-----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, BRzfMYttMkyh/2Ui1AlXBGLd4CIy/dMvmyhBXfq/JPc3+5TN1w+SHxwX4jKh00nJ E0M4gN07G8SFV0MaaOnBuA== 0001356223-10-000004.txt : 20100211 0001356223-10-000004.hdr.sgml : 20100211 20100211102944 ACCESSION NUMBER: 0001356223-10-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100211 DATE AS OF CHANGE: 20100211 EFFECTIVENESS DATE: 20100211 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: 10589995 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 rvp4thq09form13f.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: DECEMBER 31, 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 2/8/2010 - --------------------- -------------- ---------- [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: 78 ------------ Form 13F Information Table Value Total: 272,884 ------------ (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) RN AMT PRN CALL DSCRETN MANAGERS SOLE - --------------------------- -------------- --------- --------- ------- --- ---- ------- -------- ---------------- 3COM CORP COM 885535104 120 16000 SH SOLE NONE 16000 ADAMS EXPRESS CO COM 006212104 165 16300 SH SOLE NONE 16300 ADVENT CLAYMORE CV SECS & IN COM 00764C109 1064 68220 SH SOLE NONE 68220 AMERICAN EXPRESS CO COM 025816109 221 5448 SH SOLE NONE 5448 BANCROFT FUND LTD COM 059695106 2181 145072 SH SOLE NONE 145072 BANK OF AMERICA CORP COM 060505104 572 37990 SH SOLE NONE 37990 BERKSHIRE HATHAWAY INC DEL CL B 084670207 447 136 SH SOLE NONE 136 BLACKROCK DEFINED OPPRTY CR COM 09255Q105 820 68712 SH SOLE NONE 68712 BLACKROCK INSD MUN TERM TR COM 092474105 3640 348287 SH SOLE NONE 348287 BLACKROCK MUNIHLDNGS INS INV COM 09254P108 3149 242782 SH SOLE NONE 242782 BLACKROCK MUNIYIELD QUALITY COM 09254G108 148 12600 SH SOLE NONE 12600 BLACKROCK REAL ASSET EQUITY COM 09254B109 215 17000 SH SOLE NONE 17000 BOSTON SCIENTIFIC CORP COM 101137107 126 14000 SH SOLE NONE 14000 CHEVRON CORP NEW COM 166764100 831 10793 SH SOLE NONE 10793 CITIGROUP INC COM 172967101 437 132020 SH SOLE NONE 132020 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 7868 610904 SH SOLE NONE 610904 COHEN & STEERS QUALITY RLTY COM 19247L106 160 26280 SH SOLE NONE 26280 CVS CAREMARK CORP COM 126650100 225 7000 SH SOLE NONE 7000 DWS GLOBAL COMMODITIES STK COM 23338Y100 6293 757303 SH SOLE NONE 757303 EATON VANCE CR OPPORTUNIT FD COM 278271101 3441 368055 SH SOLE NONE 368055 EATON VANCE DUR INCOME FD COM 27828H105 4706 315825 SH SOLE NONE 315825 ELLSWORTH FUND LTD COM 289074106 8635 1318272 SH SOLE NONE 1318272 EXXON MOBIL CORP COM 30231G102 321 4702 SH SOLE NONE 4702 FIRST TR/FOUR CRNRS SR FLOAT COM 33733U108 5223 438914 SH SOLE NONE 438914 GABELLI GLOBAL DEAL FD COM SBI 36245G103 12566 872065 SH SOLE NONE 872065 INVESTMENT GRADE MUN INCOM COM 461368102 494 34966 SH SOLE NONE 34966 ISHARES TR INDEX BARCLYS USAGG B 464287226 644 6245 SH SOLE NONE 6245 ISHARES TR INDEX BARCLYS 1-3 YR 464287457 9490 114395 SH SOLE NONE 114395 ISHARES TR INDEX MSCI EAFE IDX 464287465 347 6284 SH SOLE NONE 6284 ISHARES TR INDEX MSCI EMERG MKT 464287234 309 7435 SH SOLE NONE 7435 ISHARES TR INDEX S&P 100 IDX FD 464287101 15779 306682 SH SOLE NONE 306682 JOHN BEAN TECHNOLOGIES CORP COM 477839104 255 15000 SH SOLE NONE 15000 JOHNSON & JOHNSON COM 478160104 365 5664 SH SOLE NONE 5664 JPMORGAN CHASE & CO COM 46625H100 411 9875 SH SOLE NONE 9875 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 16540 3819919 SH SOLE NONE 3819919 LINCOLN NATL CORP IND COM 534187109 278 11166 SH SOLE NONE 11166 LMP CAP & INCOME FD INC COM 50208A102 13617 1315643 SH SOLE NONE 1315643 LOEWS CORP COM 540424108 1025 28200 SH SOLE NONE 28200 MFS CHARTER INCOME TR SH BEN INT 552727109 408 44396 SH SOLE NONE 44396 MFS INTER INCOME TR SH BEN INT 55273C107 7742 1155519 SH SOLE NONE 1155519 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 14062 2163340 SH SOLE NONE 2163340 MICROSOFT CORP COM 594918104 366 12000 SH SOLE NONE 12000 MONMOUTH REAL ESTATE INVT CO CL A 609720107 111 15000 SH SOLE NONE 15000 MORGAN STANLEY ASIA PAC FD I COM 61744U106 184 12556 SH SOLE NONE 12556 MORGAN STANLEY HIGH YIELD FD COM 61744M104 371 66638 SH SOLE NONE 66638 NEUBERGER BERMAN INTER MUNI COM 64124P101 338 25208 SH SOLE NONE 25208 NEW GERMANY FD INC COM 644465106 128 10638 SH SOLE NONE 10638 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 19548 1325255 SH SOLE NONE 1325255 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 1089 89176 SH SOLE NONE 89176 NUVEEN FLOATING RATE INCOME COM 67072T108 540 52204 SH SOLE NONE 52204 NUVEEN INSD DIVID ADVANTAGE COM 67071L106 354 24769 SH SOLE NONE 24769 NUVEEN INSD PREM INCOME MUN COM 6706D8104 142 11523 SH SOLE NONE 11523 NUVEEN MULT CURR ST GV INCM COM 67090N109 274 17800 SH SOLE NONE 17800 NUVEEN MULTI STRAT INC GR FD COM SHS 67073D102 8333 1083472 SH SOLE NONE 1083472 NUVEEN NY SELECT QUALITY MUN COM 670976109 305 22517 SH SOLE NONE 22517 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 5765 432514 SH SOLE NONE 432514 PFIZER INC COM 717081103 424 23292 SH SOLE NONE 23292 PROSHARES TR PSHS ULSHT SP500 74347R883 3885 110852 SH SOLE NONE 110852 PROVIDENT ENERGY TR TR UNIT 74386K104 71 10500 SH SOLE NONE 10500 PUTNAM MANAGED MUN INCM TR COM 746823103 185 27863 SH SOLE NONE 27863 PUTNAM MUN OPPORTUNITES TR SH BEN INT 746922103 10365 931233 SH SOLE NONE 931233 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 7426 1211445 SH SOLE NONE 1211445 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 7626 133766 SH SOLE NONE 133766 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 10369 452182 SH SOLE NONE 452182 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 292 9400 SH SOLE NONE 9400 SPDR SERIES TRUST BRCLYS SHRT ETF 78464A425 1772 73789 SH SOLE NONE 73789 SUNAMERICA FCSED ALPHA GRW COM 867037103 11279 822658 SH SOLE NONE 822658 SUNAMERICA FOCUSE ALPHA LC COM 867038101 3541 259042 SH SOLE NONE 259042 UNITED STATES OIL FUND LP UNITS 91232N108 314 8000 SH SOLE NONE 8000 VAN KAMPEN SENIOR INCOME TR COM 920961109 42 10000 SH SOLE NONE 10000 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 3338 42473 SH SOLE NONE 42473 VERIZON COMMUNICATIONS INC COM 92343V104 299 9026 SH SOLE NONE 9026 WAL MART STORES INC COM 931142103 257 4800 SH SOLE NONE 4800 WESTERN ASSET CLYM INFL OPP COM 95766R104 141 11700 SH SOLE NONE 11700 WESTERN ASSET EMRG MKT DEBT COM 95766A101 9057 521735 SH SOLE NONE 521735 WESTERN ASSET INTM MUNI FD COM 958435109 2184 243987 SH SOLE NONE 243987 ZWEIG FD COM 989834106 8458 2555351 SH SOLE NONE 2555351 ZWEIG TOTAL RETURN FD INC COM 989837109 8372 2141060 SH SOLE NONE 2141060
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