12/22/21 16:14  | 12/21/21  | ACV | Virtus Allianzgi Diversified Income & Convertible Fund |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | DO | P,CEO | P | 75 | 34.78 | 0 | 2 | New | 2 | D |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
12/22/21 16:11  | 12/21/21  | NCZ | Virtus Allianzgi Convertible & Income Fund II |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | DO | P,CEO | P | 50 | 4.98 | 0 | 10 | New | 10 | D |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
12/22/21 15:20  | 12/21/21  | AIO | Virtus Allianzgi Artificial Intelligence & Technology Opportunities Fund |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | DO | P,CEO | P | 100 | 27.14 | 0 | 4 | New | 4 | D |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
12/22/21 15:18  | 12/21/21  | NIE | Virtus Allianzgi Equity & Convertible Income Fund |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | DO | P,CEO | P | 75 | 30.49 | 0 | 2 | New | 2 | D |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
12/22/21 15:15  | 12/21/21  | NCV | Virtus Allianzgi Convertible & Income Fund |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | DO | P,CEO | P | 50 | 5.67 | 0 | 9 | New | 9 | D |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
12/22/21 15:07  | 12/21/21  | NFJ | Virtus Dividend, Interest & Premium Strategy Fund | MA | Financ | Loan | Loan Brokers | Aylward George R | CT | DO | P,CEO | P | 100 | 15.49 | 0 | 6 | New | 6 | D |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
8/15/14 13:17  | 8/15/14  | MLP | Duff & Phelps Select Energy Mlp Fund Inc. |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | DOH | P of the | P | 25 | 19.73 | 0 | 1 | New | 1 | D | 83 | 57 | 8 | -14 | -4 | -10 | -8 | -3 | 1 | 5 | -3 | -13 | -5 | -21 | 
5/31/13 08:27  | 5/30/13  | DCA | Dividend Capital Realty Income Allocation Fund |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | DO | P | P | 21 | 4.16 | 0 | 5 | New | 5 | D | 18 | 20 | 14 | 3 | 1 | -2 | -3 | -2 | -2 | -4 | -7 | -8 | 0 | 19 | 
5/31/13 08:26  | 5/30/13  | VGI | Virtus Global Multi-Sector Income Fund |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | DO | P | P | 23 | 18.78 | 1 | 1 | New | 1 | D |  | 16 | 5 | 1 | -1 | -4 | -3 | -2 | -2 | -2 | -6 | -10 | -7 | 5 | 
5/31/13 08:26  | 5/30/13  | ZTR | Zweig Total Return Fund Inc |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | DO | P,CEO | P | 11 | 13.19 | 1 | 1 | 352 | 1 | D | 15 | 17 | 10 | 5 | 5 | 0 | -2 | -1 | 0 | 0 | -2 | -1 | 8 | 16 | 
5/31/13 08:26  | 5/30/13  | ZF | Zweig Fund Inc /md/ | MD | Fund | CEF | Closed-End Funds | Aylward George R | CT | DO | P,CEO | P | 11 | 13.34 | 1 | 1 | 352 | 1 | D | 16 | 19 | 13 | 7 | 7 | 1 | -1 | 0 | -1 | -2 | -4 | 0 | 13 | 24 | 
5/31/13 08:25  | 5/30/13  | DPG | Duff & Phelps Global Utility Income Fund Inc. |  | Fund | CEF | Closed-End Funds | Aylward George R | CT | H | Director | P | 23 | 19.30 | 3 | 1 | New | 1 | D |  | 20 | 14 | 6 | -1 | -5 | -4 | -3 | -1 | -4 | -1 | -4 | 3 | 19 | 
8/5/11 17:41  | 8/5/11  | VRTS | Virtus Investment Partners, Inc. | DE | Financ | InvAdv | Investment Advice | Aylward George R | CT | DO | P,CEO,Di | P | 51 | 67.62 | 3 | 1 | 1 | 103 | D | 382 | 163 | 34 | 29 | 25 | 1 | -10 | -9 | -15 | -6 | -13 | -11 | 21 | 24 | 
5/15/09 19:33  | 5/15/09  | VRTS | Virtus Investment Partners, Inc. | DE | Financ | InvAdv | Investment Advice | Aylward George R Jr | CT | DO | P,CEO,Di | P | 100 | 13.67 | 1 | 7 | 20 | 43 | D |  |  |  | 120 | 118 | 50 | 29 | 0 | 8 | 15 | 14 | 15 | 22 | 77 | 
3/6/07 11:39  | 3/5/07  | ZTR | Zweig Total Return Fund Inc |  | Fund | CEF | Closed-End Funds | Aylward George R Jr | CT | DOH | P | P | 5 | 5.56 | 0 | 1 | New | 1 | D | 28 | 25 | 10 | -2 | -2 | -3 | -5 | -5 | 2 | 3 | 7 | -4 | -9 | -5 | 
3/6/07 11:25  | 3/5/07  | ZF | Zweig Fund Inc /md/ | MD | Fund | CEF | Closed-End Funds | Aylward George R Jr | CT | DOH | P | P | 5 | 5.60 | 0 | 1 | New | 1 | D | 27 | 15 | 13 | 2 | -4 | -8 | -9 | -6 | 5 | 5 | 8 | 11 | -5 | -7 | 
11/10/03 12:23  | 11/7/03  | PNX | Phoenix Companies Inc/de | DE | Insur | LfIns | Life Insurance | Aylward George R Jr | CT | O | VP | P | 11 | 10.92 | 0 | 1 | 46 | 3 | D |  |  | 38 | 13 | -8 | -2 | -2 | -1 | 0 | 3 | 4 | 27 | 8 | 4 | 
8/6/03 16:39  | 8/5/03  | PNX | Phoenix Companies Inc/de | DE | Insur | LfIns | Life Insurance | Aylward George R Jr | CT | O | VP | P | 18 | 8.98 | 0 | 2 | 999% | 2 | D |  |  | 13 | 13 | -5 | -11 | -12 | -6 | 4 | 11 | 30 | 27 | 40 | 17 |