0001286207-13-000002.txt : 20130214 0001286207-13-000002.hdr.sgml : 20130214 20130214161453 ACCESSION NUMBER: 0001286207-13-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 EFFECTIVENESS DATE: 20130214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WESTERN INVESTMENT LLC CENTRAL INDEX KEY: 0001286207 IRS NUMBER: 870623442 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10869 FILM NUMBER: 13614000 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 wi4q12.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: 12/31/2012 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: 028-10869 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: /s/Arthur Lipson Salt Lake City, UT February 14, 2013 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 Form 13F Information Table Entry Total: 34 Form 13F Information Table Value Total: $39,808 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADVENT CLAY CONV SEC INC FD COM 007639107 90 13900 SH Sole 13900 0 0 AG MTG INVT TR INC COM 001228105 352 15000 SH Sole 15000 0 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 40 10000 SH Sole 10000 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 289 10000 SH Sole 10000 0 0 ANWORTH MORTGAGE ASSET CP COM 037347101 83 14300 SH Sole 14300 0 0 BLACKROCK CREDIT ALL INC TR COM 092508100 2405 175156 SH Sole 175156 0 0 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 81 11000 SH Sole 11000 0 0 BOULDER GROWTH & INCOME FD I COM 101507101 70 11100 SH Sole 11100 0 0 CENTRAL SECS CORP COM 155123102 316 15809 SH Sole 15809 0 0 CLOUGH GLOBAL EQUITY FD COM 18914C100 175 13465 SH Sole 13465 0 0 CORNERSTONE STRATEGIC VALUE COM NEW 21924B203 264 44036 SH Sole 44036 0 0 CREXUS INVT CORP COM 226553105 196 16000 SH Sole 16000 0 0 CUSHING RENAISSANCE FD COM 231647108 379 16682 SH Sole 16682 0 0 DYNEX CAP INC COM NEW 26817Q506 357 37800 SH Sole 37800 0 0 EATON VANCE ENHANCED EQ INC COM 278274105 652 61159 SH Sole 61159 0 0 EATON VANCE RISK MNGD DIV EQ COM 27829G106 7960 763152 SH Sole 763152 0 0 EATON VANCE TAX MNGD GBL DV COM 27829F108 136 15438 SH Sole 15438 0 0 FULL CIRCLE CAP CORP COM 359671104 211 28358 SH Sole 28358 0 0 GABELLI DIVD & INCOME TR COM 36242H104 185 11441 SH Sole 11441 0 0 GENERAL AMERN INVS INC COM 368802104 227 8168 SH Sole 8168 0 0 GSV CAP CORP COM 36191J101 96 11400 SH Sole 11400 0 0 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 7672 402331 SH Sole 402331 0 0 MORGAN STANLEY EM MKTS DM DE COM 617477104 589 34974 SH Sole 34974 0 0 MVC CAPITAL INC COM 553829102 12865 1058860 SH Sole 1058860 0 0 NEWCASTLE INVT CORP COM 65105M108 260 30000 SH Sole 30000 0 0 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 819 63650 SH Sole 63650 0 0 OFS CAP CORP COM 67103B100 331 24213 SH Sole 24213 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 384 5900 SH Sole 5900 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 110 10100 SH Sole 10100 0 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 663 130984 SH Sole 130984 0 0 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 449 82273 SH Sole 82273 0 0 ROYCE FOCUS TR COM 78080N108 166 25106 SH Sole 25106 0 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 494 32906 SH Sole 32906 0 0 TORTOISE ENERGY INDEPENDENC COM 89148K101 442 20539 SH Sole 20539 0 0