0000897101-15-000096.txt : 20150128 0000897101-15-000096.hdr.sgml : 20150128 20150128121623 ACCESSION NUMBER: 0000897101-15-000096 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150128 DATE AS OF CHANGE: 20150128 EFFECTIVENESS DATE: 20150128 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: 15553900 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 12-31-2014 12-31-2014 false SIT INVESTMENT ASSOCIATES INC

3300 Ids Center 80 South Eighth Street Minneapolis MN 55402

13F HOLDINGS REPORT 028-00180 N Paul E. Rasmussen 612-331-3223 /s/ Paul E. Rasmussen Minneapolis MN 01-28-2015 1 426 6024338 1 0001086316 028-04373 SIT INVESTMENT FIXED INCOME ADVISORS INC INFORMATION TABLE 2 infotable.xml AFLAC INC COMMON 1055102 131 2150 SH SOLE 1 2150 0 0 AMC NETWORKS INC COMMON 00164V103 1460 22900 SH SOLE 1 22900 0 0 AMN HEALTHCARE SERVICES I COMMON 1744101 1670 85225 SH SOLE 1 85225 0 0 ABBOTT LABORATORIES COMMON 2824100 38774 861265 SH SOLE 1 861265 0 0 ACADIA HEALTHCARE COMPANY COMMON 00404A109 6481 105875 SH SOLE 1 105875 0 0 ADOBE SYSTEMS INC COMMON 00724F101 11037 151815 SH SOLE 1 151815 0 0 ADVISORY BRD CO COMMON 00762W107 2750 56150 SH SOLE 1 56150 0 0 AFFILIATED MANAGERS GROUP INC COMMON 8252108 6988 32925 SH SOLE 1 32925 0 0 AGRIUM INC COMMON 8916108 12273 129575 SH SOLE 1 129575 0 0 AIR METHODS CORP COMMON 9128307 2732 62050 SH SOLE 1 62050 0 0 AIRGAS INC COMMON 9363102 968 8400 SH SOLE 1 8400 0 0 ALASKA AIR GROUP INC COMMON 11659109 5166 86450 SH SOLE 1 86450 0 0 ALEXANDRIA REAL ESTATE EQ COMMON 15271109 14241 160475 SH SOLE 1 160475 0 0 ALEXION PHARMACEUTICALS INC COMMON 15351109 14151 76480 SH SOLE 1 76480 0 0 ALIBABA GROUP HOLDING LTD ADR COMMON 01609W102 405 3900 SH SOLE 1 3900 0 0 ALIGN TECHNOLOGY INC COMMON 16255101 2740 49000 SH SOLE 1 49000 0 0 ALLERGAN INC COMMON 18490102 14121 66425 SH SOLE 1 66425 0 0 ALLIANZ SE - ADR DEPOSITORY RECEI 18805101 280 16885 SH SOLE 1 16885 0 0 ALLIANCEBERNSTEIN HOLDING LP COMMON 01881G106 129 5000 SH SOLE 1 5000 0 0 AMBEV SA-ADR COMMON 02319V103 334 53700 SH SOLE 1 53700 0 0 AMERIPRISE FINANCIAL INC COMMON 03076C106 30107 227655 SH SOLE 1 227655 0 0 AMETEK INC COMMON 31100100 4709 89475 SH SOLE 1 89475 0 0 ANHEUSER BUSCH INBEV SA/N ADR COMMON 03524A108 3518 31325 SH SOLE 1 31325 0 0 ANSYS INC COMMON 03662Q105 11232 136975 SH SOLE 1 136975 0 0 APPLE INC COMMON 37833100 106323 963247 SH SOLE 1 963247 0 0 APPLIED MATERIALS INC COMMON 38222105 52418 2103460 SH SOLE 1 2103460 0 0 ARCHER DANIELS MIDLAND CO COMMON 39483102 37436 719925 SH SOLE 1 719925 0 0 ARES CAPITAL CORP COMMON 04010L103 7786 498933 SH SOLE 1 498933 0 0 ASPEN TECHNOLOGY INC COMMON 45327103 4465 127505 SH SOLE 1 127505 0 0 ATHENAHEALTH INC COMMON 04685W103 1493 10250 SH SOLE 1 10250 0 0 AUTODESK INC COMMON 52769106 411 6850 SH SOLE 1 6850 0 0 AUTOMATIC DATA PROCESSING INC COMMON 53015103 28663 343805 SH SOLE 1 343805 0 0 AVALONBAY CMNTYS INC COMMON 53484101 18219 111506 SH SOLE 1 111506 0 0 BCE INC COMMON 05534B760 19091 416285 SH SOLE 1 416285 0 0 BP PLC ADR DEPOSITORY RECEI 55622104 126 3300 SH SOLE 1 3300 0 0 BNP PARIBAS - ADR DEPOSITORY RECEI 05565A202 241 8210 SH SOLE 1 8210 0 0 BANCO BILBAO VIZCAYA ARG ADR DEPOSITORY RECEI 05946K101 2306 245600 SH SOLE 1 245600 0 0 BANCO SANTANDER CHILE ADR DEPOSITORY RECEI 05965X109 117 5950 SH SOLE 1 5950 0 0 BANK OF NEW YORK MELLON CORP COMMON 64058100 891 21970 SH SOLE 1 21970 0 0 BARCLAYS PLC-SPONS ADR COMMON 06738E204 405 26995 SH SOLE 1 26995 0 0 BECTON DICKINSON AND CO COMMON 75887109 66018 474400 SH SOLE 1 474400 0 0 BHP BILLITON ADR 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SOLE 1 113200 0 0 FIRST REPUBLIC BANK/CA COMMON 33616C100 27746 532350 SH SOLE 1 532350 0 0 FLOWSERVE CORP COMMON 34354P105 1394 23300 SH SOLE 1 23300 0 0 FRANKLIN RESOURCES INC COMMON 354613101 2574 46495 SH SOLE 1 46495 0 0 GDF SUEZ-SPON ADR COMMON 36160B105 510 21870 SH SOLE 1 21870 0 0 G-III APPAREL GROUP LTD COMMON 36237H101 4809 47613 SH SOLE 1 47613 0 0 GALLAGHER ARTHUR J & CO COMMON 363576109 33601 713690 SH SOLE 1 713690 0 0 GENERAL ELECTRIC CO COMMON 369604103 738 29200 SH SOLE 1 29200 0 0 GENERAL MILLS INC COMMON 370334104 544 10200 SH SOLE 1 10200 0 0 GENUINE PARTS CO COMMON 372460105 29363 275525 SH SOLE 1 275525 0 0 GILEAD SCIENCES INC COMMON 375558103 18677 198140 SH SOLE 1 198140 0 0 GOLDMAN SACHS GROUP INC COMMON 38141G104 38664 199475 SH SOLE 1 199475 0 0 GOOGLE INC CL A 38259P508 12861 24235 SH SOLE 1 24235 0 0 GOOGLE INC CL C 38259P706 11857 22525 SH SOLE 1 22525 0 0 GRAINGER W W INC COMMON 384802104 892 3500 SH SOLE 1 3500 0 0 GREENBRIER COS INC COMMON 393657101 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44500 SH SOLE 1 44500 0 0 ICONIX BRAND GROUP INC COMMON 451055107 7082 209575 SH SOLE 1 209575 0 0 IDEX CORP COMMON 45167R104 3474 44625 SH SOLE 1 44625 0 0 IDEXX LABORATORIES INC COMMON 45168D104 890 6000 SH SOLE 1 6000 0 0 ILLINOIS TOOL WORKS INC COMMON 452308109 45113 476375 SH SOLE 1 476375 0 0 INFORMATICA CORP COMMON 45666Q102 7789 204250 SH SOLE 1 204250 0 0 ING GROEP N V ADR DEPOSITORY RECEI 456837103 189 14600 SH SOLE 1 14600 0 0 INTEL CORP COMMON 458140100 81714 2251700 SH SOLE 1 2251700 0 0 INTERCONTINENTALEXCHANGE INC COMMON 45866F104 1579 7200 SH SOLE 1 7200 0 0 INTL BUSINESS MACHINES CORP COMMON 459200101 750 4675 SH SOLE 1 4675 0 0 INTERNATIONAL PAPER CO COMMON 460146103 43920 819710 SH SOLE 1 819710 0 0 INVENSENSE INC COMMON 46123D205 2180 134075 SH SOLE 1 134075 0 0 ISHARES MSCI INDIA ETF COMMON 46429B598 695 23200 SH SOLE 1 23200 0 0 ISIS PHARMACEUTICALS INC COMMON 464330109 4237 68625 SH SOLE 1 68625 0 0 ITC HOLDINGS CORP COMMON 465685105 1967 48650 SH SOLE 1 48650 0 0 JPMORGAN CHASE & CO COMMON 46625H100 98361 1571760 SH SOLE 1 1571760 0 0 JACOBS ENGINEERING GROUP INC COMMON 469814107 1332 29800 SH SOLE 1 29800 0 0 JD.COM INC COMMON 47215P106 162 7000 SH SOLE 1 7000 0 0 JOHNSON & JOHNSON COMMON 478160104 111152 1062945 SH SOLE 1 1062945 0 0 KAYNE ANDERSON MLP INVSM COMMON 486606106 43138 1129866 SH SOLE 1 1129866 0 0 KIMBERLY CLARK CORP COMMON 494368103 22383 193725 SH SOLE 1 193725 0 0 KINDER MORGAN INC COMMON 49456B101 43615 1030845 SH SOLE 1 1030845 0 0 KNIGHT TRANSPORTATION INC COMMON 499064103 3280 97450 SH SOLE 1 97450 0 0 LACLEDE GROUP INC COMMON 505597104 32973 619790 SH SOLE 1 619790 0 0 LAUDER ESTEE COS INC COMMON 518439104 122 1600 SH SOLE 1 1600 0 0 LIONS GATE ENTMNT CORP COMMON 535919203 4295 134125 SH SOLE 1 134125 0 0 LOCKHEED MARTIN CORP COMMON 539830109 38193 198335 SH SOLE 1 198335 0 0 MSC INDL DIRECT INC CL A 553530106 2155 26525 SH SOLE 1 26525 0 0 MACQUARIE INFRASTRUCTURE COMMON 55608B105 41788 587825 SH SOLE 1 587825 0 0 MACYS INC COMMON 55616P104 67004 1019065 SH SOLE 1 1019065 0 0 MANHATTAN ASSOCIATES INC COMMON 562750109 3154 77450 SH SOLE 1 77450 0 0 MARATHON PETROLEUM CORP COMMON 56585A102 33993 376615 SH SOLE 1 376615 0 0 MARSH & MCLENNAN COS INC COMMON 571748102 30781 537755 SH SOLE 1 537755 0 0 MARRIOTT INTERNATIONAL INC/DE CL A 571903202 3085 39532 SH SOLE 1 39532 0 0 MCDONALDS CORP COMMON 580135101 253 2700 SH SOLE 1 2700 0 0 MCKESSON CORP COMMON 58155Q103 9288 44745 SH SOLE 1 44745 0 0 MEDTRONIC INC COMMON 585055106 99315 1375555 SH SOLE 1 1375555 0 0 MERCK & CO INC COMMON 58933Y105 54272 955665 SH SOLE 1 955665 0 0 METLIFE INC COMMON 59156R108 828 15300 SH SOLE 1 15300 0 0 MICROSOFT CORP COMMON 594918104 124651 2683555 SH SOLE 1 2683555 0 0 MOODYS CORP COMMON 615369105 29657 309535 SH SOLE 1 309535 0 0 MOSAIC CO/THE COMMON 61945C103 623 13650 SH SOLE 1 13650 0 0 MURPHY USA INC COMMON 626755102 81 1175 SH SOLE 1 1175 0 0 MYLAN INC COMMON 628530107 4969 88150 SH SOLE 1 88150 0 0 NESTLE 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883556102 8570 68405 SH SOLE 1 68405 0 0 3D SYSTEMS CORP COMMON 88554D205 1908 58050 SH SOLE 1 58050 0 0 3M CO COMMON 88579Y101 39334 239375 SH SOLE 1 239375 0 0 TIME WARNER INC COMMON 887317303 76406 894480 SH SOLE 1 894480 0 0 TORTOISE ENERGY INFRSTRCT COMMON 89147L100 9281 212034 SH SOLE 1 212034 0 0 TOWERS WATSON & CO-CL A COMMON 891894107 1573 13900 SH SOLE 1 13900 0 0 TRAVELERS COS INC/THE COMMON 89417E109 540 5100 SH SOLE 1 5100 0 0 TRINITY INDS INC COMMON 896522109 4854 173290 SH SOLE 1 173290 0 0 TUTOR PERINI CORP COMMON 901109108 3409 141620 SH SOLE 1 141620 0 0 TWENTY FIRST CENTY FOX INC COMMON 90130A101 7917 206140 SH SOLE 1 206140 0 0 US BANCORP COMMON 902973304 3232 71895 SH SOLE 1 71895 0 0 ULTA SALON COSMETICS & FRAG COMMON 90384S303 5286 41350 SH SOLE 1 41350 0 0 ULTIMATE SOFTWARE GROUP INC COMMON 90385D107 8556 58275 SH SOLE 1 58275 0 0 UNION PACIFIC CORP COMMON 907818108 62390 523715 SH SOLE 1 523715 0 0 UNITED PARCEL SERVICE INC CL B 911312106 38833 349309 SH SOLE 1 349309 0 0 UNITED TECHNOLOGIES CORP COMMON 913017109 9186 79880 SH SOLE 1 79880 0 0 UNITEDHEALTH GROUP INC COMMON 91324P102 48223 477035 SH SOLE 1 477035 0 0 VALE SA ADR DEPOSITORY RECEI 91912E105 56 6800 SH SOLE 1 6800 0 0 VALERO ENERGY CORP COMMON 91913Y100 131 2650 SH SOLE 1 2650 0 0 VERIZON COMMUNICATIONS INC COMMON 92343V104 100300 2144070 SH SOLE 1 2144070 0 0 VERTEX PHARMACEUTICALS INC COMMON 92532F100 1687 14200 SH SOLE 1 14200 0 0 VISA INC COMMON 92826C839 19037 72605 SH SOLE 1 72605 0 0 WABTEC CORP/DE COMMON 929740108 2709 31175 SH SOLE 1 31175 0 0 WASTE CONNECTIONS INC COMMON 941053100 6043 137375 SH SOLE 1 137375 0 0 WELLS FARGO & CO COMMON 949746101 1676 30575 SH SOLE 1 30575 0 0 WESTERN REFINING INC COMMON 959319104 2225 58900 SH SOLE 1 58900 0 0 WESTPAC BANKING CORP-ADR DEPOSITORY RECEI 961214301 1581 58790 SH SOLE 1 58790 0 0 WILLIAMS COS INC DEL COMMON 969457100 128 2850 SH SOLE 1 2850 0 0 WISCONSIN ENERGY CORP COMMON 976657106 43923 832825 SH SOLE 1 832825 0 0 XILINX INC COMMON 983919101 41217 952109 SH SOLE 1 952109 0 0 ZIMMER HLDGS INC COMMON 98956P102 56092 494554 SH SOLE 1 494554 0 0 ACTAVIS PLC COMMON G0083B108 10555 41005 SH SOLE 1 41005 0 0 AMBARELLA INC COMMON G037AX101 931 18350 SH SOLE 1 18350 0 0 ACCENTURE PLC COMMON G1151C101 39786 445484 SH SOLE 1 445484 0 0 COVIDIEN PLC COMMON G2554F113 44176 431910 SH SOLE 1 431910 0 0 DELPHI AUTOMOTIVE PLC COMMON G27823106 43706 601020 SH SOLE 1 601020 0 0 GASLOG LTD COMMON G37585109 1900 93375 SH SOLE 1 93375 0 0 INGERSOLL-RAND COMPANY LTD CL A G47791101 1439 22700 SH SOLE 1 22700 0 0 INVESCO LTD COMMON G491BT108 8350 211275 SH SOLE 1 211275 0 0 JAZZ PHARMACEUTICALS PLC COMMON G50871105 1686 10300 SH SOLE 1 10300 0 0 MICHAEL KORS HOLDINGS LTD COMMON G60754101 9271 123455 SH SOLE 1 123455 0 0 PARTNERRE LTD COMMON G6852T105 297 2600 SH SOLE 1 2600 0 0 TYCO INTERNATIONAL PLC COMMON G91442106 51520 1174640 SH SOLE 1 1174640 0 0 VALIDUS HOLDINGS LTD COMMON G9319H102 15247 366875 SH SOLE 1 366875 0 0 XL GROUP PLC COMMON G98290102 26448 769500 SH SOLE 1 769500 0 0 ACE LTD ORD H0023R105 30012 261250 SH SOLE 1 261250 0 0 ASML HOLDING NV DEPOSITORY RECEI N07059210 402 3725 SH SOLE 1 3725 0 0 CORE LABORATORIES NV COMMON N22717107 1233 10250 SH SOLE 1 10250 0 0 LYONDELLBASELL INDUSTRIES COMMON N53745100 24791 312270 SH SOLE 1 312270 0 0 NIELSEN NV COMMON N63218106 37231 832360 SH SOLE 1 832360 0 0 AVAGO TECHNOLOGIES LTD COMMON Y0486S104 70640 702260 SH SOLE 1 702260 0 0 ABERDEEN GLBL INC FD FCO COMMON 3013109 605 62978 SH SOLE 1 0 62978 0 ALLIANCEBERNSTEIN INCOME FUND COMMON 01881E101 46282 6195660 SH SOLE 1 0 6195660 0 AVENUE INCOME CRED STRAT FD AC COMMON 05358E106 1009 66773 SH SOLE 1 0 66773 0 BLACKROCK MUNI INC QUAL TR BY COMMON 92479104 1079 75009 SH SOLE 1 0 75009 0 BLACKROCK INCOME TRUST BKT COMMON 09247F100 30428 4754363 SH SOLE 1 0 4754363 0 BLACKROCK MUNI INC TR BFK COMMON 09248F109 3945 278216 SH SOLE 1 0 278216 0 BLACKROCK STRATEGIC MUNI TR B COMMON 09248T109 1138 80795 SH SOLE 1 0 80795 0 BLACKROCK BUILD AMERICA BOND T COMMON 09248X100 5893 265952 SH SOLE 1 0 265952 0 BLACKROCK CORE BOND TRUST BHK COMMON 09249E101 18735 1419305 SH SOLE 1 0 1419305 0 BLACKROCK NY MUNI INC TR II BF COMMON 09249R102 149 10150 SH SOLE 1 0 10150 0 BLACKROCK CREDIT ALLOCATION IN COMMON 92508100 21407 1656851 SH SOLE 1 0 1656851 0 BLACKROCK LONG-TERM MUNICIPAL COMMON 09250B103 8393 742753 SH SOLE 1 0 742753 0 BLACKROCK MUNIHOLDINGS FUND MH COMMON 09253N104 3937 229991 SH SOLE 1 0 229991 0 BLACKROCK MUNIVEST FUND MVF COMMON 09253R105 3205 323438 SH SOLE 1 0 323438 0 BLACKROCK MUNIVEST MVT COMMON 09253T101 299 19157 SH SOLE 1 0 19157 0 BLACKROCK MUNIYIELD FUND MYD COMMON 09253W104 3708 251582 SH SOLE 1 0 251582 0 BLACKROCK MUNIENHANCED FD MEN COMMON 09253Y100 4328 379667 SH SOLE 1 0 379667 0 BLACKROCK MUNIHOLDNGS QUAL FUN COMMON 09254A101 3788 284354 SH SOLE 1 0 284354 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254C107 5594 415004 SH SOLE 1 0 415004 0 BLACKROCK MUNIYIELD QUALITY FU COMMON 09254E103 6310 448479 SH SOLE 1 0 448479 0 BLACKROCK MUNIYIELD QUAL FD IN COMMON 09254F100 2010 130999 SH SOLE 1 0 130999 0 BLACKROCK MUNIYIELD QUALITY FU COMMON 09254G108 5093 386149 SH SOLE 1 0 386149 0 BLACKROCK MUNIHOLDINGS INVESTM COMMON 09254P108 7604 532497 SH SOLE 1 0 532497 0 BLACKROCK MUNIYIELD INVESTMENT COMMON 09254R104 3304 213421 SH SOLE 1 0 213421 0 BLACKROCK MUNIYIELD INVESTMENT COMMON 09254T100 5030 365544 SH SOLE 1 0 365544 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254V105 2402 173185 SH SOLE 1 0 173185 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254W103 3493 271620 SH SOLE 1 0 271620 0 BLACKROCK MUNIHOLDINGS NY QUAL COMMON 09255C106 189 13500 SH SOLE 1 0 13500 0 BLACKROCK MUNIYIELD NY QUALITY COMMON 09255E102 557 42800 SH SOLE 1 0 42800 0 BLACKROCK MUNIYIELD PA QUALITY COMMON 09255G107 784 54700 SH SOLE 1 0 54700 0 BLACKROCK ENHANCED GOVERNMENT COMMON 09255K108 32547 2282394 SH SOLE 1 0 2282394 0 BLACKROCK DEBT STRATEGIES FD D COMMON 09255R103 4319 1161068 SH SOLE 1 0 1161068 0 BROOKFIELD HIGH INCOME FD HHY COMMON 11272P102 5356 601168 SH SOLE 1 0 601168 0 BROOKFIELD TOTAL RETURN FUND H COMMON 11283U108 32355 1330397 SH SOLE 1 0 1330397 0 CLOUGH GLOBAL EQUITY FD GLQ COMMON 18914C100 4114 284124 SH SOLE 1 0 284124 0 CLOUGH GLOBAL OPP FD GLO COMMON 18914E106 12851 1002443 SH SOLE 1 0 1002443 0 COHEN & STEERS TOTAL RT REALTY COMMON 19247R103 1069 80997 SH SOLE 1 0 80997 0 CORNERSTONE PROGRESSIVE RETURN COMMON 21925C200 17618 1158347 SH SOLE 1 0 1158347 0 CUTWATER SELECT INCOME FUND CS COMMON 232229104 5246 271247 SH SOLE 1 0 271247 0 DELAWARE INVESTMENTS MN MUNICI COMMON 24610V103 3921 293300 SH SOLE 1 0 293300 0 DEUTSCHE HIGH INCOME OPPORT FD COMMON 25158Y102 10983 782789 SH SOLE 1 0 782789 0 DEUTSCHE MUNICIPAL INCOME TRUS COMMON 25160C106 10523 787061 SH SOLE 1 0 787061 0 DIVERSIFIED REAL ASSET INCOME COMMON 25533B108 48424 2792180 SH SOLE 1 0 2792180 0 DOUBLELINE OPP CRED FD DBL COMMON 258623107 206 8400 SH SOLE 1 0 8400 0 DREYFUS STRATEGIC MUNICIPALS L COMMON 261932107 1089 133000 SH SOLE 1 0 133000 0 DREYFUS STRATEGIC MUNICIPAL BO COMMON 26202F107 2576 323666 SH SOLE 1 0 323666 0 DUFF & PHELPS UTILITY AND CORP COMMON 26432K108 28219 2876599 SH SOLE 1 0 2876599 0 EATON VANCE NJ MUNICIPAL INCOM COMMON 27826V106 97 7900 SH SOLE 1 0 7900 0 EATON VANCE CA MUNICIPAL BOND COMMON 27828C106 550 43662 SH SOLE 1 0 43662 0 EATON VANCE LIMITED DURATION I COMMON 27828H105 26367 1867360 SH SOLE 1 0 1867360 0 EATON VANCE SHORT DUR DIVERSIF COMMON 27828V104 21052 1487750 SH SOLE 1 0 1487750 0 FEDERATED ENHANCED TREASURY IN COMMON 314162108 33596 2522198 SH SOLE 1 0 2522198 0 FIRST TR INTER DUR PFD & FPF COMMON 33718W103 852 37500 SH SOLE 1 0 37500 0 FIRST TRUST MORTGAGE INCOME FU COMMON 33734E103 18510 1245610 SH SOLE 1 0 1245610 0 FIRSTHAND TECHNOLOGY VALUE FUN COMMON 33766Y100 8324 446311 SH SOLE 1 0 446311 0 FLAHERTY & CRUMRINE PFD SECURI COMMON 338478100 286 15000 SH SOLE 1 0 15000 0 FLAHERTY & CRUMRINE TOTAL RETU COMMON 338479108 198 10000 SH SOLE 1 0 10000 0 FRANKLIN LIMITED DURATION INCO COMMON 35472T101 27711 2273245 SH SOLE 1 0 2273245 0 GENERAL AMERN INVS CO GAM COMMON 368802104 13458 384502 SH SOLE 1 0 384502 0 JOHN HANCOCK INCOME SECURITIES COMMON 410123103 15874 1110813 SH SOLE 1 0 1110813 0 INVESCO TRUST FOR INVESTMENT G COMMON 46131M106 1094 82300 SH SOLE 1 0 82300 0 INVESCO TRUST FOR INVESTMENT G COMMON 46131T101 131 9600 SH SOLE 1 0 9600 0 INVESCO MUNICIPAL OPPORTUNITY COMMON 46132C107 3046 236869 SH SOLE 1 0 236869 0 INVESCO ADVANTAGE MUNICIPAL IN COMMON 46132E103 6952 599340 SH SOLE 1 0 599340 0 INVESCO CA VALUE MUNICIPAL INC COMMON 46132H106 1702 132368 SH SOLE 1 0 132368 0 INVESCO BD FD VBF COMMON 46132L107 3946 214440 SH SOLE 1 0 214440 0 INVESCO QUALITY MUNICIPAL INCO COMMON 46133G107 1489 119243 SH SOLE 1 0 119243 0 LMP REAL ESTATE INCOME FD RIT COMMON 50208C108 7766 618803 SH SOLE 1 0 618803 0 LIBERTY ALL STAR EQUITY FUND U COMMON 530158104 7455 1246694 SH SOLE 1 0 1246694 0 MFS CHARTER INCOME TRUST MCR COMMON 552727109 13117 1427298 SH SOLE 1 0 1427298 0 MFS INTER INC TRUST MIN COMMON 55273C107 23969 5014432 SH SOLE 1 0 5014432 0 MFS GOVERNMENT MARKETS INCOME COMMON 552939100 6933 1222717 SH SOLE 1 0 1222717 0 MANAGED DURATION INVESTMENT GR COMMON 56165R103 1167 86371 SH SOLE 1 0 86371 0 MONTGOMERY STREET INCOME SECUR COMMON 614115103 7167 436024 SH SOLE 1 0 436024 0 MORGAN STANLEY INCOME SECURITI COMMON 61745P874 4421 246593 SH SOLE 1 0 246593 0 MORGAN STANLEY EM MKTS FD EDD COMMON 617477104 675 63900 SH SOLE 1 0 63900 0 NUVEEN INVESTMENT QUALITY MUNI COMMON 67062E103 30 1945 SH SOLE 1 0 1945 0 NUVEEN PREM INCOME MUN FD NPI COMMON 67062T100 340 24560 SH SOLE 1 0 24560 0 NUVEEN PREMIUM INCOME MUNICIPA COMMON 67063W102 6923 488917 SH SOLE 1 0 488917 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67066V101 143 10000 SH SOLE 1 0 10000 0 NUVEEN NASDAQ 100 DYNAMIC OVER COMMON 670699107 3547 184275 SH SOLE 1 0 184275 0 NUVEEN NJ DIVIDEND ADVANTAGE M COMMON 67069Y102 312 23131 SH SOLE 1 0 23131 0 NUVEEN PREM INCOME MUNI NPT COMMON 6706K4105 864 65179 SH SOLE 1 0 65179 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67070X101 518 37623 SH SOLE 1 0 37623 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67071L106 77 5426 SH SOLE 1 0 5426 0 NUVEEN QUALITY PREFERRED INCOM COMMON 67071S101 252 31251 SH SOLE 1 0 31251 0 NUVEEN QUALITY PREFERRED INCOM COMMON 67072C105 115 12924 SH SOLE 1 0 12924 0 NUVEEN QUALITY PREFERRED INCOM COMMON 67072W101 572 68702 SH SOLE 1 0 68702 0 NUVEEN MN MUNI INCOME FD NMS COMMON 670734102 2467 171782 SH SOLE 1 0 171782 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 670735109 2252 97267 SH SOLE 1 0 97267 0 NUVEEN PREFERRED INCOME OPPORT COMMON 67073B106 342 35765 SH SOLE 1 0 35765 0 NUVEEN CRED STRAT INC FD JQC COMMON 67073D102 11854 1351654 SH SOLE 1 0 1351654 0 NUVEEN BUILD AMERICAN BOND TER COMMON 67074C103 2940 138807 SH SOLE 1 0 138807 0 NUVEEN BUILD AMERICA BOND OPPO COMMON 67074Q102 5608 255486 SH SOLE 1 0 255486 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 67074R100 2311 99733 SH SOLE 1 0 99733 0 NUVEEN PFD & INCOME TERM FD JP COMMON 67075A106 797 35500 SH SOLE 1 0 35500 0 NUVEEN GLOBAL HIGH INCOME JGH COMMON 67075G103 22316 1293697 SH SOLE 1 0 1293697 0 NUVEEN MULTI-MARKET INCOME FD COMMON 67075J107 11866 1547073 SH SOLE 1 0 1547073 0 NUVEEN PA INVESTMENT QUALITY M COMMON 670972108 725 52779 SH SOLE 1 0 52779 0 NUVEEN MI QUALITY INCOME MUNIC COMMON 670979103 218 15963 SH SOLE 1 0 15963 0 NUVEEN MUNICIPAL OPPORTUNITY F COMMON 670984103 574 39100 SH SOLE 1 0 39100 0 NUVEEN PREMIER MUNICIPAL INCOM COMMON 670988104 2813 201344 SH SOLE 1 0 201344 0 OXFORD LANE CAPITAL CORP OXLC COMMON 691543102 869 58100 SH SOLE 1 0 58100 0 PUTNAM PREMIER INCOME TRUST PP COMMON 746853100 36537 6959414 SH SOLE 1 0 6959414 0 PUTNAM MASTER INTERMEDIATE INC COMMON 746909100 29839 6203618 SH SOLE 1 0 6203618 0 PUTNAM MUNICIPAL OPPORTUNITIES COMMON 746922103 78 6529 SH SOLE 1 0 6529 0 SPECIAL OPPORTUNITIES FD SPE COMMON 84741T104 3775 245634 SH SOLE 1 0 245634 0 TRANSAMERICA INCOME SHARES TAI COMMON 893506105 5281 261179 SH SOLE 1 0 261179 0 WELLS FARGO ADVANTAGE MULTI-SE COMMON 94987D101 8775 643777 SH SOLE 1 0 643777 0 WESTERN ASSET PREMIER WEA COMMON 957664105 4218 303685 SH SOLE 1 0 303685 0 WESTERN ASSET VARIABLE RATE ST COMMON 957667108 16483 989977 SH SOLE 1 0 989977 0 WESTERN ASSET WORLDWIDE INC FD COMMON 957668106 434 38068 SH SOLE 1 0 38068 0 WESTERN ASSET MUNICIPAL PARTNE COMMON 95766P108 327 22077 SH SOLE 1 0 22077 0 WESTERN ASSET INV GRA DEF OPP COMMON 95790A101 4523 215364 SH SOLE 1 0 215364 0 WESTERN ASSET MORTGAGE DEFINED COMMON 95790B109 3044 127685 SH SOLE 1 0 127685 0 WESTERN ASSET INTERMEDIATE MUN COMMON 958435109 98 10000 SH SOLE 1 0 10000 0 ZWEIG TOTAL RETURN FD INC ZTR COMMON 989837208 60022 4284237 SH SOLE 1 0 4284237 0