Vice President

0000897101-14-000097.txt : 20140123 0000897101-14-000097.hdr.sgml : 20140123 20140123113010 ACCESSION NUMBER: 0000897101-14-000097 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140123 DATE AS OF CHANGE: 20140123 EFFECTIVENESS DATE: 20140123 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIT INVESTMENT ASSOCIATES INC CENTRAL INDEX KEY: 0000769317 IRS NUMBER: 411404829 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00180 FILM NUMBER: 14541988 BUSINESS ADDRESS: STREET 1: 3300 IDS CENTER STREET 2: 80 SOUTH EIGHTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123323223 MAIL ADDRESS: STREET 1: 3300 IDS CENTER STREET 2: 80 SOUTH EIGHTH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55402 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000769317 XXXXXXXX 12-31-2013 12-31-2013 false SIT INVESTMENT ASSOCIATES INC

3300 Ids Center 80 South Eighth Street Minneapolis MN 55402

13F HOLDINGS REPORT 028-00180 N Paul E. Rasmussen Vice President 612-331-3223 /s/ Paul E. Rasmussen Minneapolis MN 01-23-2014 1 449 5623021 1 0001086316 028-04373 SIT INVESTMENT FIXED INCOME ADVISORS INC INFORMATION TABLE 2 infotable.xml AFLAC INC COMMON 001055102 120 1800 SH SOLE 1 1800 0 0 AGCO CORP COMMON 001084102 7307 123455 SH SOLE 1 123455 0 0 ABBOTT LABORATORIES COMMON 002824100 32100 837455 SH SOLE 1 837455 0 0 AFFILIATED MANAGERS GROUP INC COMMON 008252108 12738 58735 SH SOLE 1 58735 0 0 AIR METHODS CORP COMMON 009128307 2219 38090 SH SOLE 1 38090 0 0 AIRGAS INC COMMON 009363102 1924 17200 SH SOLE 1 17200 0 0 ALASKA AIR GROUP INC COMMON 011659109 5859 79850 SH SOLE 1 79850 0 0 ALEXION PHARMACEUTICALS INC COMMON 015351109 15750 118527 SH SOLE 1 118527 0 0 ALIGN TECHNOLOGY INC COMMON 016255101 1598 27965 SH SOLE 1 27965 0 0 ALLERGAN INC COMMON 018490102 8660 77965 SH SOLE 1 77965 0 0 ALLIANZ SE - ADR DEPOSITORY RECEI 018805101 417 23025 SH SOLE 1 23025 0 0 AMAZON.COM INC COMMON 023135106 9575 24010 SH SOLE 1 24010 0 0 AMETEK INC COMMON 031100100 9754 185182 SH SOLE 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1001680 0 0 BRITISH AMER TOBACCO ADR DEPOSITORY RECEI 110448107 196 1820 SH SOLE 1 1820 0 0 BROADCOM CORP CL A 111320107 216 7300 SH SOLE 1 7300 0 0 BUFFALO WILD WINGS INC COMMON 119848109 8844 60080 SH SOLE 1 60080 0 0 CF INDUSTRIES HOLDINGS INC COMMON 125269100 9818 42128 SH SOLE 1 42128 0 0 CNOOC LTD ADR DEPOSITORY RECEI 126132109 2214 11800 SH SOLE 1 11800 0 0 CSX CORP COMMON 126408103 354 12300 SH SOLE 1 12300 0 0 CVS CAREMARK CORP COMMON 126650100 63925 893184 SH SOLE 1 893184 0 0 CALPINE CORP COMMON 131347304 1005 51500 SH SOLE 1 51500 0 0 CARRIZO OIL & GAS INC COMMON 144577103 416 9300 SH SOLE 1 9300 0 0 CASEYS GENERAL STORES INC COMMON 147528103 3340 47545 SH SOLE 1 47545 0 0 CATERPILLAR INC COMMON 149123101 27929 307555 SH SOLE 1 307555 0 0 CELGENE CORP COMMON 151020104 22561 133522 SH SOLE 1 133522 0 0 CHEVRON CORP COMMON 166764100 125335 1003400 SH SOLE 1 1003400 0 0 CHICAGO BRIDGE & IRON CO NV NY REGISTRY SHAR 167250109 9583 115260 SH SOLE 1 115260 0 0 CHIPOTLE MEXICAN GRILL INC COMMON 169656105 3090 5800 SH SOLE 1 5800 0 0 CIENA CORP COMMON 171779309 16868 704890 SH SOLE 1 704890 0 0 CITIGROUP INC COMMON 172967424 708 13592 SH SOLE 1 13592 0 0 CITRIX SYSTEMS INC COMMON 177376100 2750 43485 SH SOLE 1 43485 0 0 CLARCOR INC COMMON 179895107 3749 58255 SH SOLE 1 58255 0 0 COCA-COLA CO/THE COMMON 191216100 13155 318445 SH SOLE 1 318445 0 0 COGNIZANT TECH SOLUTIONS CL A 192446102 13776 136425 SH SOLE 1 136425 0 0 COLGATE-PALMOLIVE CO COMMON 194162103 18466 283175 SH SOLE 1 283175 0 0 COMMVAULT SYSTEMS INC COMMON 204166102 7359 98300 SH SOLE 1 98300 0 0 CONCUR TECHNOLOGIES INC COMMON 206708109 9638 93410 SH SOLE 1 93410 0 0 CONTINENTAL RESOURCES INC COMMON 212015101 11245 99940 SH SOLE 1 99940 0 0 CRANE CO COMMON 224399105 4118 61232 SH SOLE 1 61232 0 0 CREDIT SUISSE GROUP AG ADR DEPOSITORY RECEI 225401108 572 18436 SH SOLE 1 18436 0 0 CUBIST PHARMACEUTICALS INC COMMON 229678107 3873 56240 SH SOLE 1 56240 0 0 CUMMINS INC COMMON 231021106 18221 129255 SH SOLE 1 129255 0 0 DANAHER CORP COMMON 235851102 11785 152660 SH SOLE 1 152660 0 0 DEERE & CO COMMON 244199105 530 5800 SH SOLE 1 5800 0 0 DICKS SPORTING GOODS INC COMMON 253393102 18587 319910 SH SOLE 1 319910 0 0 DISCOVER FINANCIAL SERVICES COMMON 254709108 43395 775610 SH SOLE 1 775610 0 0 DOLLAR TREE INC COMMON 256746108 739 13100 SH SOLE 1 13100 0 0 DOVER CORP COMMON 260003108 191 1975 SH SOLE 1 1975 0 0 DUNKIN BRANDS GROUP INC COMMON 265504100 12110 251250 SH SOLE 1 251250 0 0 EMC CORP MASS COMMON 268648102 29872 1187745 SH SOLE 1 1187745 0 0 EBAY INC COMMON 278642103 6901 125780 SH SOLE 1 125780 0 0 ECOLAB INC COMMON 278865100 19088 183060 SH SOLE 1 183060 0 0 EMERSON ELECTRIC CO COMMON 291011104 39466 562360 SH SOLE 1 562360 0 0 FMC CORP COMMON 302491303 2815 37300 SH SOLE 1 37300 0 0 F5 NETWORKS INC COMMON 315616102 3226 35505 SH SOLE 1 35505 0 0 FRANKLIN RESOURCES INC COMMON 354613101 44226 766090 SH SOLE 1 766090 0 0 GALLAGHER ARTHUR J & CO COMMON 363576109 18906 402850 SH 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78388J106 14609 162610 SH SOLE 1 162610 0 0 SIGNATURE BANK NY COMMON 82669G104 8220 76520 SH SOLE 1 76520 0 0 SIRIUS XM HOLDINGS INC COMMON 82968B103 3532 1012150 SH SOLE 1 1012150 0 0 SKYWORKS SOLUTIONS INC COMMON 83088M102 8481 296940 SH SOLE 1 296940 0 0 SOLERA HOLDINGS INC COMMON 83421A104 4210 59495 SH SOLE 1 59495 0 0 SOUTHERN COPPER CORP COMMON 84265V105 1108 38601 SH SOLE 1 38601 0 0 STILLWATER MINING CO COMMON 86074Q102 1634 132375 SH SOLE 1 132375 0 0 SWIFT TRANSPORTATION CO COMMON 87074U101 3666 165075 SH SOLE 1 165075 0 0 SYNAPTICS INC COMMON 87157D109 6399 123515 SH SOLE 1 123515 0 0 SYNGENTA AG - ADR DEPOSITORY RECEI 87160A100 28026 350585 SH SOLE 1 350585 0 0 SYNTEL INC COMMON 87162H103 6905 75920 SH SOLE 1 75920 0 0 TW TELECOM INC COMMON 87311L104 3127 102640 SH SOLE 1 102640 0 0 TELEF BRASIL ADR DEPOSITORY RECEI 87936R106 1185 61650 SH SOLE 1 61650 0 0 TENARIS S A ADR DEPOSITORY RECEI 88031M109 267 6100 SH SOLE 1 6100 0 0 TERADATA CORP COMMON 88076W103 255 5600 SH SOLE 1 5600 0 0 TEXAS CAPITAL BANCSHARES INC COMMON 88224Q107 4794 77075 SH SOLE 1 77075 0 0 3D SYSTEMS CORP COMMON 88554D205 19275 207410 SH SOLE 1 207410 0 0 3M CO COMMON 88579Y101 41704 297355 SH SOLE 1 297355 0 0 TORTOISE ENERGY CAPITAL CORP COMMON 89147U100 8903 272691 SH SOLE 1 272691 0 0 TWENTY FIRST CENTY FOX INC COMMON 90130A101 8156 231905 SH SOLE 1 231905 0 0 ULTA SALON COSMETICS & FRAG COMMON 90384S303 5874 60855 SH SOLE 1 60855 0 0 ULTIMATE SOFTWARE GROUP INC COMMON 90385D107 14703 95960 SH SOLE 1 95960 0 0 UNITEDHEALTH GROUP INC COMMON 91324P102 47590 632000 SH SOLE 1 632000 0 0 VERIZON COMMUNICATIONS INC COMMON 92343V104 86042 1750960 SH SOLE 1 1750960 0 0 VERTEX PHARMACEUTICALS INC COMMON 92532F100 1055 14200 SH SOLE 1 14200 0 0 VIACOM INC COMMON 92553P201 41495 475100 SH SOLE 1 475100 0 0 VISA INC COMMON 92826C839 20861 93680 SH SOLE 1 93680 0 0 VODAFONE GROUP ADR DEPOSITORY RECEI 92857W209 275 7000 SH SOLE 1 7000 0 0 WEB.COM GROUP INC COMMON 94733A104 5531 173985 SH SOLE 1 173985 0 0 ZOETIS INC COMMON 98978V103 4152 127005 SH SOLE 1 127005 0 0 AXIS CAPITAL HOLDINGS COMMON G0692U109 3315 69685 SH SOLE 1 69685 0 0 ACCENTURE PLC COMMON G1151C101 62485 759975 SH SOLE 1 759975 0 0 COVIDIEN PLC COMMON G2554F113 77060 1131570 SH SOLE 1 1131570 0 0 EATON CORP PLC COMMON G29183103 53757 706211 SH SOLE 1 706211 0 0 JAZZ PHARMACEUTICALS PLC COMMON G50871105 1076 8500 SH SOLE 1 8500 0 0 MICHAEL KORS HOLDINGS LTD COMMON G60754101 12424 153020 SH SOLE 1 153020 0 0 PARTNERRE LTD COMMON G6852T105 274 2600 SH SOLE 1 2600 0 0 SEADRILL LTD COMMON G7945E105 32625 794170 SH SOLE 1 794170 0 0 VALIDUS HOLDINGS LTD COMMON G9319H102 24355 604485 SH SOLE 1 604485 0 0 XL CAP LTD CL A G98290102 27185 853800 SH SOLE 1 853800 0 0 ACE LTD ORD H0023R105 42127 406910 SH SOLE 1 406910 0 0 TE CONNECTIVITY LTD COMMON H84989104 15869 287950 SH SOLE 1 287950 0 0 TYCO INTERNATIONAL LTD COMMON H89128104 42614 1038350 SH SOLE 1 1038350 0 0 ASML HOLDING NV DEPOSITORY RECEI N07059210 415 4425 SH SOLE 1 4425 0 0 CORE LABORATORIES NV COMMON N22717107 4068 21305 SH SOLE 1 21305 0 0 NIELSEN HOLDINGS NV COMMON N63218106 28460 620175 SH SOLE 1 620175 0 0 AVAGO TECHNOLOGIES LTD COMMON Y0486S104 50363 952421 SH SOLE 1 952421 0 0 AMERICAN MUNICIPAL INCOME PORT COMMON 027649102 845 65100 SH SOLE 1 0 65100 0 AMERICAN SELECT PORTFOLIO SLA COMMON 029570108 3729 402666 SH SOLE 1 0 402666 0 AMERICAN STRATEGIC INCOME PORT COMMON 030098107 2082 231578 SH SOLE 1 0 231578 0 AMERICAN STRATEGIC INCOME PORT COMMON 030099105 21436 2780263 SH SOLE 1 0 2780263 0 BLACKROCK INCOME OPPORTUNITY T COMMON 092475102 6468 666848 SH SOLE 1 0 666848 0 BLACKROCK CREDIT ALLOCATION IN COMMON 092508100 21383 1637262 SH SOLE 1 0 1637262 0 BROOKFIELD MTG OPP INC FD BOI COMMON 112792106 5441 328394 SH SOLE 1 0 328394 0 CUTWATER SELECT INCOME FUND CS COMMON 232229104 3818 208511 SH SOLE 1 0 208511 0 DOUBLELINE INCOME SOLUTIO DSL COMMON 258622109 3547 168175 SH SOLE 1 0 168175 0 DREYFUS STRATEGIC MUNICIPALS L COMMON 261932107 1804 237369 SH SOLE 1 0 237369 0 FEDERATED ENHANCED TREASURY IN COMMON 314162108 5506 430844 SH SOLE 1 0 430844 0 FLAHERTY & CRUMRINE PFD SECURI COMMON 338478100 262 15000 SH SOLE 1 0 15000 0 FLAHERTY & CRUMRINE TOTAL RETU COMMON 338479108 186 10000 SH SOLE 1 0 10000 0 FORT DEARBORN INCOME SECURITIE COMMON 347200107 1338 96988 SH SOLE 1 0 96988 0 GABELLI EQUITY TR INC GAB COMMON 362397101 1833 236506 SH SOLE 1 0 236506 0 JOHN HANCOCK INCOME SECURITIES COMMON 410123103 7852 549090 SH SOLE 1 0 549090 0 JN HANCOCK INV TRUST JHI COMMON 410142103 359 19281 SH SOLE 1 0 19281 0 LIBERTY ALL STAR EQUITY FUND U COMMON 530158104 6691 1120756 SH SOLE 1 0 1120756 0 MFS CHARTER INCOME TRUST MCR COMMON 552727109 5042 557074 SH SOLE 1 0 557074 0 MFS GOVERNMENT MARKETS INCOME COMMON 552939100 5963 1040649 SH SOLE 1 0 1040649 0 MN MUNICIPAL INCOME PORTFOLIO COMMON 604062109 1836 124197 SH SOLE 1 0 124197 0 MONTGOMERY STREET INCOME SECUR COMMON 614115103 10132 651990 SH SOLE 1 0 651990 0 NUVEEN INTER DURATION MN NID COMMON 670671106 2249 195380 SH SOLE 1 0 195380 0 NUVEEN INT DUR QUAL MUN T NIQ COMMON 670677103 1046 90997 SH SOLE 1 0 90997 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 670735109 449 19400 SH SOLE 1 0 19400 0 NUVEEN NJ INVESTMENT QUALITY M COMMON 670971100 138 10700 SH SOLE 1 0 10700 0 NUVEEN PA INVESTMENT QUALITY M COMMON 670972108 598 48500 SH SOLE 1 0 48500 0 NUVEEN MI QUALITY INCOME MUNIC COMMON 670979103 200 15963 SH SOLE 1 0 15963 0 NUVEEN MUNICIPAL OPPORTUNITY F COMMON 670984103 1774 134179 SH SOLE 1 0 134179 0 NUVEEN PREMIER MUNICIPAL INCOM COMMON 670988104 1037 83837 SH SOLE 1 0 83837 0 PUTNAM PREMIER INCOME TRUST PP COMMON 746853100 20285 3728837 SH SOLE 1 0 3728837 0 PUTNAM MASTER INTERMEDIATE INC COMMON 746909100 17726 3517015 SH SOLE 1 0 3517015 0 PUTNAM MUNICIPAL OPPORTUNITIES COMMON 746922103 70 6529 SH SOLE 1 0 6529 0 TRANSAMERICA INCOME SHARES TAI COMMON 893506105 1725 82620 SH SOLE 1 0 82620 0 WESTERN ASSET PREMIER WEA COMMON 957664105 1978 136100 SH SOLE 1 0 136100 0 WESTERN ASSET VARIABLE RATE ST COMMON 957667108 15123 863213 SH SOLE 1 0 863213 0 WESTERN ASSET WORLDWIDE INC FD COMMON 957668106 723 59353 SH SOLE 1 0 59353 0 WESTERN ASSET INTERMEDIATE MUN COMMON 958435109 90 10000 SH SOLE 1 0 10000 0 ZWEIG TOTAL RETURN FD INC ZTR COMMON 989837208 25780 1849354 SH SOLE 1 0 1849354 0 ALLIANCEBERNSTEIN INCOME FUND COMMON 01881E101 14036 1968648 SH SOLE 1 0 1968648 0 BLACKROCK CORE BOND TRUST BHK COMMON 09249E101 4853 376778 SH SOLE 1 0 376778 0 BLACKROCK MUNIYIELD NY QUALITY COMMON 09255E102 517 42800 SH SOLE 1 0 42800 0 BLACKROCK MUNIYIELD QUALITY FU COMMON 09254E103 3021 238624 SH SOLE 1 0 238624 0 FIRST TRUST MORTGAGE INCOME FU COMMON 33734E103 14308 919522 SH SOLE 1 0 919522 0 INVESCO ADVANTAGE MUNICIPAL IN COMMON 46132E103 5974 567842 SH SOLE 1 0 567842 0 NUVEEN INVESTMENT QUALITY MUNI COMMON 67062E103 103 7633 SH SOLE 1 0 7633 0 FLAHERTY & CRUMRINE PFD INC P COMMON 33848E106 1945 192947 SH SOLE 1 0 192947 0 ALLIANCEBERNSTEIN NATIONAL MUN COMMON 01864U106 663 52881 SH SOLE 1 0 52881 0 AMERICAN INCOME FUND MRF COMMON 02672T109 8508 1160745 SH SOLE 1 0 1160745 0 AMERICAN STRATEGIC INCOME PORT COMMON 03009T101 24944 3802364 SH SOLE 1 0 3802364 0 BLACKROCK INCOME TRUST BKT COMMON 09247F100 21804 3364819 SH SOLE 1 0 3364819 0 BLACKROCK BUILD AMERICA BOND T COMMON 09248X100 7312 381824 SH SOLE 1 0 381824 0 BLACKROCK MUNICIPAL BOND TRUST COMMON 09249H104 2711 197751 SH SOLE 1 0 197751 0 BLACKROCK MUNICIPAL INCOME TRU COMMON 09249N101 1927 145800 SH SOLE 1 0 145800 0 BLACKROCK NY MUNI INC TR II BF COMMON 09249R102 742 58629 SH SOLE 1 0 58629 0 BLACKROCK LONG-TERM MUNICIPAL COMMON 09250B103 7491 734441 SH SOLE 1 0 734441 0 BLACKROCK MUNIHOLDINGS FUND MH COMMON 09253N104 1792 123580 SH SOLE 1 0 123580 0 BLACKROCK MUNIHOLDINGS FUND II COMMON 09253P109 862 64597 SH SOLE 1 0 64597 0 BLACKROCK MUNIVEST FUND MVF COMMON 09253R105 2439 273686 SH SOLE 1 0 273686 0 BLACKROCK MUNIVEST MVT COMMON 09253T101 942 67659 SH SOLE 1 0 67659 0 BLACKROCK MUNIYIELD FUND MYD COMMON 09253W104 3298 257275 SH SOLE 1 0 257275 0 BLACKROCK MUNIENHANCED FD MEN COMMON 09253Y100 2001 192386 SH SOLE 1 0 192386 0 BLACKROCK MUNIHOLDNGS QUAL FUN COMMON 09254A101 2040 172039 SH SOLE 1 0 172039 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254C107 2570 212560 SH SOLE 1 0 212560 0 BLACKROCK MUNIYIELD QUAL FD IN COMMON 09254F100 1176 83655 SH SOLE 1 0 83655 0 BLACKROCK MUNIYIELD QUALITY FU COMMON 09254G108 5509 471659 SH SOLE 1 0 471659 0 BLACKROCK MUNIHOLDINGS INVESTM COMMON 09254P108 2176 173800 SH SOLE 1 0 173800 0 BLACKROCK MUNIYIELD INVESTMENT COMMON 09254R104 2093 152554 SH SOLE 1 0 152554 0 BLACKROCK MUNIYIELD INVESTMENT COMMON 09254T100 2219 181442 SH SOLE 1 0 181442 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254V105 1117 89670 SH SOLE 1 0 89670 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254W103 2681 233344 SH SOLE 1 0 233344 0 BLACKROCK MUNI NY INTERMEDIATE COMMON 09255F109 75 5700 SH SOLE 1 0 5700 0 BLACKROCK MUNIYIELD PA QUALITY COMMON 09255G107 701 54700 SH SOLE 1 0 54700 0 BLACKROCK ENHANCED GOVERNMENT COMMON 09255K108 25102 1799453 SH SOLE 1 0 1799453 0 BLACKROCK MUNI TARGET TERM TR COMMON 09257P105 1414 82600 SH SOLE 1 0 82600 0 BLACKROCK MULTI SECTOR INC TR COMMON 09258A107 4259 248904 SH SOLE 1 0 248904 0 BROOKFIELD GLBL LISTED INC FD COMMON 11273Q109 8141 411772 SH SOLE 1 0 411772 0 BROOKFIELD TOTAL RETURN FUND H COMMON 11283U108 27789 1169553 SH SOLE 1 0 1169553 0 COHEN & STEERS DIV MJRS FD DVM COMMON 19248G106 3413 234061 SH SOLE 1 0 234061 0 CORNERSTONE TOTAL RETURN CRF COMMON 21924U201 6382 1054889 SH SOLE 1 0 1054889 0 CORNERSTONE PROGRESSIVE RETURN COMMON 21925C101 0 82 SH SOLE 1 0 82 0 DWS MUNICIPAL INCOME TRUST KTF COMMON 23338M106 10826 902910 SH SOLE 1 0 902910 0 DELAWARE INVESTMENTS MN MUNICI COMMON 24610V103 3402 276400 SH SOLE 1 0 276400 0 DIVIDEND & INCOME FD INC DNI COMMON 25538A204 6482 428955 SH SOLE 1 0 428955 0 DREYFUS MUNICIPAL INCOME DMF COMMON 26201R102 1804 213276 SH SOLE 1 0 213276 0 DREYFUS STRATEGIC MUNICIPAL BO COMMON 26202F107 2733 368298 SH SOLE 1 0 368298 0 DREYFUS MUN BD INFRSTRCTR DMB COMMON 26203D101 3191 308300 SH SOLE 1 0 308300 0 DUFF & PHELPS UTILITY AND CORP COMMON 26432K108 12407 1236964 SH SOLE 1 0 1236964 0 EATON VANCE CA MUNICIPAL INCOM COMMON 27826F101 49 4341 SH SOLE 1 0 4341 0 EATON VANCE NJ MUNICIPAL INCOM COMMON 27826V106 91 7900 SH SOLE 1 0 7900 0 EATON VANCE CA MUNICIPAL BOND COMMON 27828C106 715 66800 SH SOLE 1 0 66800 0 EATON VANCE LIMITED DURATION I COMMON 27828H105 12939 845675 SH SOLE 1 0 845675 0 EATON VANCE SHORT DUR DIVERSIF COMMON 27828V104 12726 833429 SH SOLE 1 0 833429 0 EATON VANCE RISK-MANAGED DIVER COMMON 27829G106 12792 1135065 SH SOLE 1 0 1135065 0 EATON VANCE MUN INCOME TE ETX COMMON 27829U105 2039 139652 SH SOLE 1 0 139652 0 FIRST AMERICAN MN MUNICIPAL IN COMMON 31849P104 561 43696 SH SOLE 1 0 43696 0 FIRST TR INTER DUR PFD & FPF COMMON 33718W103 11030 519072 SH SOLE 1 0 519072 0 FIRSTHAND TECHNOLOGY VALUE FUN COMMON 33766Y100 3823 165010 SH SOLE 1 0 165010 0 FLAHERTY & CRUMRINE DYN P DFP COMMON 33848W106 4885 237927 SH SOLE 1 0 237927 0 FRANKLIN TEMPLETON LIMITED DUR COMMON 35472T101 9962 766908 SH SOLE 1 0 766908 0 GABELLI MULTIMEDIA TRUST GGT COMMON 36239Q109 1895 152666 SH SOLE 1 0 152666 0 GABELLI UTILITY TRUST GUT COMMON 36240A101 3984 623545 SH SOLE 1 0 623545 0 GABELLI GLOBAL UTIL & INC TR COMMON 36242L105 4305 214980 SH SOLE 1 0 214980 0 HELIOS ADVANTAGE INCOME FUND H COMMON 42327W206 902 99192 SH SOLE 1 0 99192 0 HELIOS STRATEGIC INCOME FUND H COMMON 42328A203 1737 261760 SH SOLE 1 0 261760 0 INVESCO TRUST FOR INVESTMENT G COMMON 46131M106 5445 447049 SH SOLE 1 0 447049 0 INVESCO TRUST FOR INVESTMENT G COMMON 46131T101 126 9600 SH SOLE 1 0 9600 0 INVESCO MUNICIPAL OPPORTUNITY COMMON 46132C107 1778 151870 SH SOLE 1 0 151870 0 INVESCO CA VALUE MUNICIPAL INC COMMON 46132H106 1141 100121 SH SOLE 1 0 100121 0 INVESCO PA VALUE MUNICIPAL INC COMMON 46132K109 2355 194003 SH SOLE 1 0 194003 0 INVESCO QUALITY MUNICIPAL INCO COMMON 46133G107 943 84813 SH SOLE 1 0 84813 0 LEGG MASON BW GLB INC OPP FD B COMMON 52469B100 3479 206199 SH SOLE 1 0 206199 0 MFS INTER INC TRUST MIN COMMON 55273C107 7181 1386371 SH SOLE 1 0 1386371 0 MANAGED DURATION INVESTMENT GR COMMON 56165R103 1384 111629 SH SOLE 1 0 111629 0 MORGAN STANLEY INCOME SECURITI COMMON 61745P874 2297 136461 SH SOLE 1 0 136461 0 NUVEEN CA INVESTMENT QUALITY M COMMON 67062A101 410 31103 SH SOLE 1 0 31103 0 NUVEEN MUNICIPAL ADVANTAGE FUN COMMON 67062H106 175 14400 SH SOLE 1 0 14400 0 NUVEEN PERFORMANCE PLUS MUNICI COMMON 67062P108 406 30000 SH SOLE 1 0 30000 0 NUVEEN CA PERFORMANCE PLUS MUN COMMON 67062Q106 601 45243 SH SOLE 1 0 45243 0 NUVEEN PREMIUM INCOME MUNICIPA COMMON 67063W102 5649 450121 SH SOLE 1 0 450121 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67066V101 126 10000 SH SOLE 1 0 10000 0 NUVEEN CA DIVIDEND ADV MU NAC COMMON 67066Y105 675 52558 SH SOLE 1 0 52558 0 NUVEEN NJ DIVIDEND ADVANTAGE M COMMON 67069Y102 157 12600 SH SOLE 1 0 12600 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67070X101 402 32560 SH SOLE 1 0 32560 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67071L106 88 7000 SH SOLE 1 0 7000 0 NUVEEN QUALITY PREFERRED INCOM COMMON 67071S101 1359 176705 SH SOLE 1 0 176705 0 NUVEEN PA DIVIDEND ADVANTAGE M COMMON 67071W102 120 10100 SH SOLE 1 0 10100 0 NUVEEN QUALITY PREFERRED INCOM COMMON 67072C105 1358 166787 SH SOLE 1 0 166787 0 NUVEEN QUALITY PREFERRED INCOM COMMON 67072W101 1695 215952 SH SOLE 1 0 215952 0 NUVEEN PREFERRED INCOME OPPORT COMMON 67073B106 2038 229765 SH SOLE 1 0 229765 0 NUVEEN BUILD AMERICAN BOND TER COMMON 67074C103 1049 56897 SH SOLE 1 0 56897 0 NUVEEN BUILD AMERICA BOND OPPO COMMON 67074Q102 4222 217295 SH SOLE 1 0 217295 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 67074R100 455 19797 SH SOLE 1 0 19797 0 NUVEEN FLEX INV FD JPW COMMON 67075B104 2812 170629 SH SOLE 1 0 170629 0 PIMCO MUNI INCOME FUND II PML COMMON 72200W106 1087 101962 SH SOLE 1 0 101962 0 PIMCO CA MUNICIPAL INCOME FUND COMMON 72201C109 1284 139600 SH SOLE 1 0 139600 0 PIMCO INCOME STRATEGY FUND PFL COMMON 72201H108 1639 144902 SH SOLE 1 0 144902 0 PIMCO INCOME STRATEGY FUND II COMMON 72201J104 1416 142282 SH SOLE 1 0 142282 0 PIMCO DYNAMIC INCOME FUND PDI COMMON 72201Y101 17748 609279 SH SOLE 1 0 609279 0 PIMCO DYNAMIC CRED INC FD PCI COMMON 72202D106 391 17400 SH SOLE 1 0 17400 0 WELLS FARGO ADVANTAGE MULTI-SE COMMON 94987D101 11176 794893 SH SOLE 1 0 794893 0 WESTERN ASSET MANAGED MUNICIPA COMMON 95766M105 269 22000 SH SOLE 1 0 22000 0 WESTERN ASSET MUNICIPAL PARTNE COMMON 95766P108 528 38366 SH SOLE 1 0 38366 0 WA/CLAY US TSY INFL WIA COMMON 95766Q106 745 65200 SH SOLE 1 0 65200 0 WESTERN ASSET/CLAYMORE INFL-LI COMMON 95766R104 1400 124200 SH SOLE 1 0 124200 0 WESTERN ASSET INFLATION MANAGE COMMON 95766U107 4022 237546 SH SOLE 1 0 237546 0 WESTERN ASSET MORTGAGE DEFINED COMMON 95790B109 3536 152550 SH SOLE 1 0 152550 0