B8| Monday, October 21, 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 18, and year-to-date stock performance of the company
KEY: B: beneficial owner of more than 10% of a security class CB: chairman CEO: chief executive officer CFO: chief financial officer
CO: chief operating officer D: director DO: director and beneficial owner GC: general counsel H: officer, director and beneficial owner
I: indirect transaction filed through a trust, insider spouse, minor child or other O: officer OD: officer and director P: president UT:
unknown VP: 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. 10 Stitch Fix SFIX J. Gurley DO 150 20.82-20.90 3,124 23.22 35.9
Oct. 11-14 Cardlytics CDLX C. Sosin BI 68 36.78-36.79 2,511 38.12 252.0
Oct. 10 C. Sosin BI 15 34.67 515
Oct. 15-16 C. Sosin BI 9 37.48-37.63 357
Oct. 10-14 Assured Guaranty AGO A. Feldstein CI 35 45.27-45.88 1,589 46.83 22.3
Oct. 15-16 A. Feldstein CI 23 46.21-46.32 1,083
Oct. 14-16 NGM Biopharmaceuticals NGM D. Goeddel DOI 103 10.26-10.36 1,062 11.17 ...
Oct. 14-16 P. Svennilson DOI 103 10.26-10.36 1,062
Oct. 9-11 D. Goeddel BI 53 10.26-10.57 555
Oct. 9-11 P. Svennilson BI 53 10.26-10.57 555
Oct. 8 Viela Bio VIE X. Tong DOI 36 21.83 788 20.87 ...
Oct. 8-16 Century Bancorp CNBKA J. Filler B 2 86.89-88.31 167 87.01 28.5
Oct. 15 Keurig Dr Pepper KDP M. Denooyer O 6 27.54 165 27.59 7.6
Oct. 10 Tailored Brands TLRD C. Ask O 17 3.78 64 4.41 -67.7
Oct. 16 Athenex ATNX J. Lau CEO 6 10.16 61 10.23 -19.4
Oct. 10 Syndax Pharmaceuticals SNDX B. Morrison CEO 11 5.40 59 6.57 47.6
Oct. 14 Hersha Hospitality Trust HT J. Shah CEO 4 13.90 50 13.51 -23.0
Oct. 14 N. Shah P 4 13.90 50
Sellers
Oct. 16 Facebook FB M. Zuckerberg CEOI 126 187.66-189.50 23,700 185.85 41.8
Oct. 11 M. Zuckerberg CEOI 125 182.51-186.30 23,057
Oct. 15 M. Zuckerberg CEOI 118 183.80-190.10 22,260
Oct. 14 M. Zuckerberg CEOI 119 183.42-184.27 21,759
Oct. 10 M. Zuckerberg CEOI 119 179.83-181.50 21,385
Oct. 10 S. Sandberg COI 55 179.91-181.42 9,926
Oct. 14-16 RingCentral RNG V. Shmunis CEOI 88 165.56-176.99 15,173 161.67 96.1
Oct. 16 Foundation Building Materials FBM J. Grayken BI 713 16.28 11,598 18.27 119.9
Oct. 16 JPMorgan Chase & Co JPM G. Smith CEO 83 119.98 9,993 120.56 23.5
Oct. 17 D. Pinto PI 53 120.51 6,387
Oct. 15 Horizon Therapeutics HZNP T. Walbert CEO 320 28.02 8,970 27.40 40.2
Oct. 11 Garmin GRMN M. Kao HI 98 87.24-87.64 8,594 87.46 38.1
Oct. 9 American Tower AMT E. Disanto GC 32 226.01-226.81 7,174 229.09 44.8
Oct. 15 CDW Corp CDW T. Richards OD 56 123.65-124.20 6,926 123.91 52.9
Oct. 9-10 ACADIA Pharmaceuticals ACAD S. Davis CEO 150 40.00-40.19 6,023 39.95 147.1
Oct. 14 ServiceNow NOW F. Luddy DI 22 268.86-270.40 5,926 243.00 36.5
Oct. 10 Okta OKTA C. Race O 50 115.35-117.79 5,823 98.56 54.5
Oct. 15 B. Horowitz DI 49 115.15-116.77 5,661
- 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 0 1,261,669 Finance 2,961,848 20,815,758
Business services 9,411 24,863,603 Health care 46,950 24,068,059
Capital goods 00 Industrial 9,888 11,309,943
Consumer durables 0 799,355 Media 00
Consumer nondurables 46,600 6,968,770 Technology 0 56,989,102
Consumer services 64,260 10,347,966 Transportation 0 557,799
Energy 0 16,382 Utilities 34,038 751,310
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 1490.00
Engelhard fabricated 1601.75
Handy & Harman base 1490.00
Handy & Harman fabricated 1653.90
LBMA Gold Price AM *1484.45
LBMA Gold Price PM *1492.65
Krugerrand,wholesale-e 1550.43
Maple Leaf-e 1565.34
American Eagle-e 1565.34
Mexican peso-e 1805.46
Austria crown-e 1464.28
Austria phil-e 1565.34
Silver, troy oz.
Engelhard industrial 17.5100
Engelhard fabricated 21.0120
Handy & Harman base 17.5640
Handy & Harman fabricated 21.9550
LBMA spot price *£13.5500
(U.S.$ equivalent) *17.4500
Coins,wholesale $1,000 face-a 12974
Other metals
LBMA Platinum Price PM *886.0
Platinum,Engelhard industrial 889.0
Platinum,Engelhard fabricated 989.0Friday
Palladium,Engelhard industrial 1769.0
Palladium,Engelhard fabricated 1869.0
Aluminum, LME, $ per metric ton *1726.0
Copper,Comex spot 2.6250
Iron Ore, 62% Fe CFR China-s 85.7
Shredded Scrap, US Midwest-s,m 212
Steel, HRC USA, FOB Midwest Mill-s 482
Fibers and Textiles
Burlap,10-oz,40-inch NY yd-n,w 0.4900
Cotton,1 1/16 std lw-mdMphs-u 0.6466
Cotlook 'A' Index-t *75.00
Hides,hvy native steers piece fob-u 39.000
Wool,64s,staple,Terr del-u,w n.a.Grains and Feeds
Barley,top-quality Mnpls-u n.a.
Bran,wheat middlings, KC-u 85
Corn,No. 2 yellow,Cent IL-bp,u 3.8000
Corn gluten feed,Midwest-u,w 99.9
Corn gluten meal,Midwest-u,w 376.3
Cottonseed meal-u,w 213
Hominy feed,Cent IL-u,w 105
Meat-bonemeal,50% pro Mnpls-u,w 208
Oats,No.2 milling,Mnpls-u 2.8225
Rice, Long Grain Milled, No. 2 AR-u,w 25.25
Sorghum,(Milo) No.2 Gulf-u 7.5175
SoybeanMeal,Cent IL,rail,ton48%-u 314.50
Soybeans,No.1 yllw IL-bp,u 8.9500
Wheat,Spring14%-pro Mnpls-u 6.6450Friday
Wheat,No.2 soft red,St.Louis-bp,u 5.1700
Wheat - Hard - KC (USDA) $ per bu-u 4.3375
Wheat,No.1soft white,Portld,OR-u 6.0400
Food
Beef,carcass equiv. index
choice 1-3,600-900 lbs.-u 186.88
select 1-3,600-900 lbs.-u 161.85
Broilers, National comp wtd. avg.-u,w 0.7849
Butter,AA Chicago 2.1150
Cheddar cheese,bbl,Chicago 200.00
Cheddar cheese,blk,Chicago 196.75
Milk,Nonfat dry,Chicago lb. 117.00
Coffee,Brazilian,Comp 0.9324
Coffee,Colombian, NY 1.2748
Eggs,large white,Chicago-u 0.5850
Flour,hard winter KC 13.95
Hams,17-20 lbs,Mid-US fob-u 0.61
Hogs,Iowa-So. Minnesota-u 64.17
Pork bellies,12-14 lb MidUS-u 1.3946
Pork loins,13-19 lb MidUS-u 0.9127
Steers,Tex.-Okla. Choice-u n.a.
Steers,feeder,Okla. City-u,w 151.94
Fats and Oils
Corn oil,crude wet/dry mill wtd. avg.-u,w 28.3000
Grease,choice white,Chicago-h 0.2300
Lard,Chicago-u n.a.
Soybean oil,crude;Centl IL-u 0.3016
Tallow,bleach;Chicago-h 0.2600
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 10/17
Source: WSJ Market Data GroupCash Prices Friday, October 18, 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 18, 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 2.4International 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. 1.91 1.89 3.40 1.86U.S. government rates
Discount
2.50 2.50 3.00 2.50
Federal funds
Effective rate 1.8400 1.8200 2.4800 1.8100Week —52-WEEK—
Latest ago High Low
High 1.9200 1.8500 3.0000 1.8500
Low 1.7500 1.5000 2.4400 1.5000
Bid 1.7500 1.7800 2.4400 1.7200
Offer 1.8000 1.8000 2.5000 1.7800
Treasury bill auction
4 weeks 1.720 1.720 2.470 1.720
13 weeks 1.640 1.680 2.465 1.640
26 weeks 1.620 1.690 2.505 1.620
Secondary market
Fannie Mae
30-year mortgage yields
30 days 3.331 3.282 4.607 2.871
60 days 3.342 3.296 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 rate is 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 rates aren’t directly comparable; lending practices
vary widely by location; Discount rate is effective September 19, 2019. DTCC GCF Repo Index is
Depository Trust & Clearing Corp.'s weighted average for overnight trades in applicable CUSIPs. Value
traded is in billions of U.S. dollars. Federal-funds rates are 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 1.92 1.86 2.80 1.81Libor
One month 1.85025 1.91350 2.52238 1.84638
Three month 1.95325 2.00088 2.82375 1.95325
Six month 1.95175 1.97563 2.90788 1.93550
One year 1.98725 1.95550 3.14413 1.85313Euro Libor
One month -0.499 -0.518 -0.403 -0.522
Three month -0.435 -0.440 -0.324 -0.482
Six month -0.411 -0.416 -0.288 -0.474
One year -0.316 -0.346 -0.159 -0.428
Value 52-Week
Latest Traded High LowDTCC GCF Repo Index
Treasury 1.916 43.800 6.007 1.869
MBS 1.946 84.050 6.699 1.871Week —52-WEEK—
Latest ago High LowGeneral Equity Funds
Adams Diversified Equity ADX 17.99 15.83 -12.0 16.1
Boulder Growth & Income BIF 13.33 11.12 -16.6 6.8
Central Secs CET 37.64 31.72 -15.7 21.3
CohenStrsCEOppFd FOF 13.10 12.94 -1.2 17.3
EVTxAdvDivIncm EVT 24.12 24.35 +1.0 11.5
GabelliDiv&IncTr GDV 22.97 20.23 -11.9 -0.4
Gabelli Equity Tr GAB 5.62 5.98 +6.4 9.6
GeneralAmer GAM 42.52 36.41 -14.4 11.5
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. NA signifies that the information is not
available or not applicable. NS signifies 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 18, 2019
52 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
JHancockTaxAdvDiv HTD 26.77 26.57 -0.7 28.7
Librty AllStr Eq USA 6.51 6.40 -1.7 12.7
Royce Micro-Cap Tr RMT 8.93 7.97 -10.8 -6.1
Royce Value Trust RVT 15.47 13.71 -11.4 0.0
Source Capital SOR 42.51 36.87 -13.3 -0.2
Tri-Continental TY 30.05 27.18 -9.6 10.1
Specialized Equity Funds
Aberdeen Glb Prem Prop AWP 7.22 6.34 -12.2 25.4
Adams Natural Resources PEO 18.20 15.41 -15.3 -13.3
GI NFJ DivInt&PremStr NFJ 13.72 12.23 -10.9 6.1
BR Enh C&I CII 16.97 16.05 -5.4 5.2
BlackRock Energy & Res BGR 11.79 11.04 -6.4 -12.9
BlackRock Eq Enh Div BDJ 9.63 9.10 -5.5 7.8
BlackRock Enh Glbl Div BOE 11.72 10.34 -11.8 8.0
BlackRock Enh Intl Div BGY 6.11 5.40 -11.6 9.2
BlackRock Hlth Sciences BME 37.68 37.85 +0.5 -2.0
BlackRock Res & Comm BCX 8.49 7.41 -12.7 -5.3
BlackRock Sci&Tech Trust BST 31.14 31.93 +2.5 8.7
BlackRock Utl Inf & Pwr BUI 21.12 22.46 +6.3 22.4
CBRE ClrnGlbRlEst IGR 8.94 7.91 -11.5 23.4
CLEARBRIDGE ENGY MDS OPP EMO NA 8.27 NA -15.9
CLEARBRIDGE MLP&MDSTM TR CTR NA 8.43 NA -15.0
ClearBridge MLP & Midstm CEM NA 10.79 NA -14.952 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
Apollo Senior Floating AFT NA 14.58 NA 8.7
BR Debt Strategy DSU 12.07 10.64 -11.8 7.6
BR F/R Inc Str FRA 14.36 12.58 -12.4 6.9
BlackRock Floatng Rt Inc BGT 13.92 12.30 -11.6 6.5
Blackstone / GSO Strat BGB NA 14.17 NA 8.2
Blackstone/GSO Sr Flt Rt BSL NA 16.25 NA 8.9
Eagle Point Credit ECC NA 16.00 NA 15.2
EtnVncFltRteInc EFT 14.96 13.24 -11.5 6.8
EV SenFlRtTr EFR 14.62 12.94 -11.5 7.4
EVSnrIncm EVF 6.92 6.16 -11.0 6.4
FT/Sr Fltg Rte Inc 2 FCT 13.53 11.97 -11.5 6.3
FT/Sr Fltg Rte 2022 TgTr FIV 9.44 8.82 -6.6 4.9
Highland Income HFRO 13.82 11.88 -14.0 6.9
InvDYCrOpp VTA 12.27 11.02 -10.2 8.3
InvSnrIncTr VVR 4.64 4.16 -10.3 6.6
Nuveen Credit Strat Inc JQC 8.19 7.29 -11.0 13.9
NuvFloatRateIncFd JFR 10.77 9.47 -12.1 7.5
NuvFloatRteIncOppty JRO 10.68 9.36 -12.4 7.7
Nuveen Senior Income NSL 6.43 5.66 -12.0 7.6
PionrFltRate Tr PHD 11.83 10.42 -11.9 6.9
High Yield Bond Funds
AllianceBernGlHiIncm AWF 13.15 11.98 -8.9 6.8
Barings Glb SD HY Bd BGH 17.76 17.19 -3.2 10.2
BR Corporate HY HYT 11.76 10.76 -8.5 8.0
BlackRock Ltd Dur Inc BLW 16.91 15.58 -7.9 6.1
BNY Mellon Hi Yield Str DHF 3.31 3.04 -8.2 8.8
Brookfield Real Asst Inc RA 23.34 22.63 -3.0 10.5
CrSuisHighYld DHY 2.53 2.51 -0.8 9.0
DoubleLine Inc Sol DSL 19.11 19.87 +4.0 9.0
First Tr Hi Inc Lng/Shrt FSD 16.94 15.17 -10.4 8.3
IVY HIGH INCOME OPP IVH 14.89 13.53 -9.1 8.7
NeubHgYldStrt NHS NA 11.98 NA 7.5
NexPointStratOppty NHF 21.11 17.26 -18.2 13.3
Nuveen Crdt Opps 2022 TT JCO 9.52 9.90 +4.0 5.7
Nuveen Global High Inc JGH 17.58 15.53 -11.7 7.9
Nuveen HI Dec 2019 Tgt JHD 9.89 9.85 -0.4 4.0
Nuveen HI Nov 2021 Tgt JHB 9.91 9.96 +0.5 5.2
PGIM Global High Yield GHY NA 14.29 NA 7.7
PGIM High Yield Bond ISD NA 14.82 NA 7.5
PioneerHilncmTr PHT 9.96 9.25 -7.1 7.9
Wells Fargo Income Oppty EAD NA 8.14 NA 8.6
WstAstHIF II HIX NA 6.74 NA 8.1
Western Asset Hi Inc Opp HIO NA 5.07 NA 6.6
Western Asset Hi Yld D O HYI NA 15.23 NA 7.0
Other Domestic Taxable Bond Funds
Ares Dynamic Crdt Alloc ARDC 16.71 14.63 -12.4 8.6
Barings Corporate Inv MCI NA 16.38 NA 7.1
BlackRock Mlt-Sctr Inc BIT 18.20 17.13 -5.9 8.1
BlackRock Tax Muni Bd BBN 24.62 23.84 -3.2 5.6
DoubleLine:Oppor Crdt Fd DBL 20.65 20.69 +0.2 6.9
Duff&Ph Util Cor DUC 9.54 9.17 -3.9 4.5
EVLmtDurIncm EVV 14.35 12.66 -11.8 6.5
Franklin Ltd Dur Income FTF 10.08 9.21 -8.6 10.6
KKR Income Opportunities KIO NA 15.13 NA 9.6
MFS Charter MCR 8.97 8.28 -7.7 8.3
Nuveen Taxable Muni Inc NBB 22.12 22.08 -0.2 5.5
PIMCO Corp & Inc Oppty PTY 14.19 18.24 +28.5 8.9
PIMCO Corp & Inc Strat PCN 14.53 18.62 +28.1 7.7
PIMCOHilnco PHK 6.15 7.72 +25.5 11.0
PIMCO IncmStrFd PFL 10.61 11.72 +10.5 9.4
PIMCO IncmStrFd II PFN 9.58 10.51 +9.7 9.97
Putnam Mas Int PIM 4.83 4.68 -3.1 7.4
Putnam Prem Inc PPT 5.40 5.30 -1.9 7.6
Wells Fargo Multi-Sector ERC NA 12.35 NA 9.9
World Income Funds
Abrdn AP IncFd FAX 4.85 4.22 -13.0 4.3
BrndywnGLB Glb Inc Oppts BWG NA 12.21 NA 6.3
EtnVncStDivInc EVG NA 13.20 NA 6.3
MS EmMktDomDebt EDD 7.60 6.80 -10.5 8.9
PIMCO Dyn Crd & Mrt Inc PCI NA 24.82 NA 9.5
PIMCO Dynamic Income PDI NA 32.99 NA 9.6
PIMCO Income Opportunity PKO NA 26.73 NA 9.95
PIMCO Stratg Inc RCS NA 9.44 NA 8.6
Templeton Em Inc TEI 9.89 9.01 -8.9 8.2
Templtn Glbl Inc GIM 6.71 6.11 -8.9 6.3
WstAstEmergDebt EMD NA 13.92 NA 8.6
Western Asset Gl Cr D Op GDO NA 17.35 NA 6.9
National Muni Bond Funds
AllBerNatlMunInc AFB 15.21 13.52 -11.1 3.9
BlckRk Inv Q Mun BKN 16.35 15.33 -6.2 4.4
BlackRock Muni 2030 Tgt BTT 25.85 24.00 -7.2 3.1
BlackRock Muni BFK 14.46 13.87 -4.1 4.8
BlackRock Muni II BLE 14.92 15.24 +2.1 4.6
BlckRk Muni Inc Qly BYM 15.44 14.01 -9.3 4.4
BR MuniAssets Fd MUA 14.37 15.80 +10.0 4.2
BR MuniEnhanced MEN 12.11 11.10 -8.3 4.7
BR MuniHoldings Qly MFL 14.67 13.32 -9.2 4.6
BR MH Qly 2 MUE 13.95 12.58 -9.8 4.5
BR MuniVest Fd MVF 9.66 9.04 -6.4 4.9
BR MuniVest 2 MVT 15.20 14.43 -5.1 4.9
BR MuniYield Fd MYD 14.87 14.62 -1.7 4.7
BR MuniYield Qlty MQY 16.14 14.95 -7.4 4.4
BR MuniYld Qlty2 MQT 14.18 12.85 -9.4 4.3
BR MuniYld Qly 3 MYI 14.91 13.49 -9.5 4.3
BNY Mellon Muni Bd Infra DMB 14.44 14.11 -2.3 4.452 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
ChnStrInfr UTF 27.16 26.40 -2.8 29.3
COHEN & STEERS MLP INC&E MIE 8.03 8.14 +1.4 -11.7
Cohen&SteersQualInc RQI 15.34 15.71 +2.4 44.9
CohenStrsREITPref RNP 25.01 24.49 -2.1 43.9
Cohen&Steers TotRet RFI 14.55 14.72 +1.2 36.0
Columbia Sel Prm Tech Gr STK 20.87 21.29 +2.0 21.8
DNP Select Income DNP 10.61 12.74 +20.1 24.3
Duff&Ph Glbl Util Inc Fd DPG 16.57 15.70 -5.3 23.3
EtnVncEqtyInc EOI 15.09 15.04 -0.3 9.4
EtnVncEqtyIncoII EOS 16.48 16.92 +2.7 9.1
EVRskMnDvsEqInc ETJ 9.12 9.27 +1.6 7.2
ETnVncTxMgdBuyWrtInc ETB 14.99 15.97 +6.5 8.6
EtnVncTxMgdBuyWrtOpp ETV 14.32 15.14 +5.7 8.4
EvTxMnDvsEqInc ETY 11.82 11.95 +1.1 7.9
EtnVncTxMgdGlbB ETW 10.27 9.80 -4.6 -6.7
EVTxMnGblDvEqInc EXG 8.64 8.23 -4.7 0.9
First Trust Energy Inc G FEN 20.90 22.65 +8.4 13.5
First Tr Enhanced Eq FFA 15.85 16.12 +1.7 14.2
FirstTrEnergyInfra FIF 17.37 16.10 -7.3 13.2
FirstTrMLPEner&Inc FEI 11.84 10.78 -9.0 -0.9
Gabelli Healthcare GRX 12.00 10.40 -13.3 4.1
Gab Utility GUT 5.00 7.45 +49.0 40.9
GAMCOGlGold&NatRes GGN 4.12 4.21 +2.2 6.3
J Han Finl Opptys BTO 33.18 32.35 -2.5 0.1
Neuberger Brmn MLP & EI NML 7.78 6.82 -12.3 -12.5
NubrgrRlEstSec NRO 5.88 5.74 -2.4 31.9
Nuv Dow 30 Dyn Overwrite DIAX 17.78 17.47 -1.7 0.9
NuvCorEqAlpha JCE 14.55 14.31 -1.6 8.9
NuveenDiversDiv&Inc JDD 11.61 10.81 -6.9 12.4
Nuveen Engy MLP Tot Rtn JMF 8.14 7.92 -2.7 -15.6
Nuveen Nasdaq 100 Dyn Ov QQQX 22.75 22.43 -1.4 4.6
Nuv Real Est JRS 11.59 10.94 -5.6 27.9
Nuveen Rl Asst Inc & Gro JRI 19.63 17.70 -9.8 25.0
NuvS&P500DynOvFd SPXX NA 15.29 NA 2.2
NuvSP500BuyIncFd BXMX 13.33 13.03 -2.3 1.0
ReavesUtilityIncome UTG 36.68 36.22 -1.3 24.7
Tortoise Enrgy Infra Crp TYG 19.81 18.98 -4.2 -19.0
Tortoise Midstream Enrgy NTG 12.04 11.51 -4.4 -16.6
Income & Preferred Stock Funds
CalamosStratTot CSQ 12.72 12.80 +0.6 12.0
CohenStrsLtdDurPref&Inc LDP 25.90 25.63 -1.0 22.8
CohenStrsSelPref&Income PSF 26.85 30.26 +12.7 28.1
FirstTrIntDurPref&Inc FPF 24.20 23.75 -1.9 26.5
JHanPrefInc HPI 21.71 22.93 +5.6 18.3
JHPrefIncII HPF 21.36 22.63 +5.9 20.1
HnckJPfdInco III HPS 18.99 19.18 +1.0 17.1
J Han Prm PDT 15.72 17.72 +12.7 23.1
LMP CapInco SCD NA 14.27 NA 21.4
Nuveen Pref & Inc Opp JPC 10.23 10.01 -2.2 22.7
Nuveen Fd JPS 9.98 9.90 -0.8 26.4
Nuveen Pref & Inc Term JPI 25.08 25.11 +0.1 23.1
Nuveen TxAdvDivGr JTD 17.18 16.64 -3.1 11.1
TCW Strat Income TSI NA 5.70 NA 12.6
Virtus Glb Div & Inc ZTR 10.39 11.16 +7.4 21.1
Convertible Sec's. Funds
GI Conv & Inc NCV 5.58 5.65 +1.3 -3.8
AGI Conv & Inc II NCZ 5.01 4.96 -1.0 -3.3
AGI Eqty & Conv Inc NIE 23.16 21.42 -7.5 8.7
CalamosConvHi CHY 11.02 11.08 +0.5 9.3
CalmosConvOp CHI 10.49 10.57 +0.8 11.8
World Equity Funds
Aberdeen Tot Dyn Div AOD 9.47 8.31 -12.2 10.2
Calamos GloDynInc CHW 7.80 7.93 +1.7 11.1
Cdn Genl Inv CGI 34.08 23.50 -31.0 2.3
China CHN 22.48 19.89 -11.5 16.2
EV TxAdvGlbDivInc ETG 17.30 16.35 -5.5 7.5
EtnVncTxAdvOpp ETO 23.60 25.92 +9.8 24.1
FirstTr Dyn Euro Eq Inc FDEU 15.38 14.08 -8.5 8.7
Gabelli Multimedia GGT 7.73 8.06 +4.3 6.6
GDL Fund GDL 11.13 9.20 -17.3 7.9
India Fund IFN 22.97 20.43 -11.1 10.5
Japan Smaller Cap JOF NA 8.81 NA 1.5
Korea KF 31.67 27.55 -13.0 -3.3
Mexico MXF 15.64 13.59 -13.1 -8.0
MS ChinaShrFd CAF 23.96 21.43 -10.6 23.1
MS India IIF 22.25 19.04 -14.4 5.3
New Germany GF 16.40 14.37 -12.4 10.9
Swiss Helvetia SWZ 9.23 8.10 -12.2 2.9
Templeton Dragon TDF 20.61 18.20 -11.7 11.3
Templeton Em Mkt EMF 16.86 14.88 -11.7 16.7
VirtusTotalRetFd ZF 10.86 11.52 +6.1 39.3
Wells Fargo Gl Div Oppty EOD NA 5.38 NA 17.1U.S. Mortgage Bond Funds
BlckRk Income BKT 6.40 6.08 -5.0 5.7
Invesco HI 2023 Tgt Term IHIT 10.53 10.51 -0.2 5.7
Nuveen Mtge Oppty Term JLS 23.01 22.44 -2.5 7.1
Investment Grade Bond Funds
BlRck Core Bond BHK 15.38 14.37 -6.6 5.2
BR Credit Alloc Inc BTZ 14.83 13.51 -8.9 5.9
J Han Income JHS 15.49 14.41 -7.0 4.5
MFS Intmdt MIN 4.03 3.75 -6.9 9.0
Western Asset Inf-Lk Inc WIA NA 11.74 NA 3.5
Western Asset Inf-Lk O&I WIW NA 11.07 NA 3.9
Loan Participation Funds52 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
Resource RE Div Inc:T10.68 NA NA 8.7
Resource RE Div Inc:U10.71 NA NA 9.5
Resource RE Div Inc:W10.86 NA NA 9.4
SharesPost 100;A 29.13 NA NA 2.9
SharesPost 100:I 29.26 NA NA 3.2
SharesPost 100:L 29.01 NA NA 2.6
USQ Core Real Estate:I25.70 NA NA 4.5
USQ Core Real Estate:IS25.70 NA NA 4.5
Versus Cap MMgr RE Inc:I28.19 NA NA NE
Versus Capital Real Asst25.71 NA NA 6.1
Wildermuth Endwmnt:A13.68 NA NA 7.1
Wildermuth Endwmnt:C13.29 NA NA 6.4
Wildermuth Endowment:I13.82 NA NA 7.5
Income & Preferred Stock Funds
A3 Alternative Cr AAACX 10.01 NA NA NS
Destra Multi-Altrntv;A13.71 NA NA 4.0
Destra Multi-Altrntv;C13.23 NA NA 3.3
Destra Multi-Altrntv;I13.95 NA NA 4.3
Destra Multi-Altrntv;L13.39 NA NA 3.5
Flat Rock Opportunity19.34 NA NA 8.4
Variant Altrntv Inc:Inst26.32 NA NA 11.7
Variant Altrntv Inc:Inv26.34 NA NA NS
Convertible Sec's. Funds
Calmos Dyn Conv and Inc CCD 19.55 20.70 +5.9 9.0
World Equity Funds
ACAP Strategic:A 17.90 NA NA 21.6
ACAP Strategic:W 13.42 NA NA 22.5
BMO LGM Front ME;I 8.24 NA NA -11.4
CalamosGlbTotRet CGO 11.45 12.20 +6.6 6.4Loan Participation Funds
1WS Credit Income NA NA NA NS
Angel Oak Str Crdt:Inst NA NA NA 8.0
Blackstone/GSO FR EI D NA NA NA 6.6
Blackstone/GSO FR EI I NA NA NA 6.8
Blackstone/GSO FR EI T NA NA NA 6.3
Blackstone/GSO FR EI T-I NA NA NA NS
Blstn Commnty Dev 9.82 NA NA 3.5
BNYM Alcntr Glb MS Cr Fd100.20 NA NA NS
CLIFFWATER CL FD;I10.13 NA NA NS
CNR Strategic Credit 9.79 NA NA NS
FedProj&TrFinanceTendr10.01 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 23.67 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 NA NA NA NS
PIMCO Flexible Cr I;Inst NA NA NA 10.4
PionrILSBridge NA NA NA 0.0
WA Middle Mkt Dbt NA NA NA 9.2
WA Middle Mkt Inc NA NA NA 9.2
Other Domestic Taxable Bond Funds
Am Beacon Apollo TR:Y10.39 NA NA 2.4
Am Beacon SP Enh Inc:Y10.02 NA NA 5.5
BR Credit Strat;Inst 10.18 NA NA NS
BlackRock Mlt-Sctr Oppty97.53 NA NA 7.2
BlackRock Mlt-Sec Opp II101.02 NA NA NS
CION Ares Dvsfd Crdt;A25.60 NA NA 5.4
CION Ares Dvsfd Crdt;C25.60 NA NA 5.4
CION Ares Dvsfd Crdt;I25.60 NA NA 5.4
CION Ares Dvsfd Crdt;L25.60 NA NA 5.4
CION Ares Dvsfd Crdt;U NA NA NA NS
CION Ares Dvsfd Crdt;W25.59 NA NA NS
CNR Select Strategies10.79 NA NA 0.0
GL Beyond Income 1.45 NA NA NE
Lord Abbett Cred Opps Fd 9.88 NA NA NS
Lord Abbett Cred Opps Fd 9.88 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 Inc NA NA NA 5.7
Resource Credit Inc:A10.76 NA NA 6.4
Resource Credit Inc:C10.88 NA NA 5.7
Resource Credit Inc:I 10.79 NA NA 6.7
Resource Credit Inc:L 10.76 NA NA 6.2
Resource Credit Inc:W10.76 NA NA 6.4
Thrivent Church Ln&Inc:S NA NA NA NS
World Income Funds
Destra Int&Evt-Dvn Crd:A25.39 NA NA NS
Destra Int&Evt-Dvn Crd:I25.39 NA NA 4.6
Destra Int&Evt-Dvn Crd:L25.39 NA NA NS
Destra Int&Evt-Dvn Crd:T25.38 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
lost 46.39 points, or 0.17%, 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 $34,943, or a gain of 16.48%, 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
10.48 23.27 157.82 UnitedHealth Group UNH$245.34 $998
3.81 4.42 29.98 JPMorgan Chase JPM 120.56 1,274
3.16 5.00 33.91 3M MMM163.10 877
2.78 1.48 10.04 Coca-Cola KO 54.78 1,185
2.43 1.31 8.88 Walgreens WBA 55.30 828
2.36 2.22 15.06 Nike NKE 96.10 1,307
1.87 1.12 7.60 Verizon VZ 61.05 1,132
1.80 2.31 15.67 Caterpillar CAT 130.71 1,057
1.76 0.83 5.63 Dow DOW 47.96 991
1.39 3.27 22.18 Home Depot HD 237.93 1,413
0.97 0.35 2.37 Pfizer PFE 36.46 858
0.90 1.84 12.48 Goldman Sachs GS 206.52 1,255
0.67 0.87 5.90 Walt Disney DIS 130.89 1,201
0.48 0.65 4.41 United Technologies UTX 136.80 1,307
0.40 0.34 2.31 Merck MRK 84.68 1,131
0.32 0.15 1.02 Cisco Systems CSCO 46.71 1,109
0.31 0.36 2.44 American Express AXP 116.76 1,243
0.08 0.20 1.36 Apple AAPL236.41 1,517
–0.25 –0.52 –3.53 McDonald’s MCD208.50 1,195
–0.76 –1.35 –9.16 Visa V 175.71 1,338
–0.87 –1.24 –8.41 Travelers TRV 141.36 1,200
–0.91 –1.10 –7.46 WalMart WMT119.14 1,299
–1.21 –1.41 –9.56 Chevron CVX 114.74 1,087
–1.40 –0.73 –4.95 Intel INTC 51.36 1,116
–1.63 –2.27 –15.40 Microsoft MSFT137.41 1,368
–1.99 –1.37 –9.29 Exxon Mobil XOM 67.61 1,027
–2.76 –3.63 –24.62 Johnson & Johnson JNJ 127.70 1,010
–2.99 –3.62 –24.55 Procter & Gamble PG 117.47 1,314
–6.07 –8.67 –58.80 IBM IBM 134.09 1,222
–8.25 –30.92 –209.70 Boeing BA 344.00 1,085
*Based on Composite price. DJIA is calculated on primary-market price.
Source: Dow Jones Market Data; FactSet.CLOSED-END FUNDS
BNY Mellon Str Muni Bond DSM 8.30 8.40 +1.2 4.9
BNY Mellon Strat Muni LEO 8.64 8.50 -1.6 4.9
DWS Muni Inc KTF 12.59 11.44 -9.1 4.8
EVMuniBd EIM 13.95 12.81 -8.2 3.9
EVMuniIncm EVN 13.79 12.66 -8.2 4.4
EVNatMuniOpp EOT 21.60 22.85 +5.8 4.3
InvAdvMuIncTrII VKI 12.00 11.10 -7.5 5.0
Invesco MuniOp OIA 7.67 7.74 +0.9 4.9
InvescoMuOppTr VMO 13.42 12.40 -7.6 5.0
InvescoMuTr VKQ 13.43 12.45 -7.3 4.9
InvescoQual Inc IQI 13.56 12.47 -8.0 4.9
InvTrInvGrMu VGM 13.84 12.76 -7.8 4.8
InvescoValMunInc IIM 16.43 15.48 -5.8 4.6
MAINSTAY:MK DEFTR MUN OP MMD 20.48 20.67 +0.9 4.8
Nuveen AMT-Fr Mu Val NUW 16.89 16.47 -2.5 4.0
Nuveen AMT-Fr Qlty Mun I NEA 15.56 14.16 -9.0 4.4
Nuveen AMT-Fr Mu CI NVG 17.13 16.60 -3.1 4.7
Nuv Enh Muni Cr Inc NZF 16.67 15.94 -4.4 4.8
Nuveen Enh Muni Val NEV 15.19 14.31 -5.8 4.7
Nuveen Int Dur Mun Term NID 14.29 13.86 -3.0 3.7
NuvMuniHiIncOpp NMZ 14.02 14.19 +1.2 4.8
Nuveen Muni Val NUV 10.57 10.45 -1.1 3.5
Nuveen Quality Muni Inc NAD 15.89 14.35 -9.7 4.4
Nuveen Sel TF 2 NXQ 15.33 14.59 -4.8 3.3
PIMCO MuniInc PMF 13.38 15.23 +13.8 4.7
PIMCOMuniIncII PML 12.53 15.44 +23.2 4.9
Pimco Muni III PMX 11.36 12.67 +11.5 5.0
PioneerHilncAdv MAV 11.98 10.76 -10.2 4.8
PioneerMunHiIcmT MHI 13.00 12.27 -5.6 4.9
Putnam Mgd Inc PMM 8.17 7.88 -3.5 4.8
Putnam Muni Opp PMO 13.67 13.13 -4.0 4.3
Western Asset Mgd Muni MMU NA 13.68 NA 5.0
Westn Asst Mu Def Opp Tr MTT NA 22.00 NA 4.0
Single State Muni Bond
BlackRock CA Mun BFZ 15.33 13.55 -11.6 3.9
BR MH CA Qly Fd Inc MUC 15.68 13.95 -11.0 3.9
BR MH NJ Qly MUJ 15.93 14.23 -10.7 4.4
BR MH NY Qly MHN 15.02 13.45 -10.5 3.9
BR MuniYld CA MYC 15.67 14.18 -9.5 4.0
BR MuniYld CA Qly MCA 15.86 14.25 -10.2 4.2
BR MuniYld MI Qly MIY 15.74 14.02 -11.0 4.3
BR MuniYld NY Qly MYN 14.40 12.90 -10.4 3.9
EVCAMuniBd EVM 12.58 11.31 -10.1 4.1
InvCaValMuIncTr VCV 13.36 12.46 -6.7 4.6
InvPAValMuIncTr VPV 14.03 13.00 -7.3 5.1
InvTrInvGrNYMu VTN 14.48 13.55 -6.4 4.6
Nuveen CA AMT-F Qual MI NKX 16.37 15.11 -7.7 4.0
Nuveen CA Val NCA 10.67 10.39 -2.6 3.2
NuveenCAQtyMuInc NAC 16.00 14.92 -6.8 4.4
Nuveen MD Qual Muni Inc NMY 15.10 13.38 -11.4 3.9
Nuveen MI Qual Muni Inc NUM 15.78 13.91 -11.9 3.8
NuvNJ Qual Muni Inc NXJ 16.44 14.52 -11.7 4.5
Nuveen NY AMT/Fr Qual MI NRK 14.83 13.36 -9.9 4.0
Nuveen NY Qual Muni Inc NAN 15.42 14.07 -8.8 4.0
Nuveen OH Qual Muni Inc NUO 17.17 15.61 -9.1 3.3
Nuveen PA Qual Muni Inc NQP 15.74 14.09 -10.5 4.2
Nuveen VA Qlty Mun Inc NPV 14.95 13.79 -7.8 3.7
PIMCO CA PCQ 14.25 19.70 +38.2 4.7
PIMCOCAMuniII PCK 9.15 10.19 +11.4 4.3Prem12 Mo
Fund (SYM) NAV Close /Disc YldSpecialized Equity Funds
Bluerock Total Inc+ RE:A30.29 NA NA 6.6
Bluerock Total Inc+ RE:C29.07 NA NA 5.8
Bluerock Total Inc+ RE:I30.77 NA NA 6.8
Broadstone Rl Est Acc:I10.90 NA NA 15.9
Broadstone Rl Est Acc:W10.90 NA NA 15.7
CC Real Estate Income;A 8.23 NA NA -7.5
CC Real Estate Income;Ad 8.25 NA NA -7.8
CC Real Estate Income;C 8.30 NA NA -7.3
CC Real Estate Income;I 8.23 NA NA -7.5
CC Real Estate Income;T 8.06 NA NA -8.3
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
Griffin Inst Access RE:A27.50 NA NA 8.0
Griffin Inst Access RE:C26.67 NA NA 7.2
Griffin Inst Access RE:I27.79 NA NA 8.2
NexPointHCOpp;A 15.77 NA NA -10.3
NexPointHCOpp;C 15.61 NA NA -10.9
NexPointRlEstStrat;A21.38 NA NA 9.6
NexPointRlEstStrat;C21.51 NA NA 8.8
NexPointRlEstStrat;Z21.50 NA NA 9.8
PREDEX;I 26.18 NA NA 4.1
PREDEX;T 26.22 NA NA 4.1
PREDEX;W 26.22 NA NA 4.1
Principal Dvs Sel RA A25.37 NA NA NS
Principal Dvs Sel RA Ins25.39 NA NA NS
Principal Dvs Sel RA Y25.41 NA NA NS
Resource RE Div Inc:A10.70 NA NA 9.4
Resource RE Div Inc:C10.69 NA NA 8.5
Resource RE Div Inc:D10.86 NA NA 8.9
Resource RE Div Inc:I 11.15 NA NA 9.7
Resource RE Div Inc:L10.70 NA NA 9.152 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Retwsj_20191021_b008_p2jw294000_0_b00800_1____xa2019.crop.pdf 1 21-Oct-19 06:07:56