0001356223-13-000002.txt : 20130214 0001356223-13-000002.hdr.sgml : 20130214 20130214120351 ACCESSION NUMBER: 0001356223-13-000002 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: 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: 13608687 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 rvp13f4q12.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, 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: 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 2/14/2012 --------------------- -------------- ---------- [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: 83 ------------ Form 13F Information Table Value Total: 542,242 ------------ (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 --------------------------- --------------- --------- --------- ------- --- ---- ------- -------- ---------------- AGIC Equity & Conv Income FD COM 00119P102 4553 273593 SH SOLE NONE 273593 ALEXCO RESOURCE CORP COM 01535P106 55 15500 SH SOLE NONE 15500 ALLIANCEBERNSTEIN INCOME FD COM 01881E101 34802 4296564 SH SOLE NONE 4296564 ALPS ETF TR ALERIAN MLP 00162Q866 13317 834930 SH SOLE NONE 834930 BANK OF AMERICA CORP COM 060505104 212 18226 SH SOLE NONE 18226 BLACKROCK ENH CAP & INC FD COM 09256A109 3305 266095 SH SOLE NONE 266095 BLACKROCK ENHANCED EQT DIVID COM 09251A104 17209 2396759 SH SOLE NONE 2396759 BLACKROCK GLOBAL OP EQTY TR COM 092501105 9057 686138 SH SOLE NONE 686138 BLACKROCK INTL GROWTH & INC COM BENE INTER 092524107 670 91148 SH SOLE NONE 91148 BLACKROCK CREDIT ALL INC TR COM 092508100 39727 2893474 SH SOLE NONE 2893474 CALAMOS CONV & HIGH INCOME COM SHS 12811P108 243 20000 SH SOLE NONE 20000 CFS BANCORP INC COM 12525D102 129 20510 SH SOLE NONE 20510 CHEVRON CORP NEW COM 166764100 433 4000 SH SOLE NONE 4000 CITIGROUP INC COM NEW 172967424 317 8024 SH SOLE NONE 8024 CLOUGH GLOBAL OPPS FD SH BEN INT 18914E106 1795 152885 SH SOLE NONE 152885 COHEN & STEERS INFRASTRUCTUR COM 19248A109 189 10095 SH SOLE NONE 10095 EATON VANCE ENHANCED EQ INC COM 278274105 662 62090 SH SOLE NONE 62090 EATON VANCE RISK MNGD DIV EQ COM 27829G106 26004 2493224 SH SOLE NONE 2493224 EATON VANCE SH TM DR DIVR IN COM 27828V104 634 36634 SH SOLE NONE 36634 EATON VANCE TX MGD DIV EQ IN COM 27828N102 35385 3776454 SH SOLE NONE 3776454 EATON VANCE TX MNG BY WRT OP COM 27828Y108 17928 1434256 SH SOLE NONE 1434256 EATON VANCE TXMGD GL BUYWR COM 27829C105 516 48260 SH SOLE NONE 48260 EATON VANCE TAX MNGD GBL DV COM 27829F108 15904 1805187 SH SOLE NONE 1805187 ELLSWORTH FUND LTD COM 289074106 2248 314816 SH SOLE NONE 314816 GDL FUND COM SH BEN IT 361570104 314 27485 SH SOLE NONE 27485 GENERAL ELECTRIC CO COM 369604103 201 9559 SH SOLE NONE 10059 GUGGENHEIM ENHANCED EQUITY COM 40167K100 4335 260177 SH SOLE NONE 260177 GULF RESOURCES INC COM PAR $0.0005 40251W309 18 15400 SH SOLE NONE 15400 INTEL CORP COM 458140100 481 23308 SH SOLE NONE 23308 INTERVEST BANCSHARES CORP COM 460927106 82 21100 SH SOLE NONE 21100 ISHARES TR BARCLYS 7-10 YR 464287440 7986 74299 SH SOLE NONE 74299 ISHARES TR IBOXX INV CPBD 464287242 407 3368 SH SOLE NONE 3368 ISHARES TR MSCI GLB GOLD 464286335 6834 354238 SH SOLE NONE 354238 ISHARES TR MSCI JAPAN 464286848 190 19484 SH SOLE NONE 19484 ISHARES TR BARCLYS SH TREA 464288679 4238 38439 SH SOLE NONE 38439 ISHARES TR S&P 100 IDX FD 464287101 44781 692234 SH SOLE NONE 692234 JOHNSON & JOHNSON COM 478160104 359 5120 SH SOLE NONE 5120 JPMORGAN CHASE & CO COM 46625H100 242 5500 SH SOLE NONE 5500 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 20214 4237676 SH SOLE NONE 4237676 LIBERTY ALL-STAR GROWTH FD COM 529900102 302 74409 SH SOLE NONE 74409 LOEWS CORP COM 540424108 701 17200 SH SOLE NONE 17200 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 2259 118450 SH SOLE NONE 118450 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 308 6650 SH SOLE NONE 6650 MERCK & CO INC NEW COM 58933Y105 266 6500 SH SOLE NONE 6500 MFS CHARTER INCOME TR SH BEN INT 552727109 198 19564 SH SOLE NONE 19564 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 7436 1021456 SH SOLE NONE 1021456 MICROSOFT CORP COM 594918104 401 15000 SH SOLE NONE 15000 MORGAN STANLEY ASIA PAC FD COM 61744U106 386 25778 SH SOLE NONE 25778 NEW GERMANY FD INC COM 644465106 245 15710 SH SOLE NONE 15710 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 2359 151204 SH SOLE NONE 151204 NUVEEN EQUITY PREM ADV FD COM 6706ET107 3399 285630 SH SOLE NONE 285630 NUVEEN EQUITY PREM & GROWTH COM 6706EW100 3208 248101 SH SOLE NONE 248101 NUVEEN EQTY PRM OPPORTUNITYF COM 6706EM102 6072 503062 SH SOLE NONE 503062 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 5202 439757 SH SOLE NONE 439757 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 261 20265 SH SOLE NONE 20265 NUVEEN PFD & CONV INCOME FD 2 COM SHS 67073D102 20444 2118527 SH SOLE NONE 2118527 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 143 14725 SH SOLE NONE 14725 OMNIAMERICAN BANCORP INC COM 68216R107 526 22750 SH SOLE NONE 14725 PFIZER INC COM 717081103 322 12850 SH SOLE NONE 12850 POLONIA BACORP INC MD COM 73158Q109 470 58366 SH SOLE NONE 58366 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 13875 555425 SH SOLE NONE 555425 PROSHARES TR PSHS ULSHT SP500 74347B300 4226 78103 SH SOLE NONE 78103 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 531 41000 SH SOLE NONE 41000 ROYCE VALUE TR INC COM 780910105 26318 1961093 SH SOLE NONE 1961093 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 349 10000 SH SOLE NONE 10000 SONDE RES CORP COM 835426107 30 18100 SH SOLE NONE 18100 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 252 7280 SH SOLE NONE 7280 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 1007 21978 SH SOLE NONE 21978 SPECIAL OPPORTUNITIES FD INC COM 84741T104 19466 1296864 SH SOLE NONE 1296864 SUPERVALU INC COM 868536103 32 13000 SH SOLE NONE 13000 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 251 8714 SH SOLE NONE 8714 TRI CONTL CORP COM 895436103 25010 1558276 SH SOLE NONE 1558276 VANGUARD WORLD FDS ENERGY ETF 92204A306 211 2064 SH SOLE NONE 2064 VANGUARD WORLD FDS INF TECH ETF 92204A702 6875 99481 SH SOLE NONE 99481 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 999 11400 SH SOLE NONE 11400 VANGUARD INTL EQUITY INDEX MSCI EMR MKT ETF 922042858 216 4841 SH SOLE NONE 4841 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 24785 294949 SH SOLE NONE 294949 VANGUARD INDEX FDS TOTAL STK MKT 922908769 8414 114823 SH SOLE NONE 114823 VERIZON COMMUNICATIONS INC COM 92343V104 238 5500 SH SOLE NONE 5500 VIRTUS TOTAL RETURN FD COM 92829A103 391 101012 SH SOLE NONE 101012 WESTERN ASSET INFL MGMT FD COM 95766U107 5980 318274 SH SOLE NONE 318274 ZWEIG FD COM NEW 989834205 10619 873311 SH SOLE NONE 873311 ZWEIG TOTAL RETURN FD INC COM NEW 989837208 21283 1728922 SH SOLE NONE 1728922