-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Gwv9YEImyBQ4USD0/Gb+e2xgmmjQEBInScMs9EmqkILMKzkhggrERliLssWShwSI 5/QRqntVdYvrBw1vLHWyXg== 0001286207-09-000011.txt : 20090814 0001286207-09-000011.hdr.sgml : 20090814 20090814161938 ACCESSION NUMBER: 0001286207-09-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WESTERN INVESTMENT LLC CENTRAL INDEX KEY: 0001286207 IRS NUMBER: 870623442 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10869 FILM NUMBER: 091016107 BUSINESS ADDRESS: STREET 1: 7050 S. UNION PARK CENTER, SUITE 590 CITY: MIDVALE STATE: UT ZIP: 84047 BUSINESS PHONE: 801-568-1400 MAIL ADDRESS: STREET 1: 7050 S. UNION PARK CENTER, SUITE 590 CITY: MIDVALE STATE: UT ZIP: 84047 13F-HR 1 wi2q09.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Western Investment LLC Address: 7050 South Union Park Center, Ste 590 Midvale, UT 84047 13F File Number: 28-10869 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Arthur Lipson Title: Managing Member Phone: 801-568-1400 Signature, Place, and Date of Signing: Arthur Lipson Salt Lake City, UT August 14, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 88 Form13F Information Table Value Total: $178,646 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 40 / 86 STRATEGIC INCOME FD SH BEN INT 349739102 110 15677 SH Sole 15677 0 0 ADVENT CLAYMORE CV SECS & IN COM 00764C109 752 62600 SH Sole 62600 0 0 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 110 12100 SH Sole 12100 0 0 ANTHRACITE CAP INC COM 037023108 16 25300 SH Sole 25300 0 0 BARCLAYS BK PLC IPMS INDIA ETN 06739F291 1596 32600 SH Sole 32600 0 0 BLACKROCK MUNIHLDGS INS INV COM 09254P108 5963 524932 SH Sole 524932 0 0 BLACKROCK MUNIYIELD INS INV COM 09254T100 448 39923 SH Sole 39923 0 0 BLACKROCK MUNIYIELD PA INSD COM 09255G107 407 33109 SH Sole 33109 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254G108 111 10730 SH Sole 10730 0 0 BLACKROCK REAL ASSET EQUITY COM 09254B109 6383 716344 SH Sole 716344 0 0 BLACKROCK WORLD INVT TR COM SHS BN INT 09250K103 706 71625 SH Sole 71625 0 0 CALAMOS GBL DYN INCOME FUND COM 12811L107 367 52524 SH Sole 52524 0 0 CAPLEASE INC COM 140288101 327 118600 SH Sole 118600 0 0 CHIMERA INVT CORP COM 16934Q109 733 210000 SH Sole 210000 0 0 CLOUGH GLOBAL EQUITY FD COM 18914C100 612 52272 SH Sole 52272 0 0 COHEN & STEERS ADV INC RLTY COM 19247W102 278 76500 SH Sole 76500 0 0 COHEN & STEERS DIV MJRS FDIN COM 19248G106 115 13400 SH Sole 13400 0 0 COHEN & STEERS REIT & UTIL I COM 19247Y108 23544 3302157 SH Sole 3302157 0 0 DELAWARE ENHANCED GBL DIV & COM 246060107 142 15932 SH Sole 15932 0 0 DIAMOND HILL FINL TRNDS FD I COM 25264C101 263 41987 SH Sole 41987 0 0 DWS DREMAN VAL INCOME EDGE F COM 23339M105 613 139344 SH Sole 139344 0 0 DWS GLOBAL COMMODITIES STK F COM 23338Y100 15044 2121839 SH Sole 2121839 0 0 DWS RREEF REAL ESTATE FD II COM 23338X102 13 23900 SH Sole 23900 0 0 DYNEX CAP INC COM NEW 26817Q506 8433 1028471 SH Sole 1028471 0 0 DYNEX CAP INC PFD D 9.50% 26817Q605 1679 171901 SH Sole 171901 0 0 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 290 30158 SH Sole 30158 0 0 EATON VANCE TX ADV GLBL DIV COM 27828S101 458 42700 SH Sole 42700 0 0 EATON VANCE TX MNG BY WRT OP COM 27828Y108 285 22495 SH Sole 22495 0 0 EVERGREEN INTL BALANCED INCO COM 30024R109 1104 88073 SH Sole 88073 0 0 EVERGREEN MULTI SECT INC FUN COM SHS 30024Y104 307 24905 SH Sole 24905 0 0 FIRST TR/FOUR CRNRS SR FLOAT COM 33733U108 309 31436 SH Sole 31436 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 253 41667 SH Sole 41667 0 0 GABELLI GLOBAL MULTIMEDIA TR COM 36239Q109 288 63919 SH Sole 63919 0 0 GABELLI HLTHCARE & WELLNESS SHS 36246K103 151 29669 SH Sole 29669 0 0 GLOBAL INCOME&CURRENCY FD IN COM 378968101 687 49555 SH Sole 49555 0 0 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 205 10000 SH Sole 10000 0 0 H & Q LIFE SCIENCES INVS SH BEN INT 404053100 2760 318002 SH Sole 318002 0 0 HELIOS MULTI SEC HI INC FD I COM 42327Y103 11 12943 SH Sole 12943 0 0 INDIA FD INC COM 454089103 6829 219500 SH Sole 219500 0 0 INSURED MUN INCOME FD COM 45809F104 9923 806721 SH Sole 806721 0 0 INVESTMENT GRADE MUN INCOME COM 461368102 7468 603729 SH Sole 603729 0 0 LAZARD GLB TTL RET&INCM FD I COM 52106W103 170 13900 SH Sole 13900 0 0 LAZARD WORLD DIVID & INCOME COM 521076109 252 28435 SH Sole 28435 0 0 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 57 16546 SH Sole 16546 0 0 LIBERTY ALL-STAR GROWTH FD I COM 529900102 67 24500 SH Sole 24500 0 0 LMP CAP & INCOME FD INC COM 50208A102 409 47600 SH Sole 47600 0 0 LMP CORPORATE LN FD INC COM 50208B100 418 50996 SH Sole 50996 0 0 MBIA CAP CLAYMORE MNG DUR IN COM 55266X100 7581 689211 SH Sole 689211 0 0 MCG CAPITAL CORP COM 58047P107 2089 859704 SH Sole 859704 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 916 28920 SH Sole 28920 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 137 16580 SH Sole 16580 0 0 MORGAN STANLEY GBL OPP BOND COM 61744R103 131 22667 SH Sole 22667 0 0 MORGAN STANLEY INDIA INVS FD COM 61745C105 1045 49200 SH Sole 49200 0 0 MVC CAPITAL INC COM 553829102 12985 1534864 SH Sole 1534864 0 0 NEUBERGER BERMAN CA INT MUN COM 64123C101 2220 185041 SH Sole 185041 0 0 NEUBERGER BERMAN DIV ADVANT COM 64127J102 2615 348606 SH Sole 348606 0 0 NEUBERGER BERMAN HGH YLD FD COM 64128C106 1083 117413 SH Sole 117413 0 0 NEUBERGER BERMAN INCOME OPP COM SHS 64126L108 4272 934770 SH Sole 934770 0 0 NEUBERGER BERMAN NY INT MUN COM 64124K102 1378 114339 SH Sole 114339 0 0 NEW YORK MTG TR INC COM PAR $.02 649604501 328 63500 SH Sole 63500 0 0 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 881 74400 SH Sole 74400 0 0 NICHOLAS APPLEGATE GLBL EQ C COM 65370L108 736 64241 SH Sole 64241 0 0 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 671 69081 SH Sole 69081 0 0 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 1269 176700 SH Sole 176700 0 0 NUVEEN EQUITY PREM ADV FD COM 6706ET107 616 55700 SH Sole 55700 0 0 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 256 23900 SH Sole 23900 0 0 NUVEEN FLA INVT QUALITY MUN COM 670970102 7539 649935 SH Sole 649935 0 0 NUVEEN FLA QUALITY INCOME MU COM 670978105 10663 882703 SH Sole 882703 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 242 31590 SH Sole 31590 0 0 NUVEEN INS FL TX FR ADV MUN COM 670655109 952 79349 SH Sole 79349 0 0 NUVEEN INSD FLA PREM INCOME COM 67101V108 5970 480705 SH Sole 480705 0 0 NUVEEN MULT CURR ST GV INCM COM 67090N109 674 44789 SH Sole 44789 0 0 NUVEEN MULTI STRAT INC & GR COM 67073B106 876 156485 SH Sole 156485 0 0 NUVEEN MULTI STRAT INC GR FD COM SHS 67073D102 1267 220710 SH Sole 220710 0 0 NUVEEN PA INVT QUALITY MUN F COM 670972108 171 14616 SH Sole 14616 0 0 NUVEEN PA PREM INCOME MUN FD COM 67061F101 390 35544 SH Sole 35544 0 0 NUVEEN PREMIER MUN INCOME FD COM 670988104 184 15674 SH Sole 15674 0 0 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 801 87489 SH Sole 87489 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 1248 126662 SH Sole 126662 0 0 ROYCE MICRO-CAP TR INC COM 780915104 76 12629 SH Sole 12629 0 0 ROYCE VALUE TR INC COM 780910105 132 15674 SH Sole 15674 0 0 TS&W CLAYMORE TAX ADVNTG BL COM 87280R108 1510 190600 SH Sole 190600 0 0 WESTERN ASSET EMRG MKT INCM COM 95766E103 246 24163 SH Sole 24163 0 0 WESTERN ASSET VAR RT STRG FD COM 957667108 951 78990 SH Sole 78990 0 0 WESTERN ASST MN PRT FD INC COM 95766P108 1209 100294 SH Sole 100294 0 0 WESTERN AST EMRG MKT FLT RT COM 95766C107 168 17649 SH Sole 17649 0 0 ZWEIG FD COM 989834106 451 158864 SH Sole 158864 0 0 ZWEIG TOTAL RETURN FD INC COM 989837109 251 74847 SH Sole 74847 0 0
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