Vice President

0000897101-17-000462.txt : 20170425 0000897101-17-000462.hdr.sgml : 20170425 20170425083354 ACCESSION NUMBER: 0000897101-17-000462 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170425 DATE AS OF CHANGE: 20170425 EFFECTIVENESS DATE: 20170425 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: 17779803 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 03-31-2017 03-31-2017 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 04-25-2017 1 514 4010218 1 0001086316 028-04373 SIT INVESTMENT FIXED INCOME ADVISORS INC INFORMATION TABLE 2 infotable.xml 3M CO COMMON 88579Y101 26261 137255 SH SOLE 1 137255 0 0 ABBOTT LABORATORIES COMMON 002824100 27611 621730 SH SOLE 1 621730 0 0 ABBVIE INC COMMON 00287Y109 37610 577200 SH SOLE 1 577200 0 0 ACADIA HEALTHCARE CO INC COMMON 00404A109 183 4200 SH SOLE 1 4200 0 0 ACCENTURE PLC CL A COMMON G1151C101 27432 228825 SH SOLE 1 228825 0 0 ADIENT PLC COMMON G0084W101 341 4689 SH SOLE 1 4689 0 0 ADOBE SYSTEMS INC COMMON 00724F101 11207 86125 SH SOLE 1 86125 0 0 AETNA INC COMMON 00817Y108 19867 155755 SH SOLE 1 155755 0 0 AFFILIATED MANAGERS GROUP INC COMMON 008252108 3344 20400 SH SOLE 1 20400 0 0 AFLAC INC COMMON 001055102 152 2100 SH SOLE 1 2100 0 0 ALASKA AIR GROUP INC COMMON 011659109 20565 223000 SH SOLE 1 223000 0 0 ALEXION PHARMACEUTICALS INC COMMON 015351109 4513 37220 SH SOLE 1 37220 0 0 ALIBABA GROUP HOLDING LTD ADR DEPOSITARY RECEI 01609W102 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31385 SH SOLE 1 31385 0 0 SOUTHERN CO/THE COMMON 842587107 24075 483625 SH SOLE 1 483625 0 0 SOUTHERN COPPER CORP COMMON 84265V105 115 3200 SH SOLE 1 3200 0 0 SPIRE INC COMMON 84857L101 1544 22875 SH SOLE 1 22875 0 0 STANLEY BLACK & DECKER INC COMMON 854502101 19260 144950 SH SOLE 1 144950 0 0 STARBUCKS CORP COMMON 855244109 26353 451335 SH SOLE 1 451335 0 0 STERIS PLC COMMON G84720104 2431 35000 SH SOLE 1 35000 0 0 STORE CAPITAL CORP COMMON 862121100 392 16400 SH SOLE 1 16400 0 0 SUNCOR ENERGY INC COMMON 867224107 27535 895460 SH SOLE 1 895460 0 0 SVB FINANCIAL GROUP COMMON 78486Q101 1893 10175 SH SOLE 1 10175 0 0 SYNAPTICS INC COMMON 87157D109 1061 21425 SH SOLE 1 21425 0 0 SYNCHRONY FINANCIAL COMMON 87165B103 3448 100525 SH SOLE 1 100525 0 0 SYNOVUS FINANCIAL CORP COMMON 87161C501 217 5281 SH SOLE 1 5281 0 0 T ROWE PRICE GROUP INC COMMON 74144T108 20902 306705 SH SOLE 1 306705 0 0 TAIWAN SEMICONDUCTOR ADR DEPOSITARY RECEI 874039100 85 2600 SH SOLE 1 2600 0 0 TAKE-TWO INTERACTIVE SOFTWARE COMMON 874054109 1719 29000 SH SOLE 1 29000 0 0 TAL EDUCATION GROUP ADR DEPOSITARY RECEI 874080104 693 6500 SH SOLE 1 6500 0 0 TARGET CORP COMMON 87612E106 6741 122150 SH SOLE 1 122150 0 0 TATA MOTORS LTD ADR DEPOSITARY RECEI 876568502 258 7250 SH SOLE 1 7250 0 0 TELEFLEX INC COMMON 879369106 542 2800 SH SOLE 1 2800 0 0 TENNECO INC COMMON 880349105 1145 18350 SH SOLE 1 18350 0 0 TEXAS INSTRUMENTS INC COMMON 882508104 9 116 SH SOLE 1 116 0 0 THERMO FISHER SCIENTIFIC INC COMMON 883556102 6598 42955 SH SOLE 1 42955 0 0 THOR INDUSTRIES INC COMMON 885160101 2394 24900 SH SOLE 1 24900 0 0 TIME INC COMMON 887228104 354 18300 SH SOLE 1 18300 0 0 TIME WARNER INC COMMON 887317303 14762 151080 SH SOLE 1 151080 0 0 TJX COS INC/THE COMMON 872540109 38929 492270 SH SOLE 1 492270 0 0 TORO CO/THE COMMON 891092108 226 3625 SH SOLE 1 3625 0 0 TOTAL SYSTEM SERVICES INC COMMON 891906109 956 17891 SH SOLE 1 17891 0 0 TRAVELERS COS INC/THE COMMON 89417E109 506 4200 SH SOLE 1 4200 0 0 TUPPERWARE BRANDS CORP COMMON 899896104 1058 16875 SH SOLE 1 16875 0 0 ULTA BEAUTY INC COMMON 90384S303 9112 31945 SH SOLE 1 31945 0 0 ULTIMATE SOFTWARE GROUP INC/TH COMMON 90385D107 5559 28475 SH SOLE 1 28475 0 0 UMPQUA HOLDINGS CORP COMMON 904214103 59 3325 SH SOLE 1 3325 0 0 UNIBAIL-RODAMCO SE ADR DEPOSITARY RECEI 904587102 2155 92555 SH SOLE 1 92555 0 0 UNION PACIFIC CORP COMMON 907818108 31002 292690 SH SOLE 1 292690 0 0 UNITED PARCEL SERVICE INC CL B COMMON 911312106 4111 38310 SH SOLE 1 38310 0 0 UNITED TECHNOLOGIES CORP COMMON 913017109 22132 197235 SH SOLE 1 197235 0 0 UNITEDHEALTH GROUP INC COMMON 91324P102 38273 233355 SH SOLE 1 233355 0 0 US BANCORP COMMON 902973304 40553 787440 SH SOLE 1 787440 0 0 US SILICA HOLDINGS INC COMMON 90346E103 1238 25800 SH SOLE 1 25800 0 0 VAIL RESORTS INC COMMON 91879Q109 2532 13195 SH SOLE 1 13195 0 0 VALIDUS HOLDINGS LTD COMMON G9319H102 1425 25275 SH SOLE 1 25275 0 0 VERIZON COMMUNICATIONS INC COMMON 92343V104 59535 1221231 SH SOLE 1 1221231 0 0 VERMILION ENERGY INC COMMON 923725105 1972 52575 SH SOLE 1 52575 0 0 VISA INC COMMON 92826C839 30841 347030 SH SOLE 1 347030 0 0 VWR CORP COMMON 91843L103 1449 51400 SH SOLE 1 51400 0 0 WABTEC CORP/DE COMMON 929740108 942 12075 SH SOLE 1 12075 0 0 WAL-MART STORES INC COMMON 931142103 9 119 SH SOLE 1 119 0 0 WALT DISNEY CO/THE COMMON 254687106 23846 210300 SH SOLE 1 210300 0 0 WASTE CONNECTIONS INC COMMON 94106B101 7755 87900 SH SOLE 1 87900 0 0 WATSCO INC COMMON 942622200 437 3050 SH SOLE 1 3050 0 0 WEC ENERGY GROUP INC COMMON 92939U106 3653 60245 SH SOLE 1 60245 0 0 WELLS FARGO & CO COMMON 949746101 1713 30770 SH SOLE 1 30770 0 0 WESTERN REFINING INC COMMON 959319104 1683 48000 SH SOLE 1 48000 0 0 WESTPAC BANKING CORP ADR DEPOSITARY RECEI 961214301 1864 69750 SH SOLE 1 69750 0 0 WINTRUST FINANCIAL CORP COMMON 97650W108 778 11250 SH SOLE 1 11250 0 0 WPP PLC COMMON 00B8KF9B4 1541 70200 SH SOLE 1 70200 0 0 WPP PLC - SPON ADR DEPOSITARY RECEI 92937A102 864 7900 SH SOLE 1 7900 0 0 XILINX INC COMMON 983919101 7889 136275 SH SOLE 1 136275 0 0 XL GROUP LTD COMMON G98294104 16058 402850 SH SOLE 1 402850 0 0 ZIMMER BIOMET HOLDINGS INC COMMON 98956P102 19049 155995 SH SOLE 1 155995 0 0 ZURICH INSURANCE GROUP AG ADR DEPOSITARY RECEI 989825104 2206 82700 SH SOLE 1 82700 0 0 ADVENT CLAYMORE CV SEC AND INC COMMON 007639107 10340 1692358 SH SOLE 1 0 1692358 0 ADVENT CLAYMORE CV SEC AND INC COMMON 00764C109 8507 543248 SH SOLE 1 0 543248 0 ALLIANCEBERNSTEIN NATIONAL MUN COMMON 01864U106 1918 143347 SH SOLE 1 0 143347 0 ALLIANZGI CONVERTIBLE & INCOME COMMON 018828103 5429 803110 SH SOLE 1 0 803110 0 ALLIANZGI CONVERTIBLE & INCOME COMMON 018825109 6881 1137414 SH SOLE 1 0 1137414 0 ALPINE GLOBAL DYNAMIC DIV FD COMMON 02082E205 2606 267025 SH SOLE 1 0 267025 0 APOLLO TACTICAL INCOME FD AIF COMMON 037638103 960 58275 SH SOLE 1 0 58275 0 AVENUE INCOME CRED STRAT FD AC COMMON 05358E106 1977 141603 SH SOLE 1 0 141603 0 BARINGS GLOBAL SHORT DURA HI Y COMMON 06760L100 1941 98105 SH SOLE 1 0 98105 0 BLACKROCK CORE BOND TRUST BHK COMMON 09249E101 24285 1819080 SH SOLE 1 0 1819080 0 BLACKROCK CREDIT ALLOCATION IN COMMON 092508100 47985 3646270 SH SOLE 1 0 3646270 0 BLACKROCK DEBT STRATEGIES FUND COMMON 09255R202 11127 965867 SH SOLE 1 0 965867 0 BLACKROCK ENHANCED GOVERNMENT COMMON 09255K108 31597 2390064 SH SOLE 1 0 2390064 0 BLACKROCK FL MUNI 2020 TERM TR COMMON 09250M109 719 47670 SH SOLE 1 0 47670 0 BLACKROCK INCOME TRUST INC BKT COMMON 09247F100 54687 8834661 SH SOLE 1 0 8834661 0 BLACKROCK LONG-TERM MUNI ADVAN COMMON 09250B103 9552 833470 SH SOLE 1 0 833470 0 BLACKROCK MUNI INC INV QUAL TR COMMON 09250G102 1427 99441 SH SOLE 1 0 99441 0 BLACKROCK MUNICIPAL 2018 TERM COMMON 09248C106 1313 86932 SH SOLE 1 0 86932 0 BLACKROCK MUNICIPAL INC QUALIT COMMON 092479104 1166 83614 SH SOLE 1 0 83614 0 BLACKROCK MUNIENHANCED FD MEN COMMON 09253Y100 162 13865 SH SOLE 1 0 13865 0 BLACKROCK MUNIHOLDINGS FUND II COMMON 09253P109 2057 132453 SH SOLE 1 0 132453 0 BLACKROCK MUNIHOLDINGS INV QUA COMMON 09254P108 4753 330739 SH SOLE 1 0 330739 0 BLACKROCK MUNIHOLDINGS NJ QUAL COMMON 09254X101 603 42371 SH SOLE 1 0 42371 0 BLACKROCK MUNIHOLDINGS NY QUAL COMMON 09255C106 232 17000 SH SOLE 1 0 17000 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254C107 5018 378713 SH SOLE 1 0 378713 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254A101 4111 311712 SH SOLE 1 0 311712 0 BLACKROCK MUNIYIELD FUND INC M COMMON 09253W104 349 24302 SH SOLE 1 0 24302 0 BLACKROCK MUNIYIELD INV QUALIT COMMON 09254T100 4939 356891 SH SOLE 1 0 356891 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254V105 5279 388135 SH SOLE 1 0 388135 0 BLACKROCK MUNIYIELD NY QUALITY COMMON 09255E102 555 42800 SH SOLE 1 0 42800 0 BLACKROCK MUNIYIELD PA QUALITY COMMON 09255G107 731 51700 SH SOLE 1 0 51700 0 BLACKROCK MUNIYIELD QUAL FD IN COMMON 09254F100 245 16377 SH SOLE 1 0 16377 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254G108 3770 294752 SH SOLE 1 0 294752 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254E103 2642 189643 SH SOLE 1 0 189643 0 BLACKROCK TAXABLE MUNI BOND TR COMMON 09248X100 3422 152834 SH SOLE 1 0 152834 0 CALAMOS CVT AND HIGH INC FD C COMMON 12811P108 958 84092 SH SOLE 1 0 84092 0 CALAMOS DYN CONV & INC FD CCD COMMON 12811V105 924 48103 SH SOLE 1 0 48103 0 CENTER COAST MLP & INFRASTRUCT COMMON 151461100 1781 142348 SH SOLE 1 0 142348 0 CLEARBRIDGE AMERICAN ENERGY ML COMMON 184691103 10435 1051920 SH SOLE 1 0 1051920 0 CLEARBRIDGE ENERGY MLP FUND IN COMMON 184692101 19485 1164693 SH SOLE 1 0 1164693 0 CLEARBRIDGE ENERGY MLP OPP FD COMMON 18469P100 11641 864862 SH SOLE 1 0 864862 0 CLEARBRIDGE ENERGY MLP TOTAL R COMMON 18469Q108 9513 697417 SH SOLE 1 0 697417 0 CLOUGH GLOBAL DIV ALLC FD GLV COMMON 18913Y103 5889 443416 SH SOLE 1 0 443416 0 CLOUGH GLOBAL EQUITY FD GLQ COMMON 18914C100 12194 964709 SH SOLE 1 0 964709 0 CLOUGH GLOBAL OPP FD GLO COMMON 18914E106 3796 368910 SH SOLE 1 0 368910 0 COHEN & STEERS MLP INC AND ENE COMMON 19249B106 11244 1003023 SH SOLE 1 0 1003023 0 CORNERSTONE STRATEGIC VAL FD I COMMON 21924B302 19434 1201109 SH SOLE 1 0 1201109 0 CORNERSTONE TOTAL RETURN FUND COMMON 21924U300 29455 1827232 SH SOLE 1 0 1827232 0 CREDIT SUISSE ASSET MANAGEMENT COMMON 224916106 3367 1020450 SH SOLE 1 0 1020450 0 CREDIT SUISSE HIGH YIELD BOND COMMON 22544F103 1926 721495 SH SOLE 1 0 721495 0 CUSHING MLP TOTAL RETURN FUND/ COMMON 231631201 6412 459339 SH SOLE 1 0 459339 0 DELAWARE ENH GBL DIV & INC FD COMMON 246060107 2926 266281 SH SOLE 1 0 266281 0 DELAWARE INVS MN MUNI INC FD I COMMON 24610V103 4869 334436 SH SOLE 1 0 334436 0 DELAWARE INVTS DIV & INCO DDF COMMON 245915103 882 85459 SH SOLE 1 0 85459 0 DEUTSCHE GLOBAL HIGH INCOME FD COMMON 25158V108 5547 653361 SH SOLE 1 0 653361 0 DEUTSCHE HIGH INCOME OPPORTUNI COMMON 25158Y102 10296 702820 SH SOLE 1 0 702820 0 DEUTSCHE MUNICIPAL INCOME TRUS COMMON 25160C106 1652 124693 SH SOLE 1 0 124693 0 DEUTSCHE STRATEGIC INCOME TRUS COMMON 25160F109 2174 177924 SH SOLE 1 0 177924 0 DIVIDEND AND INCOME FUND DNI COMMON 25538A204 2030 168335 SH SOLE 1 0 168335 0 DOUBLELINE INCOME SOLUTIO DSL COMMON 258622109 1456 72531 SH SOLE 1 0 72531 0 DOUBLELINE OPP CRED FD DBL COMMON 258623107 1403 58790 SH SOLE 1 0 58790 0 DREYFUS HI YLD STRAT DHF COMMON 26200S101 2936 866101 SH SOLE 1 0 866101 0 DREYFUS STRATEGIC MUNICIPAL BO COMMON 26202F107 3540 427575 SH SOLE 1 0 427575 0 DREYFUS STRATEGIC MUNICIPALS I COMMON 261932107 1298 150894 SH SOLE 1 0 150894 0 DUFF & PHELPS SELECT ENERGY ML COMMON 26433F108 665 85142 SH SOLE 1 0 85142 0 DUFF & PHELPS UTILITY AND CORP COMMON 26432K108 36254 3936330 SH SOLE 1 0 3936330 0 EATON VANCE CA MUNICIPAL BOND COMMON 27828C106 214 18592 SH SOLE 1 0 18592 0 EATON VANCE LIMITED DURATION I COMMON 27828H105 29993 2168665 SH SOLE 1 0 2168665 0 EATON VANCE MUNICIPAL BOND FUN COMMON 27827X101 1399 111512 SH SOLE 1 0 111512 0 EATON VANCE SHORT DUR DIVERSIF COMMON 27828V104 53120 3762023 SH SOLE 1 0 3762023 0 ELLSWORTH GROWTH AND INCOME FD COMMON 289074106 215 24900 SH SOLE 1 0 24900 0 FEDERATED PREM INT MUN FD FPT COMMON 31423M105 291 22093 SH SOLE 1 0 22093 0 FIDUCIARY/CLAYMORE MLP OPP FD COMMON 31647Q106 7807 498206 SH SOLE 1 0 498206 0 FIRST TR HI INC FD FSD COMMON 33738E109 9083 545224 SH SOLE 1 0 545224 0 FIRST TR INTER DUR PFD & FPF COMMON 33718W103 112 4800 SH SOLE 1 0 4800 0 FIRST TR STRAT HIGH INC FD FHY COMMON 337353304 2962 227329 SH SOLE 1 0 227329 0 FIRST TRUST ABERDEEN GLOBAL OP COMMON 337319107 15200 1308069 SH SOLE 1 0 1308069 0 FIRST TRUST ENERGY INC AND GRO COMMON 33738G104 11146 413122 SH SOLE 1 0 413122 0 FIRST TRUST MLP AND ENERGY INC COMMON 33739B104 2002 122448 SH SOLE 1 0 122448 0 FIRST TRUST MORTGAGE INCOME FU COMMON 33734E103 21680 1538647 SH SOLE 1 0 1538647 0 FIRST TRUST NEW OPPORTUNITIES COMMON 33739M100 454 33586 SH SOLE 1 0 33586 0 FLAHERTY & CRUMRINE PREFERRED COMMON 338478100 308 15000 SH SOLE 1 0 15000 0 FLAHERTY & CRUMRINE TOTAL RETU COMMON 338479108 212 10000 SH SOLE 1 0 10000 0 FRANKLIN LIMITED DURATION INCO COMMON 35472T101 23305 1946938 SH SOLE 1 0 1946938 0 GUGGENHEIM TAXABLE MUNI TR GBA COMMON 401664107 9825 441561 SH SOLE 1 0 441561 0 INSIGHT SELECT INCOME FUND INS COMMON 45781W109 16795 876565 SH SOLE 1 0 876565 0 INVESCO ADVANTAGE MUNI INC TRU COMMON 46132E103 8186 730920 SH SOLE 1 0 730920 0 INVESCO BOND FUND VBF COMMON 46132L107 10659 563066 SH SOLE 1 0 563066 0 INVESCO MUNICIPAL OPPORTUNITY COMMON 46132C107 6708 516786 SH SOLE 1 0 516786 0 INVESCO MUNICIPAL TRUST VKQ COMMON 46131J103 6579 525080 SH SOLE 1 0 525080 0 INVESCO PA VALUE MUNICIPAL INC COMMON 46132K109 2919 239855 SH SOLE 1 0 239855 0 INVESCO QUALITY MUNICIPAL INCO COMMON 46133G107 7248 583133 SH SOLE 1 0 583133 0 INVESCO TRUST FOR INV GRADE MU COMMON 46131M106 9591 738344 SH SOLE 1 0 738344 0 INVESCO TRUST FOR INV GRADE NY COMMON 46131T101 209 15500 SH SOLE 1 0 15500 0 JOHN HANCOCK INCOME SECURITIES COMMON 410123103 21125 1494018 SH SOLE 1 0 1494018 0 JOHN HANCOCK PREFERRED INCOME COMMON 41021P103 778 42183 SH SOLE 1 0 42183 0 KAYNE ANDERSON ENERGY DEVELOPM COMMON 48660Q102 2264 116151 SH SOLE 1 0 116151 0 KAYNE ANDERSON ENRGY TOT RET F COMMON 48660P104 2413 191025 SH SOLE 1 0 191025 0 KAYNE ANDERSON MIDSTREAM ENE F COMMON 48661E108 3087 187292 SH SOLE 1 0 187292 0 KAYNE ANDERSON MLP INVESTMENT COMMON 486606106 16314 776849 SH SOLE 1 0 776849 0 KKR INCOME OPPORTUNITIES FD KI COMMON 48249T106 973 57225 SH SOLE 1 0 57225 0 LAZARD GLB TOT RET & INC FD L COMMON 52106W103 831 55400 SH SOLE 1 0 55400 0 MACQUARIE GLBL INFRASTRUCTURE COMMON 55608D101 2424 106076 SH SOLE 1 0 106076 0 MADISON STRTG SECTOR PREM MSP COMMON 558268108 2799 229431 SH SOLE 1 0 229431 0 MANAGED DUR INV GRADE MUNICIPA COMMON 56165R103 2109 159737 SH SOLE 1 0 159737 0 MFS CHARTER INCOME TRUST MCR COMMON 552727109 15712 1824813 SH SOLE 1 0 1824813 0 MFS GOVERNMENT MARKETS INCOME COMMON 552939100 10694 2160416 SH SOLE 1 0 2160416 0 MFS INTERMEDIATE HIGH INCOME F COMMON 59318T109 1976 748428 SH SOLE 1 0 748428 0 MFS INTERMEDIATE INCOME TRUST COMMON 55273C107 46845 10868910 SH SOLE 1 0 10868910 0 MFS MULTIMARKET INCOME TRUST M COMMON 552737108 6842 1117952 SH SOLE 1 0 1117952 0 MORGAN STANLEY INCOME SECURITI COMMON 61745P874 7111 397680 SH SOLE 1 0 397680 0 NEUBERGER BERMAN MLP INCOME FD COMMON 64129H104 1028 101473 SH SOLE 1 0 101473 0 NUVEEN AMT-FREE MUNI CREDIT IN COMMON 67071L106 5966 408101 SH SOLE 1 0 408101 0 NUVEEN AMT-FREE MUNICIPAL INCO COMMON 670657105 9986 747432 SH SOLE 1 0 747432 0 NUVEEN BUILD AMERICA BOND FUND COMMON 67074C103 3024 144686 SH SOLE 1 0 144686 0 NUVEEN BUILD AMERICA BOND OPP COMMON 67074Q102 15843 732445 SH SOLE 1 0 732445 0 NUVEEN CA DIVIDEND ADV MUNI NA COMMON 67066Y105 249 17287 SH SOLE 1 0 17287 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67066V101 13134 959355 SH SOLE 1 0 959355 0 NUVEEN ENERGY MLP TOTAL RETURN COMMON 67074U103 8064 590965 SH SOLE 1 0 590965 0 NUVEEN ENHANCED MUNI CREDIT OP COMMON 67070X101 2609 181283 SH SOLE 1 0 181283 0 NUVEEN FLEX INV FD JPW COMMON 67075B104 2245 132660 SH SOLE 1 0 132660 0 NUVEEN GLOBAL HIGH INCOME JGH COMMON 67075G103 1449 87977 SH SOLE 1 0 87977 0 NUVEEN MI QUALITY INCOME MUNIC COMMON 670979103 213 15963 SH SOLE 1 0 15963 0 NUVEEN MN QUALITY MUNI INCOME COMMON 670734102 2414 144128 SH SOLE 1 0 144128 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 670735109 6104 246435 SH SOLE 1 0 246435 0 NUVEEN MTG OPP TERM FD 2 JMT COMMON 67074R100 4403 185373 SH SOLE 1 0 185373 0 NUVEEN MULTI-MARKET INCOME FUN COMMON 67075J107 21325 2885716 SH SOLE 1 0 2885716 0 NUVEEN NJ DIVIDEND ADVANTAGE M COMMON 67069Y102 3304 248587 SH SOLE 1 0 248587 0 NUVEEN PA INV QUALITY MUNICIPA COMMON 670972108 693 52779 SH SOLE 1 0 52779 0 NUVEEN PREFERRED SECURITIES IN COMMON 67072C105 3343 350447 SH SOLE 1 0 350447 0 PACHOLDER HIGH YIELD FD PHF COMMON 693742108 3595 465687 SH SOLE 1 0 465687 0 PIMCO CORPORATE OPP FD PTY COMMON 72201B101 1479 94176 SH SOLE 1 0 94176 0 PIMCO DYNAMIC CREDIT AND MTG I COMMON 72202D106 26278 1225668 SH SOLE 1 0 1225668 0 PIMCO INCOME OPPORTUNITY FUND COMMON 72202B100 273 11000 SH SOLE 1 0 11000 0 PIMCO INCOME STRATEGY FUND II COMMON 72201J104 4798 477456 SH SOLE 1 0 477456 0 PIMCO INCOME STRATEGY FUND PFL COMMON 72201H108 2287 204951 SH SOLE 1 0 204951 0 PIONEER DIVERSIFIED HIGH INC H COMMON 723653101 1968 121635 SH SOLE 1 0 121635 0 PRUDENTIAL SHORT DUR HI YLD FD COMMON 74442F107 219 14239 SH SOLE 1 0 14239 0 PUTMAN HIGH INC SEC PCF COMMON 746779107 1590 183448 SH SOLE 1 0 183448 0 PUTNAM MASTER INTERMEDIATE INC COMMON 746909100 42322 9023887 SH SOLE 1 0 9023887 0 PUTNAM MUNICIPAL OPPORTUNITIES COMMON 746922103 3800 316440 SH SOLE 1 0 316440 0 PUTNAM PREMIER INCOME TRUST PP COMMON 746853100 32385 6145187 SH SOLE 1 0 6145187 0 SALIENT MIDSTREAM & MLP FUND S COMMON 79471V105 6378 476675 SH SOLE 1 0 476675 0 SPECIAL OPPORTUNITIES FUND INC COMMON 84741T104 5489 375687 SH SOLE 1 0 375687 0 TORTOISE ENERGY INDEPENDENCE F COMMON 89148K101 5085 308181 SH SOLE 1 0 308181 0 TORTOISE ENERGY INFRASTRUCTURE COMMON 89147L100 24719 708491 SH SOLE 1 0 708491 0 TORTOISE MLP FUND INC NTG COMMON 89148B101 16873 812005 SH SOLE 1 0 812005 0 TORTOISE PIPELINE & ENERGY FUN COMMON 89148H108 4857 229952 SH SOLE 1 0 229952 0 VIRTUS GLOBAL MULTI-SECTOR INC COMMON 92829B101 9054 559602 SH SOLE 1 0 559602 0 VIRTUS TOTAL RETURN FUND DCA COMMON 92829A103 2048 468651 SH SOLE 1 0 468651 0 WA GLOBAL CORPORATE DEFINED OP COMMON 95790C107 1526 87617 SH SOLE 1 0 87617 0 WA/CLAY INFLATION-LINKED OPP & COMMON 95766R104 6265 560837 SH SOLE 1 0 560837 0 WA/CLAY INFLATION-LINKED SEC & COMMON 95766Q106 6989 607175 SH SOLE 1 0 607175 0 WELLS FARGO & CO PERP PFD 949746804 496 400 SH SOLE 1 0 400 0 WELLS FARGO GLOB DIVD OPP FD E COMMON 94987C103 1887 324223 SH SOLE 1 0 324223 0 WELLS FARGO INC OPPORT FD EAD COMMON 94987B105 2925 348240 SH SOLE 1 0 348240 0 WELLS FARGO MULTI-SECTOR INCOM COMMON 94987D101 39869 2990927 SH SOLE 1 0 2990927 0 WESTERN ASSET EMERGING MARKETS COMMON 95766A101 10400 670964 SH SOLE 1 0 670964 0 WESTERN ASSET GLOBAL HIGH INCO COMMON 95766B109 7517 744250 SH SOLE 1 0 744250 0 WESTERN ASSET HGH YLD DFN FD H COMMON 95768B107 1960 127614 SH SOLE 1 0 127614 0 WESTERN ASSET MUNICIPAL PARTNE COMMON 95766P108 296 19613 SH SOLE 1 0 19613 0 WESTERN ASSET PREMIER BOND FUN COMMON 957664105 5847 438004 SH SOLE 1 0 438004 0 WESTERN ASSET VARIABLE RATE ST COMMON 957667108 18081 1089865 SH SOLE 1 0 1089865 0