0.70%, on the week. A $1 change in the price
of any DJIA stock = 6.78-point change in the average. To date, a
$1,000 investment on Dec. 31 in each current DJIA stock component
would have returned $35,298, or a gain of 17.66%, on the $30,000
investment, including reinvested dividends.
The Week’s Action
Pct Stock pricePoint chg $1,000 Invested(year-end '18)
chg (%)change in average* Company Symbol Close $1,000
9.93 5.10 34.59 Intel INTC$56.46 $1,226
6.90 9.02 61.18 Caterpillar CAT 139.73 1,130
5.25 2.52 17.09 Dow DOW 50.48 1,042
4.92 5.78 39.20 Procter & Gamble PG 123.25 1,379
4.54 5.47 37.10 JPMorgan Chase JPM 126.03 1,331
4.50 6.16 41.78 United TechnologiesUTX 142.96 1,366
4.30 10.17 68.97 Apple AAPL246.58 1,582
3.73 7.71 52.29 Goldman Sachs GS 214.23 1,301
3.43 3.93 26.65 Chevron CVX 118.67 1,124
2.43 1.64 11.12 Exxon Mobil XOM 69.25 1,051
2.42 3.32 22.52 Microsoft MSFT140.73 1,401
1.83 2.99 20.28 3M MMM166.09 894
1.28 1.50 10.17 American Express AXP 118.26 1,259
1.22 2.14 14.51 Visa V 177.85 1,354
1.01 1.35 9.16 IBM IBM 135.44 1,234
0.85 0.31 2.10 Pfizer PFE 36.77 865
0.51 0.65 4.41 Johnson & Johnson JNJ 128.35 1,015
0.41 0.19 1.29 Cisco Systems CSCO 46.90 1,113
0.22 0.12 0.81 Walgreens WBA 55.42 830
0.01 0.01 0.07 Walt Disney DIS 130.90 1,201–0.08 –0.10 –0.68 WalMart WMT119.04 1,298
–0.18 –0.43 –2.92 UnitedHealth GroupUNH 244.91 996
–1.11 –0.68 –4.61 Verizon VZ 60.37 1,120
–1.21 –4.17 –28.28 Boeing BA 339.83 1,072
–1.49 –3.55 –24.08 Home Depot HD 234.38 1,392
–1.88 –1.03 –6.99 Coca-Cola KO 53.75 1,163
–2.86 –2.42 –16.41 Merck MRK 82.26 1,098
–5.39 –5.18 –35.13 Nike NKE 90.92 1,236
–6.66 –13.89 –94.20 McDonald’s MCD194.61 1,115
–7.73 –10.93 –74.13 Travelers TRV 130.43 1,108
*Based on Composite price. DJIA is calculated on primary-market price.
Source: Dow Jones Market Data; FactSet.CLOSED-END FUNDS
Invesco MuniOpOIA 7.66 7.70 +0.5 4.9
InvescoMuOppTrVMO13.39 12.26 -8.4 5.0
InvescoMuTrVKQ 13.40 12.30 -8.2 4.9
InvescoQual IncIQI 13.53 12.38 -8.5 4.9
InvTrInvGrMuVGM 13.81 12.63 -8.5 4.8
InvescoValMunIncIIM16.40 15.38 -6.2 4.6
MAINSTAY:MK DEFTR MUN OPMMD20.45 20.55 +0.5 4.8
Nuveen AMT-Fr Mu ValNUW16.86 16.79 -0.4 4.0
Nuveen AMT-Fr Qlty Mun INEA15.52 14.09 -9.2 4.4
Nuveen AMT-Fr Mu CINVG17.10 16.41 -4.0 4.7
Nuv Enh Muni Cr IncNZF NA 15.76 NA 4.8
Nuveen Enh Muni ValNEV15.18 14.26 -6.1 4.7
Nuveen Int Dur Mun TermNID14.29 13.72 -4.0 3.7
NuvMuniHiIncOppNMZ NA 14.16 NA 4.8
Nuveen Muni ValNUV10.54 10.44 -0.9 3.5
Nuveen Quality Muni IncNAD15.85 14.32 -9.7 4.4
Nuveen Sel TF 2NXQ15.30 14.54 -5.0 3.3
PIMCO MuniIncPMF13.34 14.76 +10.6 4.7
PIMCOMuniIncIIPML12.50 15.52 +24.2 4.9
Pimco Muni IIIPMX 11.32 12.33 +8.9 5.0
PioneerHilncAdvMAV11.94 10.70 -10.4 4.8
PioneerMunHiIcmTMHI12.91 12.00 -7.0 4.9
Putnam Mgd IncPMM8.13 7.86 -3.3 4.8
Putnam Muni OppPMO13.59 12.97 -4.6 4.3
Western Asset Mgd MuniMMU13.79 13.54 -1.8 5.0
Westn Asst Mu Def Opp TrMTT NA 22.13 NA 4.0
Single State Muni Bond
BlackRock CA MunBFZ15.29 13.44 -12.1 3.9
BR MH CA Qly Fd IncMUC15.64 13.99 -10.5 3.9
BR MH NJ QlyMUJ 15.87 14.04 -11.5 4.4
BR MH NY QlyMHN 14.97 13.34 -10.9 3.9
BR MuniYld CAMYC15.62 14.05 -10.1 4.0
BR MuniYld CA QlyMCA15.82 14.14 -10.6 4.2
BR MuniYld MI QlyMIY15.69 13.94 -11.2 4.3
BR MuniYld NY QlyMYN14.34 12.79 -10.8 3.9
EVCAMuniBdEVM 12.52 11.31 -9.7 4.1
InvCaValMuIncTrVCV13.33 12.30 -7.7 4.6
InvPAValMuIncTrVPV14.00 13.01 -7.1 5.1
InvTrInvGrNYMuVTN14.44 13.40 -7.2 4.6
Nuveen CA AMT-F Qual MINKX16.32 15.09 -7.6 4.0
Nuveen CA ValNCA 10.66 10.46 -1.9 3.2
NuveenCAQtyMuIncNAC15.96 14.66 -8.1 4.4
Nuveen MD Qual Muni IncNMY15.06 13.29 -11.8 3.9
Nuveen MI Qual Muni IncNUM15.75 13.85 -12.1 3.8
NuvNJ Qual Muni IncNXJ16.40 14.38 -12.3 4.5
Nuveen NY AMT/Fr Qual MINRK14.78 13.30 -10.0 4.0
Nuveen NY Qual Muni IncNAN15.38 13.98 -9.1 4.0
Nuveen OH Qual Muni IncNUO17.13 15.61 -8.9 3.3
Nuveen PA Qual Muni IncNQP15.71 14.07 -10.4 4.2
Nuveen VA Qlty Mun IncNPV14.92 13.89 -6.9 3.7
PIMCO CAPCQ 14.20 19.73 +38.9 4.7
PIMCOCAMuniIIPCK 9.11 9.87 +8.3 4.3Prem12 Mo
Fund (SYM) NAV Close /Disc YldSpecialized Equity Funds
Bluerock Total Inc+ RE:A30.41 NA NA 6.9
Bluerock Total Inc+ RE:C29.19 NA NA 6.2
Bluerock Total Inc+ RE:I30.90 NA NA 7.2
Bluerock Total Inc+ RE:L30.23 NA NA 6.7
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 15.99 NA NA -6.7
NexPointHCOpp;C 15.82 NA NA -7.4
NexPointRlEstStrat;A21.25 NA NA 10.9
NexPointRlEstStrat;C21.37 NA NA 10.1
NexPointRlEstStrat;Z21.37 NA NA 11.2
PREDEX;I 26.21 NA NA 4.2
PREDEX;T 26.25 NA NA 4.1
PREDEX;W 26.25 NA NA 4.1
Principal Dvs Sel RA A25.48 NA NA NS
Principal Dvs Sel RA Ins25.50 NA NA NS
Principal Dvs Sel RA Y25.52 NA NA NS
Resource RE Div Inc:A10.69 NA NA 9.7
Resource RE Div Inc:C10.68 NA NA 8.9
Resource RE Div Inc:D10.85 NA NA 9.1
Resource RE Div Inc:I 11.14 NA NA 9.96
Resource RE Div Inc:L10.68 NA NA 9.3
Resource RE Div Inc:T10.66 NA NA 8.8
Resource RE Div Inc:U10.69 NA NA 9.6
Resource RE Div Inc:W10.85 NA NA 9.6
SharesPost 100;A 29.17 NA NA 3.2
SharesPost 100:I 29.30 NA NA 3.5
SharesPost 100:L 29.04 NA NA 2.9
USQ Core Real Estate:I25.71 NA NA 4.4
USQ Core Real Estate:IS25.71 NA NA 4.4
Versus Cap MMgr RE Inc:I28.20 NA NA NE
Versus Capital Real Asst25.78 NA NA 7.1
Wildermuth Endwmnt:A13.75 NA NA 8.1
Wildermuth Endwmnt:C13.36 NA NA 7.352 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret