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 ASIA PACIFIC INCOM | COM | 003009107 | 2,618 | 605,933 | SH | SOLE | 565,802 | 0 | 40,131 | ||
ABERDEEN GLOBAL DYNAMIC DIVI | COM | 00302M106 | 4,789 | 467,184 | SH | SOLE | 440,626 | 0 | 26,558 | ||
ABERDEEN GLOBAL INCOME FD IN | COM | 003013109 | 999 | 126,163 | SH | SOLE | 121,781 | 0 | 4,382 | ||
ABERDEEN INCOME CR STRATEGIE | COM | 003057106 | 1,591 | 115,241 | SH | SOLE | 104,983 | 0 | 10,258 | ||
ABERDEEN TOTAL DYNAMIC DIVD | COM SH BEN INT | 00326L100 | 2,862 | 327,086 | SH | SOLE | 279,370 | 0 | 47,716 | ||
ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 | 6,846 | 443,946 | SH | SOLE | 415,740 | 0 | 28,206 | ||
ADVENT CLAY CONV SEC INC FD | COM | 007639107 | 1,893 | 338,705 | SH | SOLE | 315,218 | 0 | 23,487 | ||
ADVENT CLAYMORE ENH GRW & IN | COM | 00765E104 | 255 | 32,972 | SH | SOLE | 29,175 | 0 | 3,797 | ||
ALLIANZGI CON INCM 2024 TARG | COM | 01883H102 | 2,808 | 303,525 | SH | SOLE | 264,897 | 0 | 38,628 | ||
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 4,949 | 392,171 | SH | SOLE | 344,039 | 0 | 48,132 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 2,663 | 170,728 | SH | SOLE | 160,054 | 0 | 10,674 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 435 | 27,036 | SH | SOLE | 26,870 | 0 | 166 | ||
BANCROFT FUND LTD | COM | 059695106 | 686 | 31,365 | SH | SOLE | 27,949 | 0 | 3,416 | ||
BLACKROCK 2022 GBL INCM OPP | COM | 09258P104 | 958 | 107,033 | SH | SOLE | 102,843 | 0 | 4,190 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 188 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
BLACKROCK ENH CAP & INC FD I | COM | 09256A109 | 466 | 28,758 | SH | SOLE | 28,758 | 0 | 0 | ||
BLACKROCK ENHANCED GBL DIV T | COM | 092501105 | 4,044 | 363,689 | SH | SOLE | 342,584 | 0 | 21,105 | ||
BLACKROCK ENHANCED INTL DIV | COM BENE INTER | 092524107 | 2,655 | 462,617 | SH | SOLE | 446,283 | 0 | 16,334 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 448 | 32,254 | SH | SOLE | 32,254 | 0 | 0 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 2,600 | 174,881 | SH | SOLE | 151,767 | 0 | 23,114 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 8,938 | 869,426 | SH | SOLE | 811,941 | 0 | 57,485 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 160 | 21,200 | SH | SOLE | 21,200 | 0 | 0 | ||
CENTRAL SECS CORP | COM | 155123102 | 8,489 | 304,716 | SH | SOLE | 287,137 | 0 | 17,579 | ||
CHINA FD INC | COM | 169373107 | 895 | 42,811 | SH | SOLE | 32,875 | 0 | 9,936 | ||
CLOUGH GLOBAL DIVND AND INC | COM | 18913Y103 | 308 | 24,766 | SH | SOLE | 24,766 | 0 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 462 | 42,040 | SH | SOLE | 42,040 | 0 | 0 | ||
COHEN & STEERS QUALITY RLTY | COM | 19247L106 | 144 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
CREDIT SUISSE ASSET MGMT INC | COM | 224916106 | 571 | 180,576 | SH | SOLE | 159,080 | 0 | 21,496 | ||
DEUTSCHE MULTI-MKT INCOME TR | SHS | 25160E102 | 1,480 | 168,037 | SH | SOLE | 141,150 | 0 | 26,887 | ||
DEUTSCHE STRATEGIC INCOME TR | SHS | 25160F109 | 497 | 40,615 | SH | SOLE | 35,623 | 0 | 4,992 | ||
DREYFUS ALCENTRA GBL CR INCO | COM | 26189A105 | 3,816 | 416,120 | SH | SOLE | 375,422 | 0 | 40,698 | ||
DREYFUS HIGH YIELD STRATEGIE | SH BEN INT | 26200S101 | 2,320 | 736,452 | SH | SOLE | 627,272 | 0 | 109,180 | ||
EAGLE GRWTH & INCOME OPPTY F | COM SHS BEN IN | 26958j105 | 2,126 | 138,203 | SH | SOLE | 134,807 | 0 | 3,396 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 5,194 | 412,867 | SH | SOLE | 373,312 | 0 | 39,555 | ||
EATON VANCE SH TM DR DIVR IN | COM | 27828V104 | 1,614 | 123,967 | SH | SOLE | 116,630 | 0 | 7,337 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 2,764 | 433,194 | SH | SOLE | 417,300 | 0 | 15,894 | ||
EATON VANCE TAX ADV BD OPT S | COM SH BEN INT | 27829M103 | 770 | 84,207 | SH | SOLE | 69,329 | 0 | 14,878 | ||
EUROPEAN EQUITY FUND | COM | 298768102 | 2,210 | 235,311 | SH | SOLE | 217,880 | 0 | 17,431 | ||
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 2,019 | 201,319 | SH | SOLE | 176,281 | 0 | 25,038 | ||
FIRST TR DYNAMIC EUROPE EQT | COM SHS | 33740d107 | 3,123 | 193,516 | SH | SOLE | 181,696 | 0 | 11,820 | ||
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 3,772 | 256,050 | SH | SOLE | 226,891 | 0 | 29,159 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 689 | 53,649 | SH | SOLE | 46,401 | 0 | 7,248 | ||
FIRST TR SR FLOATING RATE 20 | COM SHS | 33740K101 | 665 | 71,707 | SH | SOLE | 45,504 | 0 | 26,203 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 926 | 138,616 | SH | SOLE | 120,676 | 0 | 17,940 | ||
GABELLI DIVD & INCOME TR | COM | 36242H104 | 2,967 | 131,502 | SH | SOLE | 125,833 | 0 | 5,669 | ||
GABELLI GLB SML & MD CP VAL | COM | 36249W104 | 1,922 | 158,603 | SH | SOLE | 142,953 | 0 | 15,650 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 9,788 | 285,206 | SH | SOLE | 265,354 | 0 | 19,852 | ||
HANCOCK JOHN INVS TR | COM | 410142103 | 1,227 | 76,905 | SH | SOLE | 74,057 | 0 | 2,848 | ||
HANCOCK JOHN TAX-ADV DIV INC | COM | 41013V100 | 1,237 | 52,911 | SH | SOLE | 51,133 | 0 | 1,778 | ||
HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 683 | 103,532 | SH | SOLE | 98,221 | 0 | 5,311 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 1,443 | 124,178 | SH | SOLE | 119,675 | 0 | 4,503 | ||
INVESCO HIGH INCOME TR II | COM | 46131F101 | 178 | 13,230 | SH | SOLE | 11,850 | 0 | 1,380 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 342 | 79,854 | SH | SOLE | 78,108 | 0 | 1,746 | ||
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 3,805 | 265,559 | SH | SOLE | 236,548 | 0 | 29,011 | ||
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 545 | 52,630 | SH | SOLE | 49,370 | 0 | 3,260 | ||
LMP CAP & INCOME FD INC | COM | 50208A102 | 675 | 52,495 | SH | SOLE | 48,622 | 0 | 3,873 | ||
MACQUARIE FT TR GB INF UT DI | COM | 55607W100 | 141 | 13,063 | SH | SOLE | 13,063 | 0 | 0 | ||
MADISON CVRED CALL & EQ STR | COM | 557437100 | 2,795 | 375,171 | SH | SOLE | 336,978 | 0 | 38,193 | ||
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 224 | 28,200 | SH | SOLE | 15,321 | 0 | 12,879 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 80 | 20,629 | SH | SOLE | 20,629 | 0 | 0 | ||
MFS INTERMEDIATE HIGH INC FD | SH BEN INT | 59318T109 | 219 | 86,777 | SH | SOLE | 84,148 | 0 | 2,629 | ||
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 681 | 29,500 | SH | SOLE | 27,978 | 0 | 1,522 | ||
MORGAN STANLEY EMER MKTS DEB | COM | 61744H105 | 116 | 13,220 | SH | SOLE | 13,220 | 0 | 0 | ||
MORGAN STANLEY EMER MKTS FD | COM | 61744G107 | 291 | 17,892 | SH | SOLE | 17,892 | 0 | 0 | ||
NEUBERGER BERMAN HGH YLD FD | COM | 64128C106 | 2,867 | 264,998 | SH | SOLE | 237,991 | 0 | 27,007 | ||
NEW GERMANY FD INC | COM | 644465106 | 3,682 | 201,872 | SH | SOLE | 194,501 | 0 | 7,371 | ||
NEW IRELAND FUND INC | COM | 645673104 | 986 | 84,416 | SH | SOLE | 71,499 | 0 | 12,917 | ||
NUVEEN CR OPPORTUNITIES 2022 | COM | 67075U102 | 122 | 12,897 | SH | SOLE | 12,897 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 299 | 37,641 | SH | SOLE | 36,250 | 0 | 1,391 | ||
NUVEEN DIVERSIFIED DIV INCM | COM | 6706EP105 | 279 | 23,900 | SH | SOLE | 23,900 | 0 | 0 | ||
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 714 | 68,354 | SH | SOLE | 46,419 | 0 | 21,935 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 234 | 22,520 | SH | SOLE | 22,520 | 0 | 0 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 1,584 | 102,612 | SH | SOLE | 85,852 | 0 | 16,760 | ||
NUVEEN PFD & INCM OPPORTNYS | COM | 67073B106 | 168 | 18,000 | SH | SOLE | 16,146 | 0 | 1,854 | ||
NUVEEN PFD & INCM SECURTIES | COM | 67072C105 | 467 | 53,004 | SH | SOLE | 53,004 | 0 | 0 | ||
NUVEEN REAL ESTATE INCOME FD | COM | 67071B108 | 187 | 18,679 | SH | SOLE | 16,949 | 0 | 1,730 | ||
NUVEEN SR INCOME FD | COM | 67067Y104 | 2,364 | 379,466 | SH | SOLE | 333,332 | 0 | 46,134 | ||
NUVEEN TAX ADVANTAGED DIV GR | COM | 67073G105 | 2,841 | 172,301 | SH | SOLE | 163,637 | 0 | 8,664 | ||
NUVEEN TX ADV TOTAL RET STRG | COM | 67090H102 | 2,518 | 195,638 | SH | SOLE | 188,488 | 0 | 7,150 | ||
PIONEER DIV HIGH INCOME TRUS | COM | 723653101 | 3,185 | 218,627 | SH | SOLE | 212,622 | 0 | 6,005 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 3,313 | 296,292 | SH | SOLE | 252,029 | 0 | 44,263 | ||
PIONEER HIGH INCOME TR | COM | 72369H106 | 947 | 101,977 | SH | SOLE | 98,319 | 0 | 3,658 | ||
PUTNAM MASTER INTER INCOME T | SH BEN INT | 746909100 | 614 | 131,399 | SH | SOLE | 113,581 | 0 | 17,818 | ||
RIVERNORTH DOUBLELINE STRATE | COM | 76882G107 | 745 | 42,117 | SH | SOLE | 34,903 | 0 | 7,214 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 1,370 | 130,310 | SH | SOLE | 117,621 | 0 | 12,689 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 5,346 | 535,168 | SH | SOLE | 508,230 | 0 | 26,938 | ||
SOURCE CAP INC | COM | 836144105 | 8,951 | 225,177 | SH | SOLE | 209,646 | 0 | 15,531 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 6,701 | 446,144 | SH | SOLE | 421,779 | 0 | 24,365 | ||
SPECIAL OPPORTUNITIES FD INC | PFD CONV SE B | 84741T302 | 931 | 36,515 | SH | SOLE | 33,506 | 0 | 3,009 | ||
SPROTT FOCUS TR INC | COM | 85208J109 | 682 | 87,227 | SH | SOLE | 84,924 | 0 | 2,303 | ||
SWISS HELVETIA FD INC | COM | 870875101 | 303 | 24,511 | SH | SOLE | 24,077 | 0 | 434 | ||
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 556 | 25,870 | SH | SOLE | 24,818 | 0 | 1,052 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 636 | 29,854 | SH | SOLE | 29,854 | 0 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 129 | 20,957 | SH | SOLE | 17,717 | 0 | 3,240 | ||
TRI CONTL CORP | COM | 895436103 | 9,081 | 342,551 | SH | SOLE | 318,961 | 0 | 23,590 | ||
VIRTUS GLOBAL MULTI-SEC INC | COM | 92829B101 | 1,743 | 130,383 | SH | SOLE | 116,188 | 0 | 14,195 | ||
VOYA ASIA PAC DIVID EQUITY I | COM | 92912J102 | 402 | 40,193 | SH | SOLE | 23,152 | 0 | 17,041 | ||
VOYA EMERGING MKTS HIGH DIVI | COM | 92912P108 | 402 | 49,936 | SH | SOLE | 49,936 | 0 | 0 | ||
WELLS FARGO GLOBAL DIVIDEND | COM | 94987C103 | 226 | 40,496 | SH | SOLE | 36,098 | 0 | 4,398 | ||
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 2,315 | 289,756 | SH | SOLE | 260,146 | 0 | 29,610 | ||
WELLS FARGO MULTI SECTOR INC | COM | 94987D101 | 193 | 15,500 | SH | SOLE | 15,500 | 0 | 0 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 2,625 | 287,805 | SH | SOLE | 278,242 | 0 | 9,563 | ||
WESTERN ASSET HGH YLD DFNDFD | COM | 95768B107 | 369 | 25,313 | SH | SOLE | 19,345 | 0 | 5,968 | ||
WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | 1,780 | 276,432 | SH | SOLE | 261,616 | 0 | 14,816 | ||
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 230 | 47,626 | SH | SOLE | 43,628 | 0 | 3,998 | ||
XAI OCTAGON FLOATNG RATE ALT | COM | 98400T106 | 1,702 | 186,233 | SH | SOLE | 161,363 | 0 | 24,870 |