Vice President

0000897101-14-001125.txt : 20140813 0000897101-14-001125.hdr.sgml : 20140813 20140813084223 ACCESSION NUMBER: 0000897101-14-001125 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140813 DATE AS OF CHANGE: 20140813 EFFECTIVENESS DATE: 20140813 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: 141035786 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 06-30-2014 06-30-2014 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 08-13-2014 1 442 5876889 1 0001086316 028-04373 SIT INVESTMENT FIXED INCOME ADVISORS INC INFORMATION TABLE 2 infotable.xml AFLAC INC COMMON 001055102 149 2400 SH SOLE 1 2400 0 0 AGCO CORP COMMON 001084102 4720 83950 SH SOLE 1 83950 0 0 ABBOTT LABORATORIES COMMON 002824100 28410 694630 SH SOLE 1 694630 0 0 AFFILIATED MANAGERS GROUP INC COMMON 008252108 10774 52455 SH SOLE 1 52455 0 0 AIR METHODS CORP COMMON 009128307 2705 52380 SH SOLE 1 52380 0 0 AIRGAS INC COMMON 009363102 915 8400 SH SOLE 1 8400 0 0 ALASKA AIR GROUP INC COMMON 011659109 7590 79850 SH SOLE 1 79850 0 0 ALEXION PHARMACEUTICALS INC COMMON 015351109 15582 99727 SH SOLE 1 99727 0 0 ALIGN TECHNOLOGY INC COMMON 016255101 3641 64970 SH SOLE 1 64970 0 0 ALLERGAN INC COMMON 018490102 11586 68470 SH SOLE 1 68470 0 0 ALLIANZ SE - ADR DEPOSITORY RECEI 018805101 470 27985 SH SOLE 1 27985 0 0 AMAZON.COM INC COMMON 023135106 7311 22510 SH SOLE 1 22510 0 0 AMETEK INC COMMON 031100100 8026 153510 SH SOLE 1 153510 0 0 ANALOG DEVICES INC COMMON 032654105 406 7500 SH SOLE 1 7500 0 0 APPLE INC COMMON 037833100 69878 751942 SH SOLE 1 751942 0 0 APPLIED MATERIALS INC COMMON 038222105 43513 1929630 SH SOLE 1 1929630 0 0 ARCHER DANIELS MIDLAND CO COMMON 039483102 28589 648140 SH SOLE 1 648140 0 0 ASPEN TECHNOLOGY INC COMMON 045327103 5169 111405 SH SOLE 1 111405 0 0 ATWOOD OCEANICS INC COMMON 050095108 4833 92085 SH SOLE 1 92085 0 0 AUTODESK INC COMMON 052769106 386 6850 SH SOLE 1 6850 0 0 AUTOMATIC DATA PROCESSING INC COMMON 053015103 32542 410465 SH SOLE 1 410465 0 0 BANCO BRADESCO-ADR DEPOSITORY RECEI 059460303 1720 118431 SH SOLE 1 118431 0 0 BANK OF NEW YORK MELLON CORP COMMON 064058100 823 21970 SH SOLE 1 21970 0 0 BECTON DICKINSON AND CO COMMON 075887109 35894 303415 SH SOLE 1 303415 0 0 BHP BILLITON ADR DEPOSITORY RECEI 088606108 4661 68090 SH SOLE 1 68090 0 0 BITAUTO HLDGS LTD-ADR COMMON 091727107 974 20000 SH SOLE 1 20000 0 0 BRISTOL-MYERS SQUIBB CO COMMON 110122108 38818 800205 SH SOLE 1 800205 0 0 BROADCOM CORP CL A 111320107 271 7300 SH SOLE 1 7300 0 0 BUFFALO WILD WINGS INC COMMON 119848109 8827 53265 SH SOLE 1 53265 0 0 CF INDUSTRIES HOLDINGS INC COMMON 125269100 7787 32373 SH SOLE 1 32373 0 0 CNOOC LTD ADR DEPOSITORY RECEI 126132109 2293 12790 SH SOLE 1 12790 0 0 CSX CORP COMMON 126408103 299 9700 SH SOLE 1 9700 0 0 CVS CAREMARK CORP COMMON 126650100 67030 889340 SH SOLE 1 889340 0 0 CALPINE CORP COMMON 131347304 1226 51500 SH SOLE 1 51500 0 0 CAPELLA EDUCATION CO COMMON 139594105 2364 43455 SH SOLE 1 43455 0 0 CARDIOVASCULAR SYS INC DE COMMON 141619106 641 20580 SH SOLE 1 20580 0 0 CARRIZO OIL & GAS INC COMMON 144577103 644 9300 SH SOLE 1 9300 0 0 CASEYS GENERAL STORES INC COMMON 147528103 3342 47545 SH SOLE 1 47545 0 0 CATERPILLAR INC COMMON 149123101 25751 236965 SH SOLE 1 236965 0 0 CELGENE CORP COMMON 151020104 16995 197890 SH SOLE 1 197890 0 0 CHEVRON CORP COMMON 166764100 110896 849450 SH SOLE 1 849450 0 0 CHICAGO BRIDGE & IRON CO NV NY REGISTRY SHAR 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ENGINEERING GROUP INC COMMON 469814107 1220 22900 SH SOLE 1 22900 0 0 JOHNSON & JOHNSON COMMON 478160104 121687 1163130 SH SOLE 1 1163130 0 0 KAYNE ANDERSON MLP INVSM COMMON 486606106 52081 1321514 SH SOLE 1 1321514 0 0 KNIGHT TRANSPORTATION INC COMMON 499064103 3546 149160 SH SOLE 1 149160 0 0 KUBOTA CORP ADR DEPOSITORY RECEI 501173207 133 1875 SH SOLE 1 1875 0 0 LACLEDE GROUP INC COMMON 505597104 18329 377535 SH SOLE 1 377535 0 0 LAUDER ESTEE COS INC COMMON 518439104 134 1800 SH SOLE 1 1800 0 0 LINCOLN ELECTRIC HLDGS INC COMMON 533900106 3892 55700 SH SOLE 1 55700 0 0 LIONS GATE ENTMNT CORP COMMON 535919203 5274 184525 SH SOLE 1 184525 0 0 LOCKHEED MARTIN CORP COMMON 539830109 28108 174875 SH SOLE 1 174875 0 0 LULULEMON ATHLETICA INC COMMON 550021109 3603 88995 SH SOLE 1 88995 0 0 MSC INDL DIRECT INC CL A 553530106 4731 49465 SH SOLE 1 49465 0 0 MANHATTAN ASSOCIATES INC COMMON 562750109 4368 126855 SH SOLE 1 126855 0 0 MARSH & MCLENNAN COS INC COMMON 571748102 47838 923160 SH SOLE 1 923160 0 0 MARRIOTT INTERNATIONAL INC/DE CL A 571903202 2534 39532 SH SOLE 1 39532 0 0 MCDONALDS CORP COMMON 580135101 21010 208560 SH SOLE 1 208560 0 0 MEDTRONIC INC COMMON 585055106 63857 1001525 SH SOLE 1 1001525 0 0 MICROSOFT CORP COMMON 594918104 105254 2524065 SH SOLE 1 2524065 0 0 MOODYS CORP COMMON 615369105 36483 416190 SH SOLE 1 416190 0 0 MURPHY OIL CORP COMMON 626717102 312 4700 SH SOLE 1 4700 0 0 MURPHY USA INC COMMON 626755102 57 1175 SH SOLE 1 1175 0 0 MYLAN INC COMMON 628530107 4604 89300 SH SOLE 1 89300 0 0 NESTLE SA-SPONS ADR DEPOSITORY RECEI 641069406 1400 18020 SH SOLE 1 18020 0 0 NEW ORIENTAL ED & TECH GR ADR DEPOSITORY RECEI 647581107 1791 67400 SH SOLE 1 67400 0 0 NICE SYSTEMS LTD ADR DEPOSITORY RECEI 653656108 784 19200 SH SOLE 1 19200 0 0 NIKE INC CL B 654106103 42735 551066 SH SOLE 1 551066 0 0 NORDSTROM INC COMMON 655664100 1243 18300 SH SOLE 1 18300 0 0 OCCIDENTAL PETROLEUM CORP COMMON 674599105 82394 802830 SH SOLE 1 802830 0 0 OCEANEERING INTERNATIONAL INC 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COCA-COLA ENTERPRISES INC COMMON 19122T109 2494 52200 SH SOLE 1 52200 0 0 COMP BRASIL-PAO DE ACUCA ADR DEPOSITORY RECEI 20440T201 1575 34000 SH SOLE 1 34000 0 0 CONOCOPHILLIPS COMMON 20825C104 691 8062 SH SOLE 1 8062 0 0 DEVON ENERGY CORP COMMON 25179M103 34036 428670 SH SOLE 1 428670 0 0 DIAGEO PLC ADR DEPOSITORY RECEI 25243Q205 27163 213425 SH SOLE 1 213425 0 0 DIGITALGLOBE INC COMMON 25389M877 2309 83070 SH SOLE 1 83070 0 0 ENI SPA ADR DEPOSITORY RECEI 26874R108 351 6390 SH SOLE 1 6390 0 0 EQT CORP COMMON 26884L109 1005 9400 SH SOLE 1 9400 0 0 EAGLE MATERIALS INC COMMON 26969P108 4814 51065 SH SOLE 1 51065 0 0 EMBRAER SA ADR DEPOSITORY RECEI 29082A107 2505 68750 SH SOLE 1 68750 0 0 EMCOR GROUP INC COMMON 29084Q100 4813 108085 SH SOLE 1 108085 0 0 EXPRESS SCRIPTS HOLDING CO COMMON 30219G108 7264 104770 SH SOLE 1 104770 0 0 EXXON MOBIL CORP COMMON 30231G102 1639 16282 SH SOLE 1 16282 0 0 FIRST REPUBLIC BANK/CA COMMON 33616C100 35469 645001 SH SOLE 1 645001 0 0 FLOWSERVE CORP COMMON 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SOLE 1 15755 0 0 SYNGENTA AG - ADR DEPOSITORY RECEI 87160A100 1889 25255 SH SOLE 1 25255 0 0 SYNTEL INC COMMON 87162H103 6795 79050 SH SOLE 1 79050 0 0 TELEF BRASIL ADR DEPOSITORY RECEI 87936R106 739 36050 SH SOLE 1 36050 0 0 TENARIS S A ADR DEPOSITORY RECEI 88031M109 212 4500 SH SOLE 1 4500 0 0 TERADATA CORP COMMON 88076W103 225 5600 SH SOLE 1 5600 0 0 TETRA TECH INC NEW COMMON 88162G103 3145 114370 SH SOLE 1 114370 0 0 TEXAS CAPITAL BANCSHARES INC COMMON 88224Q107 3548 65765 SH SOLE 1 65765 0 0 3D SYSTEMS CORP COMMON 88554D205 11337 189590 SH SOLE 1 189590 0 0 3M CO COMMON 88579Y101 46468 324405 SH SOLE 1 324405 0 0 TORTOISE ENERGY INFRSTRCT COMMON 89147L100 10906 220554 SH SOLE 1 220554 0 0 TWENTY FIRST CENTY FOX INC COMMON 90130A101 6727 191370 SH SOLE 1 191370 0 0 ULTA SALON COSMETICS & FRAG COMMON 90384S303 5058 55330 SH SOLE 1 55330 0 0 ULTIMATE SOFTWARE GROUP INC COMMON 90385D107 11575 83775 SH SOLE 1 83775 0 0 UNITEDHEALTH GROUP INC COMMON 91324P102 40010 489420 SH SOLE 1 489420 0 0 VERIZON COMMUNICATIONS INC COMMON 92343V104 99048 2024285 SH SOLE 1 2024285 0 0 VERTEX PHARMACEUTICALS INC COMMON 92532F100 1344 14200 SH SOLE 1 14200 0 0 VIACOM INC COMMON 92553P201 35323 407270 SH SOLE 1 407270 0 0 VISA INC COMMON 92826C839 16600 78780 SH SOLE 1 78780 0 0 WEB.COM GROUP INC COMMON 94733A104 5003 173285 SH SOLE 1 173285 0 0 ACTAVIS PLC COMMON G0083B108 9408 42180 SH SOLE 1 42180 0 0 ENERGY XXI BERMUDA LTD COMMON G10082140 791 33471 SH SOLE 1 33471 0 0 ACCENTURE PLC COMMON G1151C101 53502 661820 SH SOLE 1 661820 0 0 COVIDIEN PLC COMMON G2554F113 56195 623145 SH SOLE 1 623145 0 0 DELPHI AUTOMOTIVE PLC COMMON G27823106 36220 526920 SH SOLE 1 526920 0 0 EATON CORP PLC COMMON G29183103 47307 612940 SH SOLE 1 612940 0 0 INGERSOLL-RAND COMPANY LTD CL A G47791101 938 15000 SH SOLE 1 15000 0 0 JAZZ PHARMACEUTICALS PLC COMMON G50871105 1514 10300 SH SOLE 1 10300 0 0 MICHAEL KORS HOLDINGS LTD COMMON G60754101 11270 127130 SH SOLE 1 127130 0 0 PARTNERRE LTD COMMON G6852T105 284 2600 SH SOLE 1 2600 0 0 SEADRILL LTD COMMON G7945E105 21359 534645 SH SOLE 1 534645 0 0 VALIDUS HOLDINGS LTD COMMON G9319H102 21624 565470 SH SOLE 1 565470 0 0 XL GROUP PLC COMMON G98290102 30297 925650 SH SOLE 1 925650 0 0 ACE LTD ORD H0023R105 26784 258285 SH SOLE 1 258285 0 0 TYCO INTERNATIONAL LTD COMMON H89128104 40213 881865 SH SOLE 1 881865 0 0 ASML HOLDING NV DEPOSITORY RECEI N07059210 564 6050 SH SOLE 1 6050 0 0 CORE LABORATORIES NV COMMON N22717107 2803 16780 SH SOLE 1 16780 0 0 LYONDELLBASELL INDUSTRIES COMMON N53745100 37798 387075 SH SOLE 1 387075 0 0 NIELSEN NV COMMON N63218106 25850 533975 SH SOLE 1 533975 0 0 AVAGO TECHNOLOGIES LTD COMMON Y0486S104 60496 839400 SH SOLE 1 839400 0 0 ALLIANCEBERNSTEIN INCOME FUND COMMON 01881E101 12678 1685848 SH SOLE 1 0 1685848 0 AMERICAN STRATEGIC INCOME PORT COMMON 030098107 7468 727912 SH SOLE 1 0 727912 0 BLACKROCK MUNICIPAL BOND TRUST COMMON 09249H104 1366 86865 SH SOLE 1 0 86865 0 CORNERSTONE TOTAL RETURN CRF COMMON 21924U201 22 3851 SH SOLE 1 0 3851 0 CUTWATER SELECT INCOME FUND CS COMMON 232229104 5443 270252 SH SOLE 1 0 270252 0 AMERICAN STRATEGIC INCOME PORT COMMON 03009T101 27623 3773639 SH SOLE 1 0 3773639 0 DOUBLELINE OPP CRED FD DBL COMMON 258623107 440 18600 SH SOLE 1 0 18600 0 VIRTUS TOTAL RETURN FD DCA COMMON 92829A103 670 139497 SH SOLE 1 0 139497 0 BLACKROCK BUILD AMERICA BOND T COMMON 09248X100 11728 540476 SH SOLE 1 0 540476 0 BLACKROCK MUNI INC TR BFK COMMON 09248F109 3284 239364 SH SOLE 1 0 239364 0 BLACKROCK NY MUNI INC TR II BF COMMON 09249R102 573 40714 SH SOLE 1 0 40714 0 BLACKROCK CORE BOND TRUST BHK COMMON 09249E101 6792 486555 SH SOLE 1 0 486555 0 BLACKROCK INVESTMENT QUALITY M COMMON 09247D105 838 55300 SH SOLE 1 0 55300 0 BLACKROCK INCOME TRUST BKT COMMON 09247F100 25439 3831208 SH SOLE 1 0 3831208 0 BLACKROCK MUNICIPAL INCOME TRU COMMON 09249N101 2191 150682 SH SOLE 1 0 150682 0 BLACKROCK INCOME OPPORTUNITY T COMMON 092475102 7057 649810 SH SOLE 1 0 649810 0 AMERICAN STRATEGIC INCOME PORT COMMON 030099105 23854 2716901 SH SOLE 1 0 2716901 0 BLACKROCK LONG-TERM MUNICIPAL COMMON 09250B103 8013 709713 SH SOLE 1 0 709713 0 BLACKROCK CREDIT ALLOCATION IN COMMON 092508100 15484 1126114 SH SOLE 1 0 1126114 0 CORNERSTONE PROGRESSIVE RETURN COMMON 21925C101 23978 5224005 SH SOLE 1 0 5224005 0 CORNERSTONE STRATEGIC VAL FD I COMMON 21924B203 35 5729 SH SOLE 1 0 5729 0 DWS HIGH INCOME OPPORT FD DHG COMMON 23339M204 150 10125 SH SOLE 1 0 10125 0 DREYFUS MUNICIPAL INCOME DMF COMMON 26201R102 223 23879 SH SOLE 1 0 23879 0 WESTERN ASSET MORTGAGE DEFINED COMMON 95790B109 3485 141679 SH SOLE 1 0 141679 0 DIVIDEND & INCOME FD INC DNI COMMON 25538A204 2549 159739 SH SOLE 1 0 159739 0 DREYFUS STRATEGIC MUNICIPAL BO COMMON 26202F107 774 93371 SH SOLE 1 0 93371 0 DUFF & PHELPS UTILITY AND CORP COMMON 26432K108 20132 1921004 SH SOLE 1 0 1921004 0 BLACKROCK ENHANCED GOVERNMENT COMMON 09255K108 30851 2158952 SH SOLE 1 0 2158952 0 EATON VANCE CA MUNICIPAL BOND COMMON 27828C106 820 66800 SH SOLE 1 0 66800 0 WELLS FARGO ADVANTAGE MULTI-SE COMMON 94987D101 7769 521430 SH SOLE 1 0 521430 0 EATON VANCE RISK-MANAGED DIVER COMMON 27829G106 7096 614898 SH SOLE 1 0 614898 0 EATON VANCE SHORT DUR DIVERSIF COMMON 27828V104 18466 1203803 SH SOLE 1 0 1203803 0 EATON VANCE NJ MUNICIPAL INCOM COMMON 27826V106 100 7900 SH SOLE 1 0 7900 0 EATON VANCE LIMITED DURATION I COMMON 27828H105 20355 1306478 SH SOLE 1 0 1306478 0 FLAHERTY & CRUMRINE PFD SECURI COMMON 338478100 294 15000 SH SOLE 1 0 15000 0 FLAHERTY & CRUMRINE TOTAL RETU COMMON 338479108 200 10000 SH SOLE 1 0 10000 0 FIRST TRUST MORTGAGE INCOME FU COMMON 33734E103 17123 1079652 SH SOLE 1 0 1079652 0 FIRST TR INTER DUR PFD & FPF COMMON 33718W103 412 18000 SH SOLE 1 0 18000 0 FRANKLIN TEMPLETON LIMITED DUR COMMON 35472T101 20109 1537370 SH SOLE 1 0 1537370 0 FEDERATED ENHANCED TREASURY IN COMMON 314162108 20014 1483585 SH SOLE 1 0 1483585 0 GUGGENHEIM BLD AMR BDS MN GBAB COMMON 401664107 3662 166168 SH SOLE 1 0 166168 0 WESTERN ASSET VARIABLE RATE ST COMMON 957667108 16767 959756 SH SOLE 1 0 959756 0 GABELLI HLTHCARE GRX RT COMMON 36246K137 15 38485 SH SOLE 1 0 38485 0 GABELLI UTILITY TRUST GUT COMMON 36240A101 1777 242223 SH SOLE 1 0 242223 0 HELIOS HIGH INCOME FD INC HIH COMMON 42327X204 3133 341690 SH SOLE 1 0 341690 0 H & Q HEALTHCARE INVESTOR HQH COMMON 404052102 15410 584587 SH SOLE 1 0 584587 0 H & Q LIFE SCIENCES INVS HQL COMMON 404053100 8251 397457 SH SOLE 1 0 397457 0 HELIOS STRATEGIC INCOME FUND H COMMON 42328A203 6073 881400 SH SOLE 1 0 881400 0 BROOKFIELD TOTAL RETURN FUND H COMMON 11283U108 29843 1185206 SH SOLE 1 0 1185206 0 MORGAN STANLEY INCOME SECURITI COMMON 61745P874 2913 161359 SH SOLE 1 0 161359 0 WESTERN ASSET INV GRA DEF OPP COMMON 95790A101 8171 384160 SH SOLE 1 0 384160 0 INVESCO QUALITY MUNICIPAL INCO COMMON 46133G107 940 76564 SH SOLE 1 0 76564 0 NUVEEN QUALITY PREFERRED INCOM COMMON 67072W101 596 68702 SH SOLE 1 0 68702 0 JOHN HANCOCK INCOME SECURITIES COMMON 410123103 12361 843728 SH SOLE 1 0 843728 0 NUVEEN EQUITY PREM ADV FD JLA COMMON 6706ET107 7236 544433 SH SOLE 1 0 544433 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 670735109 940 38214 SH SOLE 1 0 38214 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 67074R100 1027 43163 SH SOLE 1 0 43163 0 NUVEEN PREFERRED INCOME OPPORT COMMON 67073B106 1271 131080 SH SOLE 1 0 131080 0 NUVEEN QUALITY PREFERRED INCOM COMMON 67072C105 267 29589 SH SOLE 1 0 29589 0 NUVEEN QUALITY PREFERRED INCOM COMMON 67071S101 266 31251 SH SOLE 1 0 31251 0 DWS MUNICIPAL INCOME TRUST KTF COMMON 23338M106 10876 797358 SH SOLE 1 0 797358 0 DREYFUS STRATEGIC MUNICIPALS L COMMON 261932107 279 33000 SH SOLE 1 0 33000 0 MFS CHARTER INCOME TRUST MCR COMMON 552727109 7217 781023 SH SOLE 1 0 781023 0 BLACKROCK MUNIENHANCED FD MEN COMMON 09253Y100 4713 421564 SH SOLE 1 0 421564 0 BLACKROCK MUNIHOLDINGS INVESTM COMMON 09254P108 6721 484200 SH SOLE 1 0 484200 0 BLACKROCK MUNIYIELD INVESTMENT COMMON 09254T100 3802 282903 SH SOLE 1 0 282903 0 MFS GOVERNMENT MARKETS INCOME COMMON 552939100 6673 1148605 SH SOLE 1 0 1148605 0 BLACKROCK MUNIHOLDINGS FUND MH COMMON 09253N104 4121 253894 SH SOLE 1 0 253894 0 BLACKROCK MUNIHOLDINGS NY QUAL COMMON 09255C106 186 13500 SH SOLE 1 0 13500 0 MFS INTER INC TRUST MIN COMMON 55273C107 14275 2703639 SH SOLE 1 0 2703639 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254V105 1136 81179 SH SOLE 1 0 81179 0 WESTERN ASSET MANAGED MUNICIPA COMMON 95766M105 288 22000 SH SOLE 1 0 22000 0 WESTERN ASSET MUNICIPAL PARTNE COMMON 95766P108 565 38366 SH SOLE 1 0 38366 0 BLACKROCK MUNIYIELD PA QUALITY COMMON 09255G107 771 54700 SH SOLE 1 0 54700 0 BLACKROCK MUNIYIELD QUALITY FU COMMON 09254G108 5195 406213 SH SOLE 1 0 406213 0 BLACKROCK MUNIYIELD QUAL FD IN COMMON 09254F100 3120 207034 SH SOLE 1 0 207034 0 AMERICAN INCOME FUND MRF COMMON 02672T109 11041 1420947 SH SOLE 1 0 1420947 0 MONTGOMERY STREET INCOME SECUR COMMON 614115103 9711 582181 SH SOLE 1 0 582181 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254C107 5716 431397 SH SOLE 1 0 431397 0 BLACKROCK MUNIHOLDINGS FUND II COMMON 09253P109 188 12349 SH SOLE 1 0 12349 0 BLACKROCK MUNIHOLDNGS QUAL FUN COMMON 09254A101 3237 245066 SH SOLE 1 0 245066 0 BLACKROCK MUNIVEST FUND MVF COMMON 09253R105 3370 341086 SH SOLE 1 0 341086 0 BLACKROCK MUNIVEST MVT COMMON 09253T101 839 53634 SH SOLE 1 0 53634 0 MN MUNICIPAL INCOME PORTFOLIO COMMON 604062109 1373 83329 SH SOLE 1 0 83329 0 FIRST AMERICAN MN MUNICIPAL IN COMMON 31849P104 1059 69529 SH SOLE 1 0 69529 0 BLACKROCK MUNIYIELD FUND MYD COMMON 09253W104 4732 328807 SH SOLE 1 0 328807 0 BLACKROCK MUNIYIELD INVESTMENT COMMON 09254R104 3506 238681 SH SOLE 1 0 238681 0 BLACKROCK MUNIYIELD QUALITY FU COMMON 09254E103 4906 355249 SH SOLE 1 0 355249 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254W103 2095 161544 SH SOLE 1 0 161544 0 BLACKROCK MUNIYIELD NY QUALITY COMMON 09255E102 564 42800 SH SOLE 1 0 42800 0 MANAGED DURATION INVESTMENT GR COMMON 56165R103 1331 96371 SH SOLE 1 0 96371 0 NUVEEN CA DIVIDEND ADV MUNI NA COMMON 67066Y105 1648 117989 SH SOLE 1 0 117989 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67066V101 141 10000 SH SOLE 1 0 10000 0 NUVEEN BUILD AMERICAN BOND TER COMMON 67074C103 6771 330313 SH SOLE 1 0 330313 0 NUVEEN BUILD AMERICA BOND OPPO COMMON 67074Q102 8327 386778 SH SOLE 1 0 386778 0 NUVEEN MUNICIPAL OPPORTUNITY F COMMON 670984103 552 39100 SH SOLE 1 0 39100 0 NUVEEN INTERM DURATION QLTY MU COMMON 670677103 577 44997 SH SOLE 1 0 44997 0 NUVEEN PREMIER MUNICIPAL INCOM COMMON 670988104 2866 210283 SH SOLE 1 0 210283 0 NUVEEN PREMIUM INCOME MUNICIPA COMMON 67063W102 6732 486417 SH SOLE 1 0 486417 0 NUVEEN PREM INCOME MUNI NPT COMMON 6706K4105 853 66501 SH SOLE 1 0 66501 0 NUVEEN NJ INVESTMENT QUALITY M COMMON 670971100 147 10700 SH SOLE 1 0 10700 0 NUVEEN PA INVESTMENT QUALITY M COMMON 670972108 734 52779 SH SOLE 1 0 52779 0 NUVEEN MI QUALITY INCOME MUNIC COMMON 670979103 231 15963 SH SOLE 1 0 15963 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67071L106 99 7000 SH SOLE 1 0 7000 0 NUVEEN NJ DIVIDEND ADVANTAGE M COMMON 67069Y102 171 12600 SH SOLE 1 0 12600 0 OXFORD LANE CAPITAL CORP OXLC COMMON 691543102 7696 454823 SH SOLE 1 0 454823 0 PIMCO DYNAMIC INCOME FUND PDI COMMON 72201Y101 27265 799804 SH SOLE 1 0 799804 0 PIMCO INCOME STRATEGY FUND PFL COMMON 72201H108 1981 160502 SH SOLE 1 0 160502 0 PIMCO INCOME STRATEGY FUND II COMMON 72201J104 1746 157882 SH SOLE 1 0 157882 0 FLAHERTY & CRUMRINE PFD INC P COMMON 33848E106 782 67380 SH SOLE 1 0 67380 0 PUTNAM MASTER INTERMEDIATE INC COMMON 746909100 22081 4287574 SH SOLE 1 0 4287574 0 PIMCO MUNI INCOME FUND II PML COMMON 72200W106 1218 101962 SH SOLE 1 0 101962 0 PUTNAM MUNICIPAL OPPORTUNITIES COMMON 746922103 77 6529 SH SOLE 1 0 6529 0 PUTNAM PREMIER INCOME TRUST PP COMMON 746853100 25547 4603031 SH SOLE 1 0 4603031 0 PIMCO CA MUNICIPAL INCOME FUND COMMON 72201C109 633 59800 SH SOLE 1 0 59800 0 PIMCO STRATEGIC INCOME FUND RC COMMON 72200X104 1013 94645 SH SOLE 1 0 94645 0 COHEN & STEERS TOTAL RT REALTY COMMON 19247R103 5964 481167 SH SOLE 1 0 481167 0 WESTERN ASSET INTERMEDIATE MUN COMMON 958435109 98 10000 SH SOLE 1 0 10000 0 WESTERN ASSET WORLDWIDE INC FD COMMON 957668106 780 59353 SH SOLE 1 0 59353 0 AMERICAN SELECT PORTFOLIO SLA COMMON 029570108 6212 580566 SH SOLE 1 0 580566 0 SPECIAL OPPORTUNITIES FD SPE COMMON 84741T104 2056 123135 SH SOLE 1 0 123135 0 FIRSTHAND TECHNOLOGY VALUE FUN COMMON 33766Y100 8382 394457 SH SOLE 1 0 394457 0 TRANSAMERICA INCOME SHARES TAI COMMON 893506105 2384 112572 SH SOLE 1 0 112572 0 LIBERTY ALL STAR EQUITY FUND U COMMON 530158104 4485 746329 SH SOLE 1 0 746329 0 INVESCO CA VALUE MUNICIPAL INC COMMON 46132H106 928 74968 SH SOLE 1 0 74968 0 INVESCO ADVANTAGE MUNICIPAL IN COMMON 46132E103 5546 488640 SH SOLE 1 0 488640 0 DELAWARE INVESTMENTS MN MUNICI COMMON 24610V103 4150 293300 SH SOLE 1 0 293300 0 INVESCO MUNICIPAL OPPORTUNITY COMMON 46132C107 1914 151869 SH SOLE 1 0 151869 0 INVESCO TRUST FOR INVESTMENT G COMMON 46131T101 136 9600 SH SOLE 1 0 9600 0 WESTERN ASSET PREMIER WEA COMMON 957664105 3063 205130 SH SOLE 1 0 205130 0 AMERICAN MUNICIPAL INCOME PORT COMMON 027649102 462 31764 SH SOLE 1 0 31764 0 ZWEIG TOTAL RETURN FD INC ZTR COMMON 989837208 40524 2816152 SH SOLE 1 0 2816152 0