-----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, P2AphJse+dqujKLzIemZ3FqdBXjWaJHETIm5w+pIxDqI/JDc+Kdy2jqeh7fz4hGN qhtodP9jwJeRs20n4xphSw== 0001356223-09-000026.txt : 20091110 0001356223-09-000026.hdr.sgml : 20091110 20091110120304 ACCESSION NUMBER: 0001356223-09-000026 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091110 DATE AS OF CHANGE: 20091110 EFFECTIVENESS DATE: 20091110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Relative Value Partners, LLC CENTRAL INDEX KEY: 0001356223 IRS NUMBER: 201026469 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12229 FILM NUMBER: 091170963 BUSINESS ADDRESS: STREET 1: 1033 SKOKIE BOULEVARD STREET 2: SUITE 150 CITY: NORTHBROOK STATE: IL ZIP: 60062 BUSINESS PHONE: (847) 513-6300 MAIL ADDRESS: STREET 1: 1033 SKOKIE BOULEVARD STREET 2: SUITE 150 CITY: NORTHBROOK STATE: IL ZIP: 60062 13F-HR 1 rvp3rd09form13f.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: SEPTEMBER 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: RELATIVE VALUE PARTNERS, LLC ----------------------------------------------------- Address: 1033 SKOKIE BLVD., SUITE 470, NORTHBROOK, IL 60062 ----------------------------------------------------- Form 13F File Number: 028-12229 --------- 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: MAURY FERTIG ------------------------- Title: MANAGING MEMBER ------------------------- Phone: 847-513-6300 ------------------------- Signature, Place, and Date of Signing: /s/ MAURY FERTIG NORTHBROOK, IL 11/6/2009 - --------------------- -------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------ Form 13F Information Table Entry Total: 91 ------------ Form 13F Information Table Value Total: 265,419 ------------ (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment 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 - --------------------------- -------------- --------- --------- ------- --- ---- ------- -------- ---------------- ADVENT CLAYMORE CV SECS & IN COM 00764C109 357 24266 SH SOLE NONE 24266 ADVENT CLAYMORE ENH GRW& IN COM 00765E104 191 17646 SH SOLE NONE 17646 ALTRIA GROUP INC COM 02209S103 203 11376 SH SOLE NONE 11376 AMCORE FINL INC COM 023912108 48 30900 SH SOLE NONE 30900 ANTHRACITE CAP INC COM 037023108 18 18420 SH SOLE NONE 18420 AUTOMATIC DATA PROCESSING IN COM 053015103 275 7000 SH SOLE NONE 7000 BANCROFT FUND LTD COM 059695106 2190 150270 SH SOLE NONE 150270 BANK OF AMERICA CORP COM 060505104 537 31515 SH SOLE NONE 31515 BECTON DICKINSON & CO COM 075887109 279 4000 SH SOLE NONE 4000 BERKSHIRE HATHAWAY INC DEL CL B 084670207 452 136 SH SOLE NONE 136 BLACKROCK BROAD INVT GRD 200 COM 09247Q106 511 41403 SH SOLE NONE 41403 BLACKROCK DEFINED OPPRTY CR COM 09255Q105 983 84012 SH SOLE NONE 84012 BLACKROCK DIVID ACHIEVRS TM COM 09250N107 119 14200 SH SOLE NONE 14200 BLACKROCK INSD MUN TERM TR COM 092474105 8221 791983 SH SOLE NONE 791983 BLACKROCK MUNIHLDNGS INS INV COM 09254P108 3035 231840 SH SOLE NONE 231840 BLACKROCK MUNIYIELD QUALITY COM 09254G108 151 12600 SH SOLE NONE 12600 BLACKROCK REAL ASSET EQUITY COM 09254B109 191 17000 SH SOLE NONE 17000 CHEVRON CORP NEW COM 166764100 1255 17818 SH SOLE NONE 17818 CITIGROUP INC COM 172967101 784 162020 SH SOLE NONE 162020 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 4811 379432 SH SOLE NONE 379432 COHEN STEERS ADV INC RLTY COM 19247W102 106 18319 SH SOLE NONE 18319 CONOCOPHILLIPS COM 20825C104 623 13800 SH SOLE NONE 13800 DUKE ENERGY CORP NEW COM 26441C105 170 10780 SH SOLE NONE 10780 DWS GLOBAL COMMODITIES STK COM 23338Y100 6380 810657 SH SOLE NONE 810657 E TRADE FINANCIAL CORP COM 269246104 175 100000 SH SOLE NONE 100000 EATON VANCE CR OPPORTUNIT FD COM 278271101 422 50487 SH SOLE NONE 50487 EATON VANCE DUR INCOME FD COM 27828H105 3953 267259 SH SOLE NONE 267259 EATON VANCE NATL MUN OPPORT COM SHS 27829L105 288 14500 SH SOLE NONE 14500 ELLSWORTH FUND LTD COM 289074106 8445 1370724 SH SOLE NONE 1370724 EXXON MOBIL CORP COM 30231G102 1112 16202 SH SOLE NONE 16202 FIRST TR/FOUR CRNRS SR FLOAT COM 33733U108 1339 120854 SH SOLE NONE 120854 GABELLI GLOBAL DEAL FD COM SBI 36245G103 12531 844397 SH SOLE NONE 844397 INSURED MUN INCOME FD COM 45809F104 401 28345 SH SOLE NONE 28345 ISHARES TR INDEX BARCLYS USAGG B 464287226 790 7525 SH SOLE NONE 7525 ISHARES TR INDEX BARCLYS 1-3 YR 464287457 4979 59262 SH SOLE NONE 59262 ISHARES TR INDEX MSCI EMERG MKT 464287234 290 7435 SH SOLE NONE 7435 ISHARES TR INDEX MSCI EAFE IDX 464287465 565 10324 SH SOLE NONE 10324 ISHARES TR INDEX RUSSELL 2000 464287655 5750 95447 SH SOLE NONE 95447 ISHARES TR INDEX S&P 100 IDX FD 464287101 290 5944 SH SOLE NONE 5944 JOHN BEAN TECHNOLOGIES CORP COM 477839104 272 15000 SH SOLE NONE 15000 JOHNSON & JOHNSON COM 478160104 771 12664 SH SOLE NONE 12664 JPMORGAN CHASE & CO COM 46625H100 325 7425 SH SOLE NONE 7425 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 13160 3111173 SH SOLE NONE 3111173 LILLY ELI & CO COM 532457108 330 10000 SH SOLE NONE 10000 LINCOLN NATL CORP IND COM 534187109 289 11166 SH SOLE NONE 11166 LMP CAP & INCOME FD INC COM 50208A102 9824 1023360 SH SOLE NONE 1023360 LOCKHEED MARTIN CORP COM 539830109 273 3500 SH SOLE NONE 3500 LOEWS CORP COM 540424108 1026 30200 SH SOLE NONE 30200 MBIA CAP CLAYMORE MNG DUR COM 55266X100 1124 85022 SH SOLE NONE 85022 MCDONALDS CORP COM 580135101 257 4500 SH SOLE NONE 4500 MFS CHARTER INCOME TR SH BEN INT 552727109 3523 391423 SH SOLE NONE 391423 MFS INTER INCOME TR SH BEN INT 55273C107 17206 2508195 SH SOLE NONE 2508195 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 9016 1424382 SH SOLE NONE 1424382 MICROSOFT CORP COM 594918104 322 12500 SH SOLE NONE 12500 MOLINA HEALTHCARE INC COM 60855R100 207 10000 SH SOLE NONE 10000 MONSANTO CO NEW COM 61166W101 313 4040 SH SOLE NONE 4040 NEUBERGER BERMAN DIV ADVANT COM 64127J102 147 15131 SH SOLE NONE 15131 NEUBERGER BERMAN INTER MUNI COM 64124P101 339 25245 SH SOLE NONE 25245 NEW GERMANY FD INC COM 644465106 127 10638 SH SOLE NONE 10638 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 14161 1056764 SH SOLE NONE 1056764 NUVEEN CORE EQUITY ALPHA FUND COM 67090X107 1845 166793 SH SOLE NONE 166793 NUVEEN EQTY PRM OPPORUNTY FD COM 6706EM102 7805 625379 SH SOLE NONE 625379 NUVEEN FLA QUALITY INCOME MU COM 670978105 5472 411754 SH SOLE NONE 411754 NUVEEN FLOATING RATE INCOME COM 67072T108 575 60805 SH SOLE NONE 60805 NUVEEN INSD DIVID ADVANTAGE COM 67071L106 503 35078 SH SOLE NONE 35078 NUVEEN INSD PREM INCOME MUN COM 6706D8104 131 10500 SH SOLE NONE 10500 NUVEEN MULTI STRAT INC GR FD COM SHS 67073D102 3623 502427 SH SOLE NONE 502427 NUVEEN NY SELECT QUALITY MUN COM 670976109 310 22517 SH SOLE NONE 22517 PATRIOT CAPITAL FUNDING INC COM 70335Y104 45 11000 SH SOLE NONE 11000 PROSHARES TR PSHS ULSHT SP500 74347R883 3341 82714 SH SOLE NONE 82714 PROVIDENT ENERGY TR TR UNIT 74386K104 60 10500 SH SOLE NONE 10500 PUTNAM MANAGED MUN INCM TR COM 746823103 265 38722 SH SOLE NONE 38722 PUTNAM MUN OPPORTUNITES TR SH BEN INT 746922103 11082 965308 SH SOLE NONE 965308 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 10821 1849798 SH SOLE NONE 1849798 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 9338 447432 SH SOLE NONE 447432 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 7582 140623 SH SOLE NONE 140623 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 245 8400 SH SOLE NONE 8400 SPDR SERIES TRUST BRCLYS MUNI ETF 78464A458 234 10081 SH SOLE NONE 10081 SUNAMERICA FCSED ALPHA GRW COM 867037103 9755 808168 SH SOLE NONE 808168 SUNAMERICA FOCUSE ALPHA LC COM 867038101 3027 249704 SH SOLE NONE 249704 SUPERVALU INC COM 868536103 167 11100 SH SOLE NONE 11100 UNITED STATES OIL FUND LP LP UNITS 91232N108 290 8000 SH SOLE NONE 8000 VANGUARD INDEX FDS STK MRK ETF 922908769 16485 307613 SH SOLE NONE 307613 VERIZON COMMUNICATIONS INC COM 92343V104 1224 40426 SH SOLE NONE 40426 WAL MART STORES INC COM 931142103 530 10800 SH SOLE NONE 10800 WESTERN ASSET CLYM INFL OPP COM 95766R104 258 21700 SH SOLE NONE 21700 WESTERN ASSET EMRG MKT DEBT COM 95766A101 9291 538280 SH SOLE NONE 538280 WESTERN ASSET INTM MUNI FD COM 958435109 2205 243407 SH SOLE NONE 243407 WYETH COM 983024100 234 4830 SH SOLE NONE 4830 ZWEIG FD COM 989834106 4424 1378316 SH SOLE NONE 1378316 ZWEIG TOTAL RETURN FD INC COM 989837109 8021 2126457 SH SOLE NONE 2126457
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