THE WALL STREET JOURNAL. Monday, November 16, 2020 |B9
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 November 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
Nov. 9 Kraft Heinz KHC A. Van Damme DI 13,849 30.38 420,742 31.61 -1.6
Nov. 3-5 Xerox Holdings XRX C. Icahn BI 1,060 18.26-18.93 19,456 21.64 -41.3
Nov. 6 C. Icahn BI 243 18.99 4,618
Nov. 9 Cerevel Therapeutics Holdings CERE A. Koppel DOI 332 10.30 3,423 12.29
Nov. 10 Vertex Pharmaceuticals VRTX B. Sachs D 15 216.47-218.79 3,260 225.52 3.0
Nov. 5-6 American Assets Trust AAT E. Rady CEOI 130 21.13-21.85 2,794 26.60 -42.0
Nov. 9-11 E. Rady CEOI 55 24.59-26.23 1,414
Nov. 5 Aon AON L. Knight DI 10 186.54-186.96 1,866 204.44 -1.8
Nov. 6 Dun Bradstreet Holdings DNB A. Jabbour CEOI 38 26.31 1,000 27.40
Nov. 10 Tupperware Brands TUP R. Goudis OD 28 28.64 788 29.64 245.5
Nov. 5 Magellan Midstream Partners MMP C. Joung D 20 35.32 706 39.89 -36.6
Nov. 9 Hanesbrands HBI R. Nelson D 50 12.73 637 12.95 -12.8
Nov. 6 Parsons PSN G. Ball CFOI 20 30.25 605 33.06 -19.9
Nov. 5 Greenhill & Co GHL S. Bok CEOI 50 10.66 533 11.68 -31.6
Nov. 10 ViewRay VRAY S. Drake CEO 155 3.23 500 3.90 -7.6
Nov. 9 International Business Machines IBM A. Gorsky D 4 117.86 499 116.85 -12.8
Nov. 10 Calix CALX D. Listwin D 20 22.53 451 24.69 208.6
Nov. 9-10 Corcept Therapeutics CORT G. Baker DI 19 17.71-17.96 334 18.09 49.5
Sellers
Nov. 10 Flagstar Bancorp FBC D. Matlin DI 9,113 30.19 275,113 33.13 -13.4
Nov. 10 P. Schoels DI 9,113 30.19 275,113
Nov. 4-5 Inphi IPHI F. Tamer CEO 481 139.18-147.98 69,468 148.57 100.7
Nov. 9 Carlyle Group CG D. Rubenstein H 2,000 27.32 54,640 27.80 -13.3
Nov. 5 Microsoft MSFT B. Smith P 200 222.35-223.05 44,515 216.51 37.3
Nov. 5 S. Nadella CEOI 105 222.52 23,253
Nov. 5 Paylocity Holding PCTY S. Sarowitz DO 200 188.92-206.31 38,925 189.14 56.5
Nov. 4 Humana HUM B. Broussard CEO 65 451.15 29,149 433.40 18.2
Nov. 5 B. Kane CFO 49 442.74-446.87 21,884
Nov. 9 IDEX IEX A. Silvernail CEO 152 189.66 28,914 193.17 12.3
Nov. 10 Broadcom AVGO H. Tan CEO 78 361.36-372.29 28,534 373.50 18.2
Nov. 9-10 Eaton ETN C. Arnold OD 237 115.00-117.60 27,579 114.45 20.800
Nov. 9 TransDigm Group TDG W. Howley ODI 39 572.36-605.19 23,029 566.78 1.2
Nov. 9-12 AbbVie ABBV R. Gonzalez CEO 232 95.74-97.49 22,437 99.04 11.9
Nov. 9 Centene CNC M. Neidorff CEO 300 70.12 21,036 69.05 9.8
Nov. 6 Electronic Arts Inc EA A. Wilson CEO 176 115.03-120.70 20,876 120.80 12.4
Nov. 9 Bill.com Holdings BILL R. Lacerte CEO 215* 91.13-98.36 20,629 95.24 150.3
Nov. 11 Estee Lauder EL F. Freda CEO 78 248.34-249.00 19,293 255.11 23.5
- 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 240,920 41,175,968 Finance 4,491,414 121,560,068
Businessservices 181,253 53,514,645 Health care 4,680,379 207,216,547
Capital goods 00 Industrial 52,057 108,462,309
Consumerdurables 10,105 91,747,939 Media 0 33,786,640
Consumernondurables 1,863,002 137,065,661 Technology 601,351 243,002,267
Consumerservices 80,115 74,306,228 Transportation 9,355 24,523,903
Energy 869,876 778,650 Utilities 0 8,970,934
Sources: Thomson Financial; Dow Jones Market DataFriday
Energy
Coal,C.Aplc.,12500Btu,1.2SO2-r,w 51.200
Coal,PwdrRvrBsn,8800Btu,0.8SO2-r,w 11.650
Metals
Gold, per troy oz
Engelhard industrial 1895.00
Handy & Harman base 1890.90
Handy & Harman fabricated 2098.90
LBMA Gold Price AM *1868.00
LBMA Gold Price PM *1874.85
Krugerrand,wholesale-e 1963.73
Maple Leaf-e 1982.61
American Eagle-e 1982.61
Mexican peso-e 2284.60
Austria crown-e 1853.81
Austria phil-e 1982.61
Silver, troy oz.
Engelhard industrial 24.7500
Handy & Harman base 24.6850
Handy & Harman fabricated 30.8560
LBMA spot price *£18.4000
(U.S.$ equivalent) *24.2150
Coins,wholesale $1,000 face-a 18654
Other metals
LBMA Platinum Price PM *875.0
Platinum,Engelhard industrial 900.0
Palladium,Engelhard industrial 2347.0Friday
Aluminum, LME, $ per metric ton *1904.5
Copper,Comex spot 3.1755
Iron Ore, 62% Fe CFR China-s 122.7
Shredded Scrap, US Midwest-s,m 287
Steel, HRC USA, FOB Midwest Mill-s 719
Fibers and Textiles
Burlap,10-oz,40-inch NY yd-n,w 0.6300
Cotton,1 1/16 std lw-mdMphs-u 0.6621
Cotlook 'A' Index-t *77.35
Hides,hvy native steers piece fob-u 34.000
Wool,64s,staple,Terr del-u,w n.a.
Grains and Feeds
Barley,top-quality Mnpls-u n.a.
Bran,wheat middlings, KC-u 123
Corn,No. 2 yellow,Cent IL-bp,u 3.9950
Corn gluten feed,Midwest-u,w 142.7
Corn gluten meal,Midwest-u,w 522.4
Cottonseed meal-u,w 350
Hominy feed,Cent IL-u,w 105
Meat-bonemeal,50% pro Mnpls-u,w 275
Oats,No.2 milling,Mnpls-u 3.0800
Rice, Long Grain Milled, No. 2 AR-u,w 28.38
Sorghum,(Milo) No.2 Gulf-u 6.2050
SoybeanMeal,Cent IL,rail,ton48%-u 386.10
Soybeans,No.1 yllw IL-bp,u 11.2450
Wheat,Spring14%-pro Mnpls-u 6.7975
Wheat,No.2 soft red,St.Louis-u 6.1350Friday
Wheat - Hard - KC (USDA) $ per bu-u 5.6700
Wheat,No.1soft white,Portld,OR-u 6.1500
Food
Beef,carcass equiv. index
choice 1-3,600-900 lbs.-u 188.53
select 1-3,600-900 lbs.-u 171.54
Broilers, National comp wtd. avg.-u,w 0.7496
Butter,AA Chicago 1.4000
Cheddar cheese,bbl,Chicago 161.00
Cheddar cheese,blk,Chicago 191.75
Milk,Nonfat dry,Chicago lb. 108.75
Coffee,Brazilian,Comp 1.0446
Coffee,Colombian, NY 1.5897
Eggs,large white,Chicago-u 1.0150
Flour,hard winter KC 15.80
Hams,17-20 lbs,Mid-US fob-u n.a.
Hogs,Iowa-So. Minnesota-u 67.98
Pork bellies,12-14 lb MidUS-u n.a.
Pork loins,13-19 lb MidUS-u 0.8088
Steers,Tex.-Okla. Choice-u 110.91
Steers,feeder,Okla. City-u,w 148.63
Fats and Oils
Corn oil,crude wet/dry mill wtd. avg.-u,w41.5000
Grease,choice white,Chicago-h 0.2900
Lard,Chicago-u n.a.
Soybean oil,crude;Centl IL-u 0.3813
Tallow,bleach;Chicago-h 0.3250
Tallow,edible,Chicago-u n.a.KEY 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 11/12
Source: Dow Jones Market DataCash Prices Friday, November 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/market-data/commodities
Borrowing Benchmarks|wsj.com/market-data/bonds/benchmarks
Money Rates November 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
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. 0.11 0.11 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 0.1000Low 0.05000.0500 1.5800 0.0100
Bid 0.08000.0800 1.6000 0.0100
Offer 0.11000.1100 1.6300 0.0500
Treasury bill auction
4 weeks 0.0850.080 1.620 0.000
13 weeks 0.1000.095 1.565 0.000
26 weeks 0.1100.110 1.580 0.080
Secondary market
Fannie Mae
30-year mortgage yields
30 days 1.8981.838 3.362 1.751
60 days 1.9331.877 3.370 1.804
Other short-term rates
Week 52-Week
Latest ago high lowCall money
2.00 2.00 3.50 2.00
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 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 November 12, 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.Week —52-WEEK—
Latest ago High Low
Commercial paper (AA financial)
90 days 0.11 0.14 2.53 0.04
Libor
One month 0.13638 0.12775 1.80475 0.12663
Three month 0.22200 0.20588 1.96050 0.20500
Six month 0.24600 0.24338 1.92438 0.23375
One year 0.33938 0.33338 2.01200 0.32763
Euro Libor
One month -0.573 -0.575 -0.360 -0.621
Three month-0.539 -0.538 -0.142 -0.545
Six month -0.512 -0.524 -0.052 -0.526
One year -0.456 -0.471 0.008 -0.474
Secured Overnight Financing Rate
0.09 0.11 1.65 0.01
Value 52-Week
Latest Traded High Low
DTCC GCF Repo Index
Treasury 0.112 58.350 1.720 0.002
MBS 0.121 28.600 1.763 0.011Week —52-WEEK—
Latest ago High LowGeneral Equity Funds
Adams Diversified EquityADX20.15 17.29 -14.2 13.4
Boulder Growth & IncomeBIF13.08 10.62 -18.8 -3.2
Central SecsCET 36.59 29.30 -19.9 -2.1
CohenStrsCEOppFdFOF NA 11.32 NA -5.6
EVTxAdvDivIncmEVT NA 21.59 NA -6.7
GabelliDiv&IncTrGDV23.12 20.15 -12.8 4.0
Gabelli Equity TrGAB 5.47 6.04 +10.4 11.7
GeneralAmerGAM NA 34.28 NA -5.0
JHancockTaxAdvDivHTD NA 20.37 NA -18.1
Librty AllStr EqUSA 6.94 6.36 -8.4 8.1
Librty AllStr GrASG 7.26 7.99 +10.1 46.5
Royce Micro-Cap TrRMT10.42 8.80 -15.5 15.5
Royce Value TrustRVT16.82 14.50 -13.8 9.2
Source CapitalSOR NA 38.50 NA 3.6
Tri-ContinentalTY 31.86 27.71 -13.0 7.0
Specialized Equity Funds
Aberdeen Glb Prem PropAWP NA 5.00 NA -13.5
Adams Natural ResourcesPEO12.86 10.66 -17.1 -30.7
AllianzGI AI & Tech OppsAIO26.13 22.95 -12.2 21.1
GI DivInt&PremStrNFJ NA 12.53 NA 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 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, November 13, 2020
52 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret
ASA Gold & Prec Met LtdASA NA 20.72 NA 71.0
BR Enh C&ICII 18.27 16.42 -10.1 5.3
BlackRock Energy & ResBGR7.35 6.63 -9.8 -35.6
BlackRock Eq Enh DivBDJ8.86 7.74 -12.6 -10.4
BlackRock Enh Glbl DivBOE11.85 10.27 -13.3 4.5
BlackRock Enh Intl DivBGY6.37 5.60 -12.1 9.7
BlackRock Hlth Sci Tr IIBMEZ27.57 26.20 -5.0 NS
BlackRock Hlth SciencesBME44.12 46.49 +5.4 22.6
BlackRock Res & CommBCX7.59 6.37 -16.1 -8.9
BlackRock Sci&Tech Tr IIBSTZ31.94 29.23 -8.5 54.7
BlackRock Sci&Tech TrustBST45.01 45.81 +1.8 54.6
BlackRock Utl Inf & PwrBUI23.10 23.91 +3.5 19.5
CBRE ClrnGlbRlEstIGR7.80 6.41 -17.8 -10.8
ClearBridge MLP & MidstmCEM NA 14.98 NA -67.7
ChnStrInfrUTF NA 26.06 NA 6.1
Cohen&SteersQualIncRQI NA 11.72 NA -12.9
Cohen&Steers TotRetRFI NA 12.77 NA -8.8
CohenStrsREITPrefIncRNP NA 21.36 NA -3.8
Columbia Sel Prm Tech GrSTK24.23 23.91 -1.3 14.9
DNP Select IncomeDNP9.40 10.37 +10.4 -9.7
Duff&Ph Uti&Infra Inc FdDPG NA 11.70 NA -12.0
EtnVncEqtyIncEOI NA 15.25 NA 4.2
EtnVncEqtyIncoIIEOS NA 19.58 NA 21.0
EVRskMnDvsEqIncETJ NA 10.20 NA 20.1
ETnVncTxMgdBuyWrtIncETB NA 14.38 NA -5.7
EtnVncTxMgdBuyWrtOppETV NA 14.61 NA 7.9
EvTxMnDvsEqIncETY NA 11.89 NA 6.0
EtnVncTxMgdGlbBETW NA 9.23 NA -0.1
EVTxMnGblDvEqIncEXG NA 8.13 NA 3.7
First Trust Energy Inc GFEN12.51 10.32 -17.5 -42.0
First Tr Enhanced EqFFA17.50 16.10 -8.0 5.1
FirstTrMLPEner&IncFEI6.70 5.52 -17.6 -42.0
Gabelli HealthcareGRX13.28 11.18 -15.8 8.9
Gab UtilityGUT 4.12 7.65 +85.7 14.852 wk
Prem Ttl
Fund (SYM) NAV Close /Disc Ret EV SenFlRtTrEFR NA 12.71 NA 7.7
EVSnrIncmEVF NA 6.10 NA 6.8
FT/Sr Fltg Rte Inc 2FCT12.60 11.02 -12.5 10.4
FT/Sr Fltg Rte 2022 TgTrFIV9.28 8.68 -6.5 3.1
Highland IncomeHFRO NA 8.37 NA 11.7
InvDYCrOppVTA NA 9.76 NA 9.7
InvSnrIncTrVVR NA 3.80 NA 7.6
Nuveen Credit Strat IncJQC NA 6.05 NA 18.3
NuvFloatRateIncFdJFR NA 8.33 NA 8.2
NuvFloatRteIncOpptyJRO NA 8.24 NA 8.1
Nuveen Senior IncomeNSL NA 4.93 NA 8.6
PionrFltRate TrPHD NA 10.41 NA 6.7
High Yield Bond Funds
AllianceBernGlHiIncmAWF NA 10.71 NA 7.6
Angel Oak FS Inc TrmFINS NA 16.95 NA 7.8
Barings Glb SD HY BdBGH15.78 13.71 -13.1 11.3
BR Corporate HYHYT11.71 11.12 -5.0 8.8
BlackRock Ltd Dur IncBLW16.65 15.05 -9.6 8.2
BNY Mellon Hi Yield StrDHF NA 2.85 NA 9.5
Brookfield Real Asst IncRA19.67 16.89 -14.1 15.0
CrSuisHighYldDHY NA 2.24 NA 9.6
DoubleLine Inc SolDSL NA 16.11 NA 12.0
DoubleLine Yld OppsDLY NA 17.63 NA NS
First Tr Hi Inc Lng/ShrtFSD16.06 14.01 -12.8 9.7
First Trust HY Opp:2027FTHY20.97 19.95 -4.9 NS
IVY HIGH INCOME OPPIVH NA 12.28 NA 10.4
NeubHgYldStrtNHS NA 11.27 NA 10.1
New Amer Hi IncHYB NA 8.35 NA 6.9
NexPointStratOpptyNHF NA 9.35 NA 16.9
Nuveen CI Nov 2021 TgtJHB NA 9.15 NA 4.6
Nuveen Crdt Opps 2022 TTJCO NA 8.02 NA 7.1
Nuveen Global High IncJGH NA 14.05 NA 8.3
PGIM Global High YieldGHY NA 13.47 NA 9.9
PGIM High Yield BondISD NA 14.13 NA 9.3
PioneerHilncmTrPHT NA 8.54 NA 9.6
Wells Fargo Income OpptyEAD NA 7.59 NA 9.7
WstAstHIF IIHIX NA 6.73 NA 9.0
Western Asset Hi Inc OppHIO NA 4.95 NA 7.9
Western Asset Hi Yld D OHYI NA 14.64 NA 8.0
Other Domestic Taxable Bond Funds
Apollo Tactical IncomeAIF NA 13.07 NA 8.0
Ares Dynamic Crdt AllocARDC NA 13.09 NA 9.8
BlackRock Mlt-Sctr IncBIT18.13 16.34 -9.9 9.4
BlackRock Tax Muni BdBBN24.78 25.72 +3.8 5.3
DoubleLine:Oppor Crdt FdDBL NA 19.33 NA 7.5
Duff&Ph Util CorDUC9.54 9.17 -3.9 6.2
EVLmtDurIncmEVV NA 11.95 NA 10.2
Franklin Ltd Dur IncomeFTF NA 8.57 NA 11.4
J Han InvestorsJHI 17.86 16.33 -8.6 8.7
KKR Income OpportunitiesKIO NA 13.73 NA 11.3
MFS CharterMCR NA 8.49 NA 8.5
Nuveen Taxable Muni IncNBB NA 22.04 NA 5.1
PIMCO Corp & Inc OpptyPTY NA 16.84 NA 9.8
PIMCO Corp & Inc StratPCN NA 16.42 NA 9.2
PIMCOHilncoPHK NA 5.55 NA 12.7
PIMCO IncmStrFdPFL NA 10.54 NA 10.7
PIMCO IncmStrFd IIPFN NA 9.42 NA 10.6
Putnam Mas IntPIM NA 4.14 NA 8.8
Putnam Prem IncPPT NA 4.60 NA 9.4
Wells Fargo Multi-SectorERC NA 11.40 NA 10.7
World Income Funds
Abrdn AP IncFdFAX NA 4.04 NA 8.6
BrndywnGLB Glb Inc OpptsBWG NA 11.54 NA 7.5
EtnVncStDivIncEVG NA 12.38 NA 7.6
MS EmMktDomDebtEDD7.06 5.94 -15.9 8.2
PIMCO Dyn Crd & Mrt IncPCI NA 19.88 NA 13.4
PIMCO Dynamic IncomePDI NA 25.45 NA 12.6
PIMCO Income OpportunityPKO NA 23.66 NA 10.1
PIMCO Stratg IncRCS NA 6.40 NA 11.1
Templeton Em IncTEI NA 7.38 NA 8.4
Templtn Glbl IncGIM NA 5.22 NA 4.8
WstAstEmergDebtEMD NA 13.31 NA 9.9
Western Asset Gl Cr D OpGDO NA 17.30 NA 7.3
National Muni Bond Funds
AllBerNatlMunIncAFB15.04 13.81 -8.2 4.3
BlckRk Inv Q MunBKN16.29 16.67 +2.3 4.6
BlackRock Muni 2030 TgtBTT26.27 25.18 -4.1 3.0
BlackRock MuniBFK 14.26 14.39 +0.9 4.7
BlackRock Muni IIBLE14.71 15.16 +3.1 4.9
BlckRk Muni Inc QlyBYM15.52 14.35 -7.5 4.1
BR MuniAssets FdMUA14.03 13.85 -1.3 4.6
BR MuniEnhancedMEN12.16 11.65 -4.2 4.4
BR MuniHoldings QlyMFL14.69 13.66 -7.0 4.1
BR MH Qly 2MUE 13.96 12.88 -7.7 4.4
BR MuniHoldngsMHD16.74 15.65 -6.5 4.8
BR MuniVest FdMVF9.60 8.92 -7.1 4.6
BR MuniVest 2MVT 15.06 14.49 -3.8 4.8
BR MuniYield FdMYD14.71 13.69 -6.9 5.0
BR MuniYield QltyMQY16.19 16.29 +0.6 4.2
BR MuniYld Qlty2MQT14.22 13.31 -6.4 4.3
BR MuniYld Qly 3MYI14.85 13.77 -7.3 4.0
BNY Mellon Muni Bd InfraDMB NA 13.70 NA 4.8
BNY Mellon Str Muni BondDSM NA 7.53 NA 5.0
BNY Mellon Strat MuniLEO NA 8.36 NA 5.1
DWS Muni IncKTF 12.54 11.19 -10.8 4.3Prem12 Mo
Fund (SYM) NAV Close /Disc YldGeneral Equity Funds
Specialized Equity Funds
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
SharesPost 100;A 33.74 NA NA 15.7
SharesPost 100:I 33.99 NA NA 16.0
SharesPost 100:L 33.52 NA NA 15.5
USQ Core Real Estate:I24.76 NA NA 0.0
USQ Core Real Estate:IS24.77 NA NA 0.1
Versus Cap MMgr RE Inc:I26.89 NA NA NE
Versus Capital Real Asst24.91 NA NA 0.5
Wildermuth Endwmnt:A13.33 NA NA -2.9
Wildermuth Endwmnt:C12.84 NA NA -3.7
Wildermuth Endowment:I13.40 NA NA -3.2
Income & Preferred Stock Funds
Calamos L/S Eqty and DICPZ NA 16.40 NA NS
Destra Multi-Altrntv;A11.83 NA NA -7.8
Destra Multi-Altrntv;C11.32 NA NA -8.5
Destra Multi-Altrntv;I12.07 NA NA -7.5
Destra Multi-Altrntv;T11.48 NA NA -8.3
Flat Rock Opportunity17.75 NA NA 3.7
Variant Altrntv Inc:Inst26.51 NA NA 6.2
Variant Altrntv Inc:Inv26.52 NA NA 6.0
Convertible Sec's. Funds
Calmos Dyn Conv and IncCCD NA 25.98 NA NA52 wk
Prem Ttl
Fund (SYM) NAV Close /Disc RetEVMuniBdEIM NA 13.16 NA 4.3
EVMuniIncmEVN NA 13.09 NA 4.4
EVNatMuniOppEOT NA 20.67 NA 3.9
InvAdvMuIncTrIIVKI11.90 10.99 -7.6 4.9
Invesco MuniOpOIA 7.48 7.34 -1.9 5.3
InvescoMuOppTrVMO13.31 12.38 -7.0 4.8
InvescoMuTrVKQ 13.33 12.41 -6.9 4.9
InvescoQual IncIQI 13.50 12.47 -7.6 4.8
InvTrInvGrMuVGM 13.75 12.70 -7.6 4.9
InvescoValMunIncIIM16.41 15.11 -7.9 4.7
MAINSTAY:MK DEFTR MUN OPMMD NA 21.23 NA 4.8
NeubrgrBrmNBH 14.90 14.87 -0.2 5.3
Nuveen AMT-Fr Mu ValNUW NA 16.24 NA 2.9
Nuveen AMT-Fr Qlty Mun INEA NA 14.61 NA 4.6
Nuveen AMT-Fr Mu CINVG NA 15.97 NA 5.0
Nuveen Dyn Muni OppNDMO NA NA NA NS
Nuveen Enh Muni ValNEV NA 15.58 NA 4.8
Nuveen Int Dur Mun TermNID NA 13.48 NA 3.8
Nuveen Mu Crdt OppsNMCO NA 12.22 NA 6.2
Nuv Muni Credit IncomeNZF NA 15.27 NA 5.1
NuvMuniHiIncOppNMZ NA 13.45 NA 5.5
Nuveen Muni ValNUV NA 10.96 NA 3.4
Nuveen Quality Muni IncNAD NA 14.68 NA 4.6
Nuveen Sel TFNXP NA 16.65 NA 3.2
Nuveen Sel TF 2NXQ NA 15.18 NA 3.3
Nuveen Sel TF 3NXR NA 16.51 NA 3.1
PIMCO MuniIncPMF NA 13.54 NA 5.1
PIMCOMuniIncIIPML NA 13.79 NA 5.4
Pimco Muni IIIPMX NA 11.54 NA 5.0
PioneerHilncAdvMAV NA 11.33 NA 4.4
PioneerMunHiIcmTMHI NA 12.00 NA 4.7
Putnam Mgd IncPMM NA 7.86 NA 5.0
Putnam Muni OppPMO NA 13.32 NA 4.9
RiverNorth Mgd Dur Mun IRMM NA 17.37 NA 6.1
Western Asset Mgd MuniMMU NA 12.56 NA 4.4
Westn Asst Mu Def Opp TrMTT NA 20.26 NA 3.3
Single State Muni Bond
BlackRock CA MunBFZ15.65 13.48 -13.9 3.5
BR MH CA Qly Fd IncMUC15.72 14.50 -7.8 4.0
BR MH NJ QlyMUJ 15.67 13.90 -11.3 4.9
BR MH NY QlyMHN 14.85 13.65 -8.1 4.3
BR MuniYld CAMYC16.00 14.08 -12.0 3.7
BR MuniYld CA QlyMCA15.88 14.64 -7.8 4.0
BR MuniYld MI QlyMIY15.63 14.14 -9.5 4.4
BR MuniYld NJMYJ 15.77 13.91 -11.8 5.4
BR MuniYld NY QlyMYN14.26 13.00 -8.8 4.2
EVCAMuniBdEVM NA 11.57 NA 4.1
Eaton Vance NY Muni BdENX NA 11.98 NA 4.2
InvCaValMuIncTrVCV13.48 12.35 -8.4 4.3
InvPAValMuIncTrVPV13.99 12.11 -13.4 4.8
InvTrInvGrNYMuVTN14.06 12.39 -11.9 4.6
Nuveen CA AMT-F Qual MINKX NA 15.20 NA 4.1
Nuveen CA ValNCA NA 10.25 NA 3.1
NuveenCAQtyMuIncNAC NA 14.75 NA 4.3
Nuveen MD Qual Muni IncNMY NA 13.71 NA 4.2
Nuveen MI Qual Muni IncNUM NA 14.24 NA 3.9
NuvNJ Qual Muni IncNXJ NA 13.80 NA 4.7
Nuveen NY AMT/Fr Qual MINRK NA 13.02 NA 4.3
Nuveen NY Qual Muni IncNAN NA 13.45 NA 4.5
Nuveen OH Qual Muni IncNUO NA 15.35 NA 3.5
Nuveen PA Qual Muni IncNQP NA 13.66 NA 4.6
Nuveen VA Qlty Mun IncNPV NA 15.31 NA 3.6
PIMCO CAPCQ NA 17.37 NA 4.6
PIMCOCAMuniIIPCK NA 9.02 NA 4.3
Pimco CA Muni IIIPZC NA 10.21 NA 4.6Prem12 Mo
Fund (SYM) NAV Close /Disc YldGAMCOGlGold&NatResGGN3.95 3.47 -12.2 -6.2
J Han Finl OpptysBTO NA 25.95 NA -18.2
Nuv Dow 30 Dyn OverwriteDIAX NA 14.35 NA -13.9
NuvCorEqAlphaJCE NA 13.28 NA -1.8
Nuveen Nasdaq 100 Dyn OvQQQX NA 24.61 NA 10.9
Nuv Real EstJRS NA 8.18 NA -16.3
Nuveen Rl Asst Inc & GroJRI NA 12.56 NA -22.3
NuvS&P500DynOvFdSPXX NA 14.10 NA -4.8
NuvSP500BuyIncFdBXMX NA 11.91 NA -6.4
ReavesUtilityIncomeUTG33.55 34.33 +2.3 -0.2
Tortoise Enrgy Infra CrpTYG NA 17.37 NA -74.1
Income & Preferred Stock Funds
CalamosStratTotCSQ NA 14.36 NA 18.8
CohenStrsLtdDurPref&IncLDP NA 24.65 NA 2.5
CohenStrsSelPref&IncomePSF NA 26.16 NA -5.5
FirstTrIntDurPref&IncFPF NA 22.36 NA 0.4
JHanPrefIncHPI NA 18.88 NA -8.7
JHPrefIncIIHPF NA 18.16 NA -9.2
HnckJPfdInco IIIHPS NA 16.52 NA -6.2
J Han PrmPDT NA 13.71 NA -10.4
LMP CapIncoSCD NA 10.81 NA -14.0
Nuveen Pref & Inc OppJPC NA 8.86 NA -5.7
Nuveen FdJPS NA 9.18 NA -2.0
Nuveen Pref & Inc TermJPI NA 23.03 NA 0.0
Nuveen TxAdvDivGrJTD NA 13.39 NA -16.1
TCW Strat IncomeTSI NA 5.64 NA 4.8
Convertible Sec's. Funds
AdvntCnvrtbl&IncFdAVK NA 14.76 NA 8.4
GI Conv & IncNCV NA 4.97 NA -1.1
AGI Conv & Inc IINCZ NA 4.40 NA -1.2
AGI Dvs Inc & ConvACV NA 28.16 NA 25.0
AGI Eqty & Conv IncNIE NA 26.69 NA 27.5
CalamosConvHiCHY NA 12.67 NA 23.4
CalmosConvOpCHI NA 11.95 NA 22.4
World Equity Funds
Aberdeen Emg Mkts Eq IncAEF8.57 7.27 -15.2 5.0
Aberdeen Tot Dyn DivAOD NA 8.31 NA 5.2
Calamos GloDynIncCHW NA 8.82 NA 17.9
ChinaCHN NA 29.05 NA 51.1
EV TxAdvGlbDivIncETG NA 16.50 NA 4.0
EtnVncTxAdvOppETO NA 23.23 NA -4.0
FirstTr Dyn Euro Eq IncFDEU NA 10.94 NA -19.0
Gabelli MultimediaGGT7.24 7.12 -1.7 -0.2
Highland Global AllocHGLB NA 5.36 NA -28.8
India FundIFN 20.90 17.78 -14.9 -2.4
Japan Smaller CapJOF10.29 8.98 -12.7 4.8
LazardGlbTotRetIncLGI18.76 16.40 -12.6 15.2
MS ChinaShrFdCAF 27.14 22.89 -15.7 9.7
MS IndiaIIF 22.74 18.60 -18.2 -2.9
New GermanyGF 20.71 17.87 -13.7 25.4
Templeton DragonTDF NA 24.38 NA 50.2
Templeton Em MktEMF NA 16.75 NA 16.4
Wells Fargo Gl Div OpptyEOD NA 4.57 NA -5.6U.S. Mortgage Bond Funds
BlckRk IncomeBKT 6.27 6.08 -3.0 6.7
Invesco HI 2023 Tgt TermIHIT NA 8.04 NA 7.6
Investment Grade Bond Funds
BlRck Core BondBHK16.26 15.82 -2.7 5.2
BR Credit Alloc IncBTZ15.41 14.35 -6.9 7.2
Insight Select IncomeINSI22.01 20.70 -6.0 3.9
InvescoBondVBF 21.49 19.97 -7.1 3.8
J Han IncomeJHS 16.23 15.72 -3.2 4.8
MFS IntmdtMIN NA 3.81 NA 9.1
Western Asset Inf-Lk IncWIA NA 12.72 NA 3.1
Western Asset Inf-Lk O&IWIW NA 11.66 NA 3.5
Westn Asst IG Def Opp TrIGI NA 21.00 NA 4.0
Loan Participation Funds
Apollo Senior FloatingAFT NA 13.27 NA 7.7
BR Debt StrategyDSU11.42 9.97 -12.7 8.9
BR F/R Inc StrFRA 13.67 11.87 -13.2 8.3
BlackRock Floatng Rt IncBGT13.26 11.64 -12.2 8.2
Blackstone / GSO StratBGB13.99 12.21 -12.7 10.1
Blackstone/GSO Sr Flt RtBSL15.59 13.87 -11.0 8.8
Eagle Point CreditECC NA 8.28 NA 19.5
EtnVncFltRteIncEFT NA 13.11 NA 7.452 wk
Prem Ttl
Fund (SYM) NAV Close /Disc RetPrem12 Mo
Fund (SYM) NAV Close /Disc YldWorld Equity Funds
BMO LGM Front ME;I 6.51 NA NA -19.6
CalamosGlbTotRetCGO NA 13.08 NA NA
Primark Priv Eq Inv:III NA NA NA NS
VirtusTotalRetFdZTR NA 8.10 NA NALoan Participation Funds
1WS Credit Income NA NA NA 6.2
AlphCntrc Prime Merid In 9.97 NA NA NS
Angel Oak Str Crdt:Inst NA NA NA 8.0
Axonic Alternative Inc NA NA NA 3.6
Blackstone/GSO FR EI D23.25 NA NA 5.9
Blackstone/GSO FR EI I23.22 NA NA 6.2
Blackstone/GSO FR EI T23.18 NA NA 5.7
Blackstone/GSO FR EI T-I23.75 NA NA 5.7
Blackstone/GSO FR EI U24.20 NA NA NS
Blstn Commnty Dev 10.10 NA NA 3.4
BNYM Alcntr Glb MS Cr Fd NA NA NA 7.4
CLIFFWATER CL FD;I NA NA NA 4.4
CNR Strategic Credit 9.87 NA NA 8.3
FedProj&TrFinanceTendr 9.97 NA NA 2.8
FS Global Crdt Opptys D NA NA NA 7.2
Schrdrs Opp Inc;A NA NA NA NS
Schrdrs Opp Inc;A2 NA NA NA NS
Schrdrs Opp Inc;I NA NA NA NS
Schrdrs Opp Inc;SDR NA NA NA NS
Invesco Sr Loan A NA NA NA 4.7
Invesco Sr Loan C NA NA NA 3.9
Invesco Sr Loan IB NA NA NA 4.9
Invesco Sr Loan IC NA NA NA 4.8
Invesco Sr Loan Y NA NA NA 4.9
Pioneer Sec Inc NA NA NA NS
High Yield Bond Funds
Griffin Inst Access Cd:A NA NA NA 6.4
Griffin Inst Access Cd:C NA NA NA 6.4
Griffin Inst Access Cd:F NA NA NA 6.4
Griffin Inst Access Cd:I NA NA NA 6.4
Griffin Inst Access Cd:L NA NA NA 6.4
PIMCO Flexible Cr I;A-2 NA NA NA 10.3
PIMCO Flexible Cr I;A-4 NA NA NA 10.5
PIMCO Flexible Cr I;Inst NA NA NA 11.4
PionrILSBridge NA NA NA 0.0
WA Middle Mkt Dbt NA NA NA 7.9
WA Middle Mkt Inc NA NA NA 9.0
Other Domestic Taxable Bond Funds
Am Beacon Apollo TR:T10.28 NA NA 1.7
Am Beacon Apollo TR:Y10.32 NA NA 2.7
Am Beacon SP Enh Inc:T 9.46 NA NA NS
Am Beacon SP Enh Inc:Y 9.52 NA NA 3.8
BR Credit Strat;A 10.23 NA NA NS
BR Credit Strat;Inst 10.23 NA NA 5.3
BlackRock Mlt-Sctr Oppty84.34 NA NA 9.1
BlackRock Mlt-Sec Opp II87.58 NA NA 8.8
Carlyle Tact Pvt Cred:A NA NA NA 7.7
Carlyle Tact Pvt Cred:I NA NA NA 8.5
Carlyle Tact Pvt Cred:L NA NA NA 8.1
Carlyle Tact Pvt Cred:M NA NA NA NS
Carlyle Tact Pvt Cred:N NA NA NA 8.6
Carlyle Tact Pvt Cred:Y NA NA NA 8.3
CION Ares Dvsfd Crdt;A NA NA NA 5.8
CION Ares Dvsfd Crdt;C NA NA NA 5.8
CION Ares Dvsfd Crdt;I NA NA NA 5.8
CION Ares Dvsfd Crdt;L NA NA NA 5.8
CION Ares Dvsfd Crdt;U NA NA NA 5.8
CION Ares Dvsfd Crdt:U2 NA NA NA NS
CION Ares Dvsfd Crdt;W NA NA NA 5.8
CNR Select Strategies11.55 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 Fd 9.79 NA NA 7.6
Lord Abbett Cred Opps Fd 9.80 NA NA 8.3
Lord Abbett Crd Op:U 9.80 NA NA NS
Palmer Square Opp Inc NA NA NA 6.3
Resource Credit Inc:A NA NA NA 8.4
Resource Credit Inc:C NA NA NA 7.7
Resource Credit Inc:I NA NA NA 8.7
Resource Credit Inc:L NA NA NA 8.2
Resource Credit Inc:W NA NA NA 8.5
Thrivent Church Ln&Inc:S NA NA NA 2.7
World Income Funds
Destra Int&Evt-Dvn Crd:A NA NA NA 4.8
Destra Int&Evt-Dvn Crd:I NA NA NA 5.1
Destra Int&Evt-Dvn Crd:L NA NA NA 4.6
Destra Int&Evt-Dvn Crd:T NA NA NA 4.4
National Muni Bond Funds
PIMCO Flex Mun Inc;A-3 NA NA NA 2.2
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 2.9
Tortoise Tax-Adv Soc Inf 9.49 NA NA 5.052 wk
Prem Ttl
Fund (SYM) NAV Close /Disc RetPrem12 Mo
Fund (SYM) NAV Close /Disc YldCLOSED-END FUNDS
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
Health Assurance Acquisition10.20 2.0 ... Edoc Acquisition 10.04 0.4 –0.6
HAACUNov. 13/$10.00 ADOCUNov. 10/$10.00
Better World Acquisition10.00 ... ... TS Innovation Acquisitions 9.99 –0.1 –0.1
BWACUNov. 13/$10.00 TSIAUNov. 10/$10.00
dMY Technology III 10.06 0.6 ... Roman DBDR Acquisition 9.98 –0.2 –0.1
DMYI.UTNov. 13/$10.00 DBDRUNov. 6/$10.00
Natural Order Acquisition10.19 1.9 0.8 SQZ Biotechnologies 24.00 50.0 81.1
NOACUNov. 11/$10.00 SQZOct. 30/$16.00
Northern Star Acquisition 9.95 –0.5 0.4 New Beginnings Acquisition10.05 0.5 0.6
STIC.UTNov. 11/$10.00 NBA.UTOct. 30/$10.00
Sources: Dow Jones Market Data; FactSetOther Stock Offerings
Secondaries and follow-ons expected this week in the U.S. market
None expected this week
Lockup Expirations
Below, companies whose officers and other insiders will become eligible
to sell shares in their newly public companies for the first time. Such
sales can move the stock’s price.
Lockup Offer Offer amt Through Lockup
expiration Issue date Issuer Symbol price($) ($ mil.) Friday (%) provision
Nov. 17 May 21, ’20SelectQuote SLQT 20.00 450.0 –1.5 180 days
Nov. 18 May 22, ’20Inari Medical NARI 19.00 128.3 287.3 180 days
Sources: Dealogic; Dow Jones Market Data
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