The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ABERDEEN GLOBAL INCOME FD IN | COM | 003013109 | 1,956 | 245,669 | SH | SOLE | 231,473 | 0 | 14,196 | ||
ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 | 6,547 | 515,118 | SH | SOLE | 480,387 | 0 | 34,730 | ||
ADVENT CLAYMORE CV SECS & IN | COM | 00764C109 | 234 | 15,955 | SH | SOLE | 10,972 | 0 | 4,983 | ||
ALLIANCEBERNSTEIN GBL HGH IN | COM | 01879R106 | 1,108 | 88,168 | SH | SOLE | 83,887 | 0 | 4,281 | ||
ALLIANZGI EQUITY & CONV INCO | COM | 018829101 | 1,414 | 76,743 | SH | SOLE | 76,119 | 0 | 624 | ||
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 638 | 50,566 | SH | SOLE | 28,541 | 0 | 22,025 | ||
ALPINE TOTAL DYNAMIC DIVID F | COM SH BEN INT N | 021060207 | 807 | 106,426 | SH | SOLE | 103,268 | 0 | 3,158 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 462 | 26,870 | SH | SOLE | 20,779 | 0 | 6,091 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 4,322 | 286,583 | SH | SOLE | 263,703 | 0 | 22,880 | ||
AVENUE INCOME CR STRATEGIES | COM | 05358E106 | 2,165 | 161,164 | SH | SOLE | 144,074 | 0 | 17,090 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 390 | 36,000 | SH | SOLE | 35,147 | 0 | 853 | ||
BLACKROCK ENH CAP & INC FD I | COM | 09256A109 | 1,712 | 124,908 | SH | SOLE | 123,029 | 0 | 1,879 | ||
BLACKROCK ENHANCED EQT DIV T | COM | 09251A104 | 670 | 82,156 | SH | SOLE | 79,260 | 0 | 2,896 | ||
BLACKROCK GLOBAL OPP EQTY TR | COM | 092501105 | 739 | 63,869 | SH | SOLE | 57,163 | 0 | 6,706 | ||
BLACKROCK INTL GRWTH & INC T | COM BENE INTER | 092524107 | 364 | 66,000 | SH | SOLE | 66,000 | 0 | 0 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 523 | 31,736 | SH | SOLE | 30,310 | 0 | 1,426 | ||
BLACKSTONE GSO LNG SHRT CR I | COM SHS BN INT | 09257D102 | 2,235 | 140,413 | SH | SOLE | 125,899 | 0 | 14,514 | ||
BLACKSTONE GSO STRATEGIC CR | COM SHS BEN IN | 09257R101 | 4,035 | 263,024 | SH | SOLE | 245,967 | 0 | 17,057 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 1,764 | 197,347 | SH | SOLE | 185,400 | 0 | 11,947 | ||
BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 112830104 | 2,715 | 121,706 | SH | SOLE | 111,190 | 0 | 10,516 | ||
CALAMOS CONV & HIGH INCOME F | COM SHS | 12811P108 | 224 | 21,200 | SH | SOLE | 21,200 | 0 | 0 | ||
CALAMOS CONV OPP AND INC FD | SH BEN INT | 128117108 | 1,595 | 158,081 | SH | SOLE | 148,244 | 0 | 9,837 | ||
CALAMOS GBL DYN INCOME FUND | COM | 12811L107 | 3,201 | 459,278 | SH | SOLE | 439,268 | 0 | 20,010 | ||
CALAMOS GLOBAL TOTAL RETURN | COM SH BEN INT | 128118106 | 1,833 | 174,072 | SH | SOLE | 165,946 | 0 | 8,126 | ||
CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 128125101 | 2,688 | 261,695 | SH | SOLE | 237,041 | 0 | 24,654 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 400 | 54,807 | SH | SOLE | 37,544 | 0 | 17,263 | ||
CENTRAL SECS CORP | COM | 155123102 | 7,029 | 322,601 | SH | SOLE | 305,586 | 0 | 17,015 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 1,534 | 179,372 | SH | SOLE | 149,198 | 0 | 30,174 | ||
COHEN & STEERS CLOSED END OP | COM | 19248P106 | 1,233 | 105,406 | SH | SOLE | 95,703 | 0 | 9,703 | ||
COHEN & STEERS QUALITY RLTY | COM | 19247L106 | 373 | 30,534 | SH | SOLE | 30,534 | 0 | 0 | ||
CREDIT SUISSE HIGH YLD BND F | SH BEN INT | 22544F103 | 1,551 | 580,971 | SH | SOLE | 533,631 | 0 | 47,340 | ||
DELAWARE INVTS DIV & INCOME | COM | 245915103 | 1,411 | 141,431 | SH | SOLE | 139,874 | 0 | 1,557 | ||
DEUTSCHE STRATEGIC INCOME TR | SHS | 25160F109 | 150 | 12,598 | SH | SOLE | 9,041 | 0 | 3,557 | ||
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 3,117 | 164,141 | SH | SOLE | 151,274 | 0 | 12,867 | ||
DREYFUS HIGH YIELD STRATEGIE | SH BEN INT | 26200S101 | 635 | 189,000 | SH | SOLE | 170,286 | 0 | 18,714 | ||
EATON VANCE ENH EQTY INC FD | COM | 278277108 | 352 | 27,475 | SH | SOLE | 26,252 | 0 | 1,223 | ||
EATON VANCE ENHANCED EQ INC | COM | 278274105 | 2,082 | 167,911 | SH | SOLE | 157,355 | 0 | 10,556 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 853 | 49,746 | SH | SOLE | 45,054 | 0 | 4,692 | ||
EATON VANCE RISK MNGD DIV EQ | COM | 27829G106 | 2,333 | 260,351 | SH | SOLE | 246,334 | 0 | 14,017 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 693 | 103,742 | SH | SOLE | 92,294 | 0 | 11,448 | ||
EATON VANCE TAX MNGD GBL DV | COM | 27829F108 | 1,076 | 134,204 | SH | SOLE | 125,789 | 0 | 8,415 | ||
EATON VANCE TX ADV GLBL DIV | COM | 27828S101 | 1,365 | 97,011 | SH | SOLE | 94,382 | 0 | 2,629 | ||
EATON VANCE TX MGD DIV EQ IN | COM | 27828N102 | 889 | 85,918 | SH | SOLE | 83,171 | 0 | 2,747 | ||
EUROPEAN EQUITY FUND | COM | 298768102 | 2,484 | 321,770 | SH | SOLE | 294,925 | 0 | 26,845 | ||
FIRST TR DYNAMIC EUROPE EQT | COM SHS | 33740d107 | 882 | 56,855 | SH | SOLE | 53,825 | 0 | 3,030 | ||
FIRST TR ENHANCED EQTY INC F | COM | 337318109 | 1,055 | 78,062 | SH | SOLE | 78,062 | 0 | 0 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 353 | 52,789 | SH | SOLE | 47,426 | 0 | 5,363 | ||
GABELLI CONV&INCOM SECS FD I | COM | 36240B109 | 625 | 132,967 | SH | SOLE | 124,976 | 0 | 7,991 | ||
GABELLI DIVD & INCOME TR | COM | 36242H104 | 1,001 | 49,966 | SH | SOLE | 38,478 | 0 | 11,488 | ||
GABELLI EQUITY TR INC | COM | 362397101 | 990 | 179,267 | SH | SOLE | 173,947 | 0 | 5,320 | ||
GABELLI MULTIMEDIA TR INC | COM | 36239Q109 | 1,448 | 200,034 | SH | SOLE | 195,602 | 0 | 4,432 | ||
GUGGENHEIM CR ALLOCATION FD | COM | 40168G108 | 1,053 | 47,137 | SH | SOLE | 44,549 | 0 | 2,588 | ||
GUGGENHEIM EQ WEIGHT ENHANC | COM SH BEN INT | 40167M106 | 5,262 | 321,450 | SH | SOLE | 292,641 | 0 | 28,809 | ||
HANCOCK JOHN PFD INCOME FD I | COM | 41021P103 | 292 | 16,450 | SH | SOLE | 14,171 | 0 | 2,279 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 1,894 | 153,983 | SH | SOLE | 142,296 | 0 | 11,687 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 346 | 74,600 | SH | SOLE | 68,316 | 0 | 6,284 | ||
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 585 | 39,635 | SH | SOLE | 37,788 | 0 | 1,847 | ||
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 2,623 | 163,619 | SH | SOLE | 157,455 | 0 | 6,164 | ||
LAZARD GLB TTL RET&INCM FD I | COM | 52106W103 | 1,304 | 94,870 | SH | SOLE | 84,699 | 0 | 10,171 | ||
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 4,215 | 816,921 | SH | SOLE | 767,231 | 0 | 49,690 | ||
LIBERTY ALL-STAR GROWTH FD I | COM | 529900102 | 4,961 | 1,186,956 | SH | SOLE | 1,136,763 | 0 | 50,193 | ||
LMP CAP & INCOME FD INC | COM | 50208A102 | 278 | 20,921 | SH | SOLE | 18,834 | 0 | 2,087 | ||
MACQUARIE FT TR GB INF UT DI | COM | 55607W100 | 177 | 15,500 | SH | SOLE | 15,500 | 0 | 0 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 342 | 76,916 | SH | SOLE | 76,916 | 0 | 0 | ||
MFS INTERMEDIATE HIGH INC FD | SH BEN INT | 59318T109 | 344 | 133,242 | SH | SOLE | 130,657 | 0 | 2,585 | ||
MFS SPL VALUE TR | SH BEN INT | 55274E102 | 2,091 | 375,475 | SH | SOLE | 361,454 | 0 | 14,021 | ||
MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 806 | 65,077 | SH | SOLE | 64,076 | 0 | 1,001 | ||
NEW GERMANY FD INC | COM | 644465106 | 1,928 | 147,521 | SH | SOLE | 139,752 | 0 | 7,769 | ||
NUVEEN CORE EQUITY ALPHA FUN | COM | 67090X107 | 5,302 | 405,389 | SH | SOLE | 384,804 | 0 | 20,585 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 704 | 79,500 | SH | SOLE | 77,602 | 0 | 1,898 | ||
NUVEEN DOW 30 DYN OVERWRITE | SHS | 67075F105 | 165 | 11,006 | SH | SOLE | 11,006 | 0 | 0 | ||
NUVEEN FLEXIBLE INVT INCOME | COM | 67075B104 | 224 | 13,437 | SH | SOLE | 13,231 | 0 | 206 | ||
NUVEEN NASDAQ 100 DYNAMIC OV | COM SHS | 670699107 | 589 | 31,757 | SH | SOLE | 27,780 | 0 | 3,977 | ||
NUVEEN PREFERRED SECURITIES | COM | 67072C105 | 279 | 30,000 | SH | SOLE | 26,976 | 0 | 3,024 | ||
NUVEEN REAL ASSET INC & GROW | COM | 67074Y105 | 202 | 12,864 | SH | SOLE | 12,864 | 0 | 0 | ||
NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 3,634 | 285,670 | SH | SOLE | 274,230 | 0 | 11,440 | ||
NUVEEN TAX ADVANTAGED DIV GR | COM | 67073G105 | 3,866 | 277,506 | SH | SOLE | 265,004 | 0 | 12,502 | ||
NUVEEN TX ADV TOTAL RET STRG | COM | 67090H102 | 2,808 | 248,069 | SH | SOLE | 226,433 | 0 | 21,636 | ||
PIMCO INCOME OPPORTUNITY FD | COM | 72202B100 | 285 | 12,307 | SH | SOLE | 10,714 | 0 | 1,593 | ||
PIMCO INCOME STRATEGY FUND | COM | 72201H108 | 3,398 | 321,483 | SH | SOLE | 303,273 | 0 | 18,210 | ||
PIMCO INCOME STRATEGY FUND I | COM | 72201J104 | 2,350 | 247,660 | SH | SOLE | 225,993 | 0 | 21,667 | ||
PIONEER DIV HIGH INCOME TRUS | COM | 723653101 | 3,231 | 201,698 | SH | SOLE | 188,911 | 0 | 12,787 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 142 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
PIONEER HIGH INCOME TR | COM | 72369H106 | 263 | 25,792 | SH | SOLE | 25,792 | 0 | 0 | ||
PRINCIPAL REAL ESTATE INCOME | SHS BEN INT | 74255X104 | 190 | 11,924 | SH | SOLE | 11,924 | 0 | 0 | ||
PRUDENTIAL GLB SHT DUR HG YL | COM | 74433A109 | 205 | 13,800 | SH | SOLE | 7,213 | 0 | 6,587 | ||
PRUDENTIAL SHT DURATION HG Y | COM | 74442F107 | 2,754 | 177,912 | SH | SOLE | 154,549 | 0 | 23,363 | ||
RIVERNORTH OPPRTUNITIES FD I | COM | 76881y109 | 599 | 31,704 | SH | SOLE | 30,230 | 0 | 1,474 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 182 | 22,610 | SH | SOLE | 21,227 | 0 | 1,383 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 2,440 | 299,053 | SH | SOLE | 273,649 | 0 | 25,404 | ||
ROYCE VALUE TR INC | COM | 780910105 | 764 | 57,049 | SH | SOLE | 53,071 | 0 | 3,978 | ||
SOURCE CAP INC | COM | 836144105 | 3,101 | 86,272 | SH | SOLE | 84,506 | 0 | 1,766 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 840 | 61,547 | SH | SOLE | 61,547 | 0 | 0 | ||
SPROTT FOCUS TR INC | COM | 85208J109 | 118 | 17,005 | SH | SOLE | 17,005 | 0 | 0 | ||
SWISS HELVETIA FD INC | COM | 870875101 | 491 | 48,116 | SH | SOLE | 47,542 | 0 | 574 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 2,103 | 324,518 | SH | SOLE | 285,568 | 0 | 38,950 | ||
THL CR SR LN FD | COM | 87244R103 | 1,775 | 94,733 | SH | SOLE | 81,695 | 0 | 13,038 | ||
TRI CONTL CORP | COM | 895436103 | 623 | 28,241 | SH | SOLE | 28,241 | 0 | 0 | ||
VIRTUS GLOBAL MULTI-SEC INC | COM | 92829B101 | 1,873 | 122,157 | SH | SOLE | 115,333 | 0 | 6,824 | ||
VIRTUS TOTAL RETURN FD | COM | 92829A103 | 3,046 | 681,356 | SH | SOLE | 608,538 | 0 | 72,818 | ||
VOYA GLBL ADV & PREM OPP FD | COM | 92912R104 | 1,278 | 130,027 | SH | SOLE | 112,992 | 0 | 17,035 | ||
VOYA GLBL EQTY DIV & PREM OP | COM | 92912T100 | 1,809 | 266,814 | SH | SOLE | 249,559 | 0 | 17,255 | ||
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 407 | 48,040 | SH | SOLE | 47,039 | 0 | 1,001 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 2,767 | 281,436 | SH | SOLE | 259,822 | 0 | 21,614 | ||
WESTERN ASSET GLOBAL CP DEFI | COM | 95790C107 | 817 | 47,746 | SH | SOLE | 46,722 | 0 | 1,024 | ||
WESTERN ASSET HGH YLD DFNDFD | COM | 95768B107 | 646 | 42,957 | SH | SOLE | 37,937 | 0 | 5,020 | ||
WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | 2,558 | 361,315 | SH | SOLE | 335,529 | 0 | 25,786 | ||
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 63 | 12,590 | SH | SOLE | 12,590 | 0 | 0 | ||
ZWEIG FD | COM NEW | 989834205 | 1,226 | 102,136 | SH | SOLE | 96,410 | 0 | 5,726 |