Vice President

0000897101-17-001252.txt : 20171018 0000897101-17-001252.hdr.sgml : 20171018 20171018144016 ACCESSION NUMBER: 0000897101-17-001252 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171018 DATE AS OF CHANGE: 20171018 EFFECTIVENESS DATE: 20171018 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: 171142504 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 09-30-2017 09-30-2017 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/Raul E. Rasmussen Minneapolis MN 10-18-2017 1 656 4023872 1 0001086316 028-04373 SIT INVESTMENT FIXED INCOME ADVISORS INC INFORMATION TABLE 2 infotable.xml ABB LTD - ADR DEPOSITARY RECEI 000375204 9 346 SH SOLE 1 346 0 0 AFLAC INC COMMON 001055102 174 2137 SH SOLE 1 2137 0 0 AIA GROUP LTD ADR DEPOSITARY RECEI 001317205 11 379 SH SOLE 1 379 0 0 ABBOTT LABORATORIES COMMON 002824100 38820 727520 SH SOLE 1 727520 0 0 ADVANCED MICRO DEVICES IN COMMON 007903107 1756 137700 SH SOLE 1 137700 0 0 AFFILIATED MANAGERS GROUP INC COMMON 008252108 3782 19925 SH SOLE 1 19925 0 0 AIRBUS SE ADR DEPOSITARY RECEI 009279100 7 302 SH SOLE 1 302 0 0 ALASKA AIR GROUP INC COMMON 011659109 18847 247105 SH SOLE 1 247105 0 0 ALEXION PHARMACEUTICALS INC COMMON 015351109 4204 29970 SH SOLE 1 29970 0 0 ALIGN TECHNOLOGY INC COMMON 016255101 4053 21760 SH SOLE 1 21760 0 0 ALLIANZ SE ADR DEPOSITARY RECEI 018805101 3655 163240 SH SOLE 1 163240 0 0 ALLSTATE CORP/THE COMMON 020002101 15222 165615 SH SOLE 1 165615 0 0 ALTABA INC 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02341R302 949 19765 SH SOLE 1 19765 0 0 AMERICAN AIRLS GROUP INC COMMON 02376R102 3 54 SH SOLE 1 54 0 0 AMERIPRISE FINANCIAL INC COMMON 03076C106 2747 18495 SH SOLE 1 18495 0 0 ANDEAVOR COMMON 03349M105 1524 14771 SH SOLE 1 14771 0 0 ANGLO AMERN PLC ADR DEPOSITARY RECEI 03485P300 7 786 SH SOLE 1 786 0 0 ANHEUSER-BUSCH INBEV SA/NV ADR DEPOSITARY RECEI 03524A108 5026 42127 SH SOLE 1 42127 0 0 ANSYS INC COMMON 03662Q105 6848 55795 SH SOLE 1 55795 0 0 APPLIED INDL TECHNOLOGIES COMMON 03820C105 303 4600 SH SOLE 1 4600 0 0 ATOS ORIGIN SA ADR DEPOSITARY RECEI 04962A105 5 167 SH SOLE 1 167 0 0 AVIVA PLC DEPOSITARY RECEI 05382A104 8 536 SH SOLE 1 536 0 0 B& G FOODS INC COMMON 05508R106 44 1390 SH SOLE 1 1390 0 0 BAE SYS PLC -ADR DEPOSITARY RECEI 05523R107 5 140 SH SOLE 1 140 0 0 BCE INC COMMON 05534B760 4325 92365 SH SOLE 1 92365 0 0 BNP PARIBAS - ADR DEPOSITARY RECEI 05565A202 7 171 SH SOLE 1 171 0 0 BANCO BILBAO VIZCAYA ARG ADR DEPOSITARY RECEI 05946K101 8 942 SH SOLE 1 942 0 0 BANCO 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SH SOLE 1 69700 0 0 CENTERPOINT ENERGY INC COMMON 15189T107 1029 35234 SH SOLE 1 35234 0 0 CHINA LIFE INSURANCE CO LTD AD DEPOSITARY RECEI 16939P106 290 19300 SH SOLE 1 19300 0 0 CHINA MOBILE LTD ADR DEPOSITARY RECEI 16941M109 377 7450 SH SOLE 1 7450 0 0 CHINA PETE & CHEM CORP ADR DEPOSITARY RECEI 16941R108 212 2800 SH SOLE 1 2800 0 0 CINEMARK HOLDINGS INC COMMON 17243V102 3483 96185 SH SOLE 1 96185 0 0 CISCO SYSTEMS INC COMMON 17275R102 19 554 SH SOLE 1 554 0 0 COMCAST CORP COMMON 20030N101 17158 445884 SH SOLE 1 445884 0 0 COMSCORE INC COMMON 20564W105 3 100 SH SOLE 1 100 0 0 CONOCOPHILLIPS COMMON 20825C104 7 132 SH SOLE 1 132 0 0 COSTCO WHOLESALE CORP COMMON 22160K105 14034 85425 SH SOLE 1 85425 0 0 CTRIP.COM INTERNATIONAL LTD AD DEPOSITARY RECEI 22943F100 323 6125 SH SOLE 1 6125 0 0 DBV TECHNOLOGIES SPON ADR DEPOSITARY RECEI 23306J101 800 18850 SH SOLE 1 18850 0 0 DXC TECHNOLOGY CO COMMON 23355L106 1 14 SH SOLE 1 14 0 0 DAIKIN INDS LTD ADR DEPOSITARY RECEI 23381B106 6 30 SH SOLE 1 30 0 0 DANONE SA ADR DEPOSITARY RECEI 23636T100 10 633 SH SOLE 1 633 0 0 DEUTSCHE POST AG ADR DEPOSITARY RECEI 25157Y202 10 228 SH SOLE 1 228 0 0 DIAGEO PLC ADR DEPOSITARY RECEI 25243Q205 5250 39733 SH SOLE 1 39733 0 0 DOWDUPONT INC COMMON 26078J100 52761 762110 SH SOLE 1 762110 0 0 EOG RESOURCES INC COMMON 26875P101 1160 11987 SH SOLE 1 11987 0 0 EQT CORP COMMON 26884L109 404 6200 SH SOLE 1 6200 0 0 EAST WEST BANCORP INC COMMON 27579R104 21176 354225 SH SOLE 1 354225 0 0 EMBRAER SA ADR DEPOSITARY RECEI 29082A107 88 3875 SH SOLE 1 3875 0 0 EMCOR GROUP INC COMMON 29084Q100 2512 36200 SH SOLE 1 36200 0 0 ENVISION HEALTHCARE CORP COMMON 29414D100 1761 39175 SH SOLE 1 39175 0 0 EQUITY LIFESTYLE PROPERTIES IN REIT 29472R108 225 2650 SH SOLE 1 2650 0 0 EVERCORE PARTNERS INC-CL A COMMON 29977A105 582 7250 SH SOLE 1 7250 0 0 EVERSOURCE ENERGY COMMON 30040W108 53 875 SH SOLE 1 875 0 0 EXACT SCIENCES CORP COMMON 30063P105 1409 29900 SH SOLE 1 29900 0 0 EXXON MOBIL CORP COMMON 30231G102 1095 13360 SH SOLE 1 13360 0 0 FACEBOOK INC-A COMMON 30303M102 13590 79535 SH SOLE 1 79535 0 0 FARMLAND PARTNERS INC REIT 31154R109 239 26475 SH SOLE 1 26475 0 0 FEDEX CORP COMMON 31428X106 23767 105360 SH SOLE 1 105360 0 0 FINISAR CORP COMMON 31787A507 1 45 SH SOLE 1 45 0 0 FIRST REPUBLIC BANK/CA COMMON 33616C100 5192 49700 SH SOLE 1 49700 0 0 GLENCORE PLC ADR DEPOSITARY RECEI 37827X100 10 1076 SH SOLE 1 1076 0 0 GOLDMAN SACHS GROUP INC/THE COMMON 38141G104 5914 24933 SH SOLE 1 24933 0 0 GRAND CANYON EDUCATION INC COMMON 38526M106 951 10475 SH SOLE 1 10475 0 0 GREEN BANCORP INC COMMON 39260X100 2 66 SH SOLE 1 66 0 0 HDFC BANK LTD ADR DEPOSITARY RECEI 40415F101 422 4375 SH SOLE 1 4375 0 0 HEWLETT-PACKARD CO COMMON 40434L105 4 224 SH SOLE 1 224 0 0 HALOZYME THERAPEUTICS INC COMMON 40637H109 1181 68000 SH SOLE 1 68000 0 0 HEWLETT PACKARD ENTERPRISE CO COMMON 42824C109 3 171 SH SOLE 1 171 0 0 IDEX CORP COMMON 45167R104 1348 11100 SH SOLE 1 11100 0 0 INCYTE CORP COMMON 45337C102 5602 47985 SH SOLE 1 47985 0 0 INFINEON TECHNOLOGIES AG ADR DEPOSITARY RECEI 45662N103 5 196 SH SOLE 1 196 0 0 INTEGER HLDGS CORP COMMON 45826H109 4 81 SH SOLE 1 81 0 0 INTERCONTINENTAL EXCHANGE INC COMMON 45866F104 1958 28500 SH SOLE 1 28500 0 0 ISHARES MSCI INDIA ETF EXCHANGE TRADED 46429B598 857 26075 SH SOLE 1 26075 0 0 JPMORGAN CHASE & CO COMMON 46625H100 61414 643014 SH SOLE 1 643014 0 0 JD.COM INC ADR DEPOSITARY RECEI 47215P106 407 10650 SH SOLE 1 10650 0 0 KBC GROUP NV ADR DEPOSITARY RECEI 48241F104 8 177 SH SOLE 1 177 0 0 K2M GROUP HOLDINGS INC COMMON 48273J107 1919 90475 SH SOLE 1 90475 0 0 KB HOME COMMON 48666K109 1 50 SH SOLE 1 50 0 0 KINDER MORGAN INC COMMON 49456B101 38 1995 SH SOLE 1 1995 0 0 LEVEL 3 COMMUNICATIONS IN COMMON 52729N308 1 26 SH SOLE 1 26 0 0 LOGMEIN INC COMMON 54142L109 2742 24920 SH SOLE 1 24920 0 0 MKS INSTRUMENTS INC COMMON 55306N104 3646 38600 SH SOLE 1 38600 0 0 MACOM TECH SOLUTIONS HLDG COMMON 55405Y100 2402 53850 SH SOLE 1 53850 0 0 MACQUARIE GROUP LIMITED ADR DEPOSITARY RECEI 55607P204 4 51 SH SOLE 1 51 0 0 MACQUARIE INFRASTRUCTURE CORP COMMON 55608B105 17298 239645 SH SOLE 1 239645 0 0 MARATHON PETROLEUM CORP COMMON 56585A102 22375 398975 SH SOLE 1 398975 0 0 MERCK & CO INC COMMON 58933Y105 23665 369594 SH SOLE 1 369594 0 0 MESA LABS INC COMMON 59064R109 314 2100 SH SOLE 1 2100 0 0 METLIFE INC COMMON 59156R108 12804 246464 SH SOLE 1 246464 0 0 MONEYGRAM INTL INC COMMON 60935Y208 1 73 SH SOLE 1 73 0 0 MONSANTO CO COMMON 61166W101 359 3000 SH SOLE 1 3000 0 0 MOSAIC CO/THE COMMON 61945C103 221 10250 SH SOLE 1 10250 0 0 NETAPP INC COMMON 64110D104 2 42 SH SOLE 1 42 0 0 NEXTERA ENERGY INC COMMON 65339F101 31680 216174 SH SOLE 1 216174 0 0 NORDEA BK SWEDEN A B ADR DEPOSITARY RECEI 65557A206 2 157 SH SOLE 1 157 0 0 NOVARTIS AG ADR DEPOSITARY RECEI 66987V109 1631 18995 SH SOLE 1 18995 0 0 NVIDIA CORP COMMON 67066G104 5748 32155 SH SOLE 1 32155 0 0 ONE GAS INC COMMON 68235P108 3 39 SH SOLE 1 39 0 0 ORACLE CORP COMMON 68389X105 24913 515264 SH SOLE 1 515264 0 0 ORBITAL ATK INC COMMON 68557N103 5956 44725 SH SOLE 1 44725 0 0 PTC INC COMMON 69370C100 3799 67500 SH SOLE 1 67500 0 0 PANASONIC CORP ADR DEPOSITARY RECEI 69832A205 6 416 SH SOLE 1 416 0 0 PAYCOM SOFTWARE INC COMMON 70432V102 1669 22260 SH SOLE 1 22260 0 0 PAYPAL HOLDINGS INC COMMON 70450Y103 3890 60750 SH SOLE 1 60750 0 0 PHIBRO ANIMAL HEALTH CORP COMMON 71742Q106 2897 78200 SH SOLE 1 78200 0 0 PHYSICIANS REALTY TRUST REIT 71943U104 26056 1469620 SH SOLE 1 1469620 0 0 PINNACLE FOODS INC COMMON 72348P104 1431 25025 SH SOLE 1 25025 0 0 T ROWE PRICE GROUP INC COMMON 74144T108 16342 180275 SH SOLE 1 180275 0 0 PRINCIPAL FINL GROUP INC COMMON 74251V102 4 64 SH SOLE 1 64 0 0 PROLOGIS INC REIT 74340W103 6 97 SH SOLE 1 97 0 0 PROVIDENT FINL SVCS INC COMMON 74386T105 1062 39825 SH SOLE 1 39825 0 0 QTS REALTY TR INC-CL A COMMON 74736A103 963 18385 SH SOLE 1 18385 0 0 QUEST DIAGNOSTICS INC COMMON 74834L100 2 22 SH SOLE 1 22 0 0 REGIONS FINL CORP NEW COMMON 7591EP100 5 304 SH SOLE 1 304 0 0 RELX NV-SPON ADR DEPOSITARY RECEI 75955B102 2752 129005 SH SOLE 1 129005 0 0 SBA COMMUNICATIONS CORP REIT 78410G104 5014 34810 SH SOLE 1 34810 0 0 SVB FINANCIAL GROUP COMMON 78486Q101 3349 17900 SH SOLE 1 17900 0 0 SALESFORCE.COM INC COMMON 79466L302 1658 17745 SH SOLE 1 17745 0 0 SCHNEIDER ELECTRIC SE-UNSP ADR DEPOSITARY RECEI 80687P106 1 75 SH SOLE 1 75 0 0 SENSIENT TECHNOLOGIES CORP COMMON 81725T100 675 8775 SH SOLE 1 8775 0 0 SHENANDOAH TELECOMMUNICATIONS COMMON 82312B106 2102 56500 SH SOLE 1 56500 0 0 SKYWORKS SOLUTIONS INC COMMON 83088M102 28540 280080 SH SOLE 1 280080 0 0 SOFTBANK GROUP CORP DEPOSITARY RECEI 83404D109 11 261 SH SOLE 1 261 0 0 SOUTHERN COPPER CORP COMMON 84265V105 215 5400 SH SOLE 1 5400 0 0 SPIRE INC COMMON 84857L101 1484 19875 SH SOLE 1 19875 0 0 SPRINT NEXTEL CORP COMMON 85207U105 1 117 SH SOLE 1 117 0 0 SUMITOMO MITSUI FINL GROUP DEPOSITARY RECEI 86562M209 10 1276 SH SOLE 1 1276 0 0 SYNOVUS FINANCIAL CORP COMMON 87161C501 243 5281 SH SOLE 1 5281 0 0 3M CO COMMON 88579Y101 26101 124350 SH SOLE 1 124350 0 0 TRANSCANADA CORP COMMON 89353D107 15976 323200 SH SOLE 1 323200 0 0 TREASURY WINE ESTATES LTD ADR DEPOSITARY RECEI 89465J109 5 473 SH SOLE 1 473 0 0 ULTA BEAUTY INC COMMON 90384S303 9485 41960 SH SOLE 1 41960 0 0 ULTIMATE SOFTWARE GROUP INC/TH COMMON 90385D107 4925 25975 SH SOLE 1 25975 0 0 UNITEDHEALTH GROUP INC COMMON 91324P102 36476 186245 SH SOLE 1 186245 0 0 VWR CORP COMMON 91843L103 992 29975 SH SOLE 1 29975 0 0 VAIL RESORTS INC COMMON 91879Q109 2924 12820 SH SOLE 1 12820 0 0 VEOLIA ENVIRONNEMENT ADR DEPOSITARY RECEI 92334N103 6 266 SH SOLE 1 266 0 0 VERIZON COMMUNICATIONS INC COMMON 92343V104 61931 1251379 SH SOLE 1 1251379 0 0 VISA INC COMMON 92826C839 35456 336905 SH SOLE 1 336905 0 0 WPP PLC - SPON ADR DEPOSITARY RECEI 92937A102 973 10485 SH SOLE 1 10485 0 0 WEC ENERGY GROUP INC COMMON 92939U106 3827 60962 SH SOLE 1 60962 0 0 WASTE CONNECTIONS INC COMMON 94106B101 9139 130631 SH SOLE 1 130631 0 0 WASTE MANAGEMENT INC COMMON 94106L109 28 355 SH SOLE 1 355 0 0 WELLTOWER INC REIT 95040Q104 3 49 SH SOLE 1 49 0 0 WINTRUST FINANCIAL CORP COMMON 97650W108 1000 12765 SH SOLE 1 12765 0 0 WYNN MACAU LTD ADR DEPOSITARY RECEI 98313R106 3 107 SH SOLE 1 107 0 0 HEXAGON AB-B SHS COMMON 00B1XFTL2 258 5200 SH SOLE 1 5200 0 0 WPP PLC COMMON 00B8KF9B4 1917 103300 SH SOLE 1 103300 0 0 NATIONAL GRID PLC COMMON 00BDR05C0 572 46200 SH SOLE 1 46200 0 0 ADIENT PLC COMMON G0084W101 416 4949 SH SOLE 1 4949 0 0 ALLERGAN PLC COMMON G0177J108 23724 115755 SH SOLE 1 115755 0 0 AMBARELLA INC COMMON G037AX101 556 11350 SH SOLE 1 11350 0 0 ACCENTURE PLC CL A COMMON G1151C101 23942 177255 SH SOLE 1 177255 0 0 COCA-COLA EUROPEAN PARTNERS PL COMMON G25839104 2347 56400 SH SOLE 1 56400 0 0 EATON CORP PLC COMMON G29183103 39 509 SH SOLE 1 509 0 0 FRESH DEL MONTE PRODUCE INC COMMON G36738105 446 9800 SH SOLE 1 9800 0 0 GEOPARK LTD COMMON G38327105 128 14600 SH SOLE 1 14600 0 0 GENPACT LTD COMMON G3922B107 1021 35510 SH SOLE 1 35510 0 0 JANUS HENDERSON GROUP PLC COMMON G4474Y214 746 21423 SH SOLE 1 21423 0 0 INGERSOLL-RAND PLC COMMON G47791101 18238 204531 SH SOLE 1 204531 0 0 INVESCO LTD COMMON G491BT108 2639 75320 SH SOLE 1 75320 0 0 JAZZ PHARMACEUTICALS PLC COMMON G50871105 1155 7900 SH SOLE 1 7900 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 2 87 SH SOLE 1 87 0 0 MEDTRONIC PLC COMMON G5960L103 20667 265745 SH SOLE 1 265745 0 0 STERIS PLC COMMON G84720104 2648 29955 SH SOLE 1 29955 0 0 VALIDUS HOLDINGS LTD COMMON G9319H102 7686 156190 SH SOLE 1 156190 0 0 GOLAR LNG LTD COMMON G9456A100 383 16950 SH SOLE 1 16950 0 0 XL GROUP LTD COMMON G98294104 965 24455 SH SOLE 1 24455 0 0 CHUBB LTD COMMON H1467J104 5158 36186 SH SOLE 1 36186 0 0 TE CONNECTIVITY LTD COMMON H84989104 6954 83725 SH SOLE 1 83725 0 0 ORION ENGINEERED CARBONS SA COMMON L72967109 1243 55382 SH SOLE 1 55382 0 0 CHECK POINT SOFTWARE TECH COMMON M22465104 5 41 SH SOLE 1 41 0 0 ASML HOLDING NV NY REG SHRS N07059210 295 1726 SH SOLE 1 1726 0 0 FERRARI N V COMMON N3167Y103 7 64 SH SOLE 1 64 0 0 LYONDELLBASELL INDUSTRIES NV COMMON N53745100 15870 160225 SH SOLE 1 160225 0 0 NXP SEMICONDUCTORS N V COMMON N6596X109 1 13 SH SOLE 1 13 0 0 COPA HOLDINGS SA COMMON P31076105 1 10 SH SOLE 1 10 0 0 BROADCOM LTD COMMON Y09827109 53429 220290 SH SOLE 1 220290 0 0 WELLS FARGO & COMPANY PFDÿÿ 7.50 PERPE 949746804 526 400 SH SOLE 1 400 0 0 CORNERSTONE TOTAL RETURN FUND COMMON 21924U300 38369 2622655 SH SOLE 1 0 2622655 0 CLEARBRIDGE ENERGY MLP TOTAL R COMMON 18469Q108 8035 632158 SH SOLE 1 0 632158 0 MFS INVESTMENT GRADE MUNICIPAL COMMON 59318B108 82 8203 SH SOLE 1 0 8203 0 AVENUE INCOME CRED STRAT FD AC COMMON 05358E106 1997 135382 SH SOLE 1 0 135382 0 ALLIANCEBERNSTEIN NATIONAL MUN COMMON 01864U106 1725 123532 SH SOLE 1 0 123532 0 APOLLO SR FLOATING RATE FD AFT COMMON 037636107 179 10695 SH SOLE 1 0 10695 0 ADVENT CLAYMORE CV SEC AND INC COMMON 007639107 7057 1130975 SH SOLE 1 0 1130975 0 ALPINE GLOBAL DYNAMIC DIV FD COMMON 02082E205 12462 1174530 SH SOLE 1 0 1174530 0 ARES DYNAMIC CRED ALLOC FD AR COMMON 04014F102 820 50000 SH SOLE 1 0 50000 0 ADVENT CLAYMORE CV SEC AND INC COMMON 00764C109 5982 369481 SH SOLE 1 0 369481 0 BLACKROCK MUNI INC INV QUAL TR COMMON 09250G102 1564 102863 SH SOLE 1 0 102863 0 BLACKROCK TAXABLE MUNI BOND TR COMMON 09248X100 2062 88246 SH SOLE 1 0 88246 0 BLACKROCK FL MUNI 2020 TERM TR COMMON 09250M109 717 47670 SH SOLE 1 0 47670 0 BLACKSTONE GSO STRAT CRED FD B COMMON 09257R101 948 59333 SH SOLE 1 0 59333 0 BARINGS GLOBAL SHORT DURA HI Y COMMON 06760L100 2750 133486 SH SOLE 1 0 133486 0 BLACKSTONE GSO LNG SHRT CRED I COMMON 09257D102 1084 67433 SH SOLE 1 0 67433 0 BLACKROCK CORE BOND TRUST BHK COMMON 09249E101 25271 1797399 SH SOLE 1 0 1797399 0 BLACKROCK INCOME TRUST INC BKT COMMON 09247F100 55173 8785478 SH SOLE 1 0 8785478 0 BLACKROCK MUNICIPAL 2018 TERM COMMON 09248C106 1588 105625 SH SOLE 1 0 105625 0 BLACKROCK LONG-TERM MUNI ADVAN COMMON 09250B103 9242 763183 SH SOLE 1 0 763183 0 BLACKROCK CREDIT ALLOCATION IN COMMON 092508100 49349 3636613 SH SOLE 1 0 3636613 0 BLACKROCK MUNICIPAL INC QUALIT COMMON 092479104 998 67936 SH SOLE 1 0 67936 0 CLEARBRIDGE AMERICAN ENERGY ML COMMON 184691103 9399 1096758 SH SOLE 1 0 1096758 0 CALAMOS DYN CONV & INC FD CCD COMMON 12811V105 503 24409 SH SOLE 1 0 24409 0 CLEARBRIDGE ENERGY MLP FUND IN COMMON 184692101 18332 1235332 SH SOLE 1 0 1235332 0 CENTER COAST MLP & INFRASTRUCT COMMON 151461100 1633 154679 SH SOLE 1 0 154679 0 CALAMOS CVT AND HIGH INC FD C COMMON 12811P108 363 30477 SH SOLE 1 0 30477 0 MFS INTERMEDIATE HIGH INCOME F COMMON 59318T109 1478 504423 SH SOLE 1 0 504423 0 CREDIT SUISSE ASSET MANAGEMENT COMMON 224916106 1191 351464 SH SOLE 1 0 351464 0 CORNERSTONE STRATEGIC VAL FD I COMMON 21924B302 69948 4723021 SH SOLE 1 0 4723021 0 DELAWARE ENH GBL DIV & INC FD COMMON 246060107 10571 891289 SH SOLE 1 0 891289 0 DREYFUS HI YLD STRAT DHF COMMON 26200S101 3036 860053 SH SOLE 1 0 860053 0 DEUTSCHE HIGH INCOME OPPORTUNI COMMON 25158Y102 16637 1099593 SH SOLE 1 0 1099593 0 CREDIT SUISSE HIGH YIELD BOND COMMON 22544F103 1955 678671 SH SOLE 1 0 678671 0 DIVIDEND AND INCOME FUND DNI COMMON 25538A204 2561 199121 SH SOLE 1 0 199121 0 DUFF & PHELPS SELECT ENERGY ML COMMON 26433F108 13 1979 SH SOLE 1 0 1979 0 DOUBLELINE INCOME SOLUTIO DSL COMMON 258622109 1458 68626 SH SOLE 1 0 68626 0 DREYFUS STRATEGIC MUNICIPAL BO COMMON 26202F107 2000 236174 SH SOLE 1 0 236174 0 BLACKROCK DEBT STRATEGIES FUND COMMON 09255R202 12410 1063384 SH SOLE 1 0 1063384 0 DUFF & PHELPS UTILITY AND CORP COMMON 26432K108 38107 4124119 SH SOLE 1 0 4124119 0 WELLS FARGO INC OPPORT FD EAD COMMON 94987B105 2771 316634 SH SOLE 1 0 316634 0 EATON VANCE FLT RT INC TR EFT COMMON 278279104 844 57725 SH SOLE 1 0 57725 0 BLACKROCK ENHANCED GOVERNMENT COMMON 09255K108 35031 2568261 SH SOLE 1 0 2568261 0 WESTERN ASSET GLOBAL HIGH INCO COMMON 95766B109 6298 612053 SH SOLE 1 0 612053 0 EATON VANCE CA MUNICIPAL BOND COMMON 27828C106 224 18592 SH SOLE 1 0 18592 0 EATON VANCE MUNICIPAL BOND FUN COMMON 27827X101 1446 114012 SH SOLE 1 0 114012 0 WESTERN ASSET EMERGING MARKETS COMMON 95766A101 9059 575512 SH SOLE 1 0 575512 0 CLEARBRIDGE ENERGY MLP OPP FD COMMON 18469P100 10796 887084 SH SOLE 1 0 887084 0 WELLS FARGO GLOB DIVD OPP FD E COMMON 94987C103 4158 663217 SH SOLE 1 0 663217 0 WELLS FARGO MULTI-SECTOR INCOM COMMON 94987D101 22180 1652720 SH SOLE 1 0 1652720 0 EATON VANCE SHORT DUR DIVERSIF COMMON 27828V104 52005 3652012 SH SOLE 1 0 3652012 0 EATON VANCE LIMITED DURATION I COMMON 27828H105 33349 2376967 SH SOLE 1 0 2376967 0 FIRST TRUST ABERDEEN GLOBAL OP COMMON 337319107 11914 1010479 SH SOLE 1 0 1010479 0 FIRST TRUST MLP AND ENERGY INC COMMON 33739B104 1336 87576 SH SOLE 1 0 87576 0 FIRST TRUST ENERGY INC AND GRO COMMON 33738G104 13273 538473 SH SOLE 1 0 538473 0 FLAHERTY & CRUMRINE PREFERRED COMMON 338478100 321 15000 SH SOLE 1 0 15000 0 FIRST TR STRAT HIGH INC FD FHY COMMON 337353304 1048 76982 SH SOLE 1 0 76982 0 FLAHERTY & CRUMRINE TOTAL RETU COMMON 338479108 217 10100 SH SOLE 1 0 10100 0 FIDUCIARY/CLAYMORE MLP OPP FD COMMON 31647Q106 10527 814759 SH SOLE 1 0 814759 0 FIRST TRUST MORTGAGE INCOME FU COMMON 33734E103 22982 1611758 SH SOLE 1 0 1611758 0 FIRST TR INTER DUR PFD & FPF COMMON 33718W103 91 3690 SH SOLE 1 0 3690 0 FIRST TRUST NEW OPPORTUNITIES COMMON 33739M100 1730 137156 SH SOLE 1 0 137156 0 FEDERATED PREM INT MUN FD FPT COMMON 31423M105 534 39241 SH SOLE 1 0 39241 0 FIRST TR HI INC FD FSD COMMON 33738E109 848 49802 SH SOLE 1 0 49802 0 FRANKLIN LIMITED DURATION INCO COMMON 35472T101 21425 1783931 SH SOLE 1 0 1783931 0 GENERAL AMERN INVS CO GAM COMMON 368802104 4936 137031 SH SOLE 1 0 137031 0 GUGGENHEIM TAXABLE MUNI TR GBA COMMON 401664107 9023 395760 SH SOLE 1 0 395760 0 WA GLOBAL CORPORATE DEFINED OP COMMON 95790C107 1505 82555 SH SOLE 1 0 82555 0 WESTERN ASSET VARIABLE RATE ST COMMON 957667108 19845 1141177 SH SOLE 1 0 1141177 0 GUGGENHEIM CR ALLOC FD GGM COMMON 40168G108 933 40221 SH SOLE 1 0 40221 0 CLOUGH GLOBAL OPP FD GLO COMMON 18914E106 23584 2113257 SH SOLE 1 0 2113257 0 CLOUGH GLOBAL EQUITY FD GLQ COMMON 18914C100 14967 1128699 SH SOLE 1 0 1128699 0 CLOUGH GLOBAL DIV ALLC FD GLV COMMON 18913Y103 6786 487878 SH SOLE 1 0 487878 0 PIONEER DIVERSIFIED HIGH INC H COMMON 723653101 2173 131161 SH SOLE 1 0 131161 0 WESTERN ASSET HGH YLD DFN FD H COMMON 95768B107 2119 136290 SH SOLE 1 0 136290 0 MORGAN STANLEY INCOME SECURITI COMMON 61745P874 10734 586573 SH SOLE 1 0 586573 0 INSIGHT SELECT INCOME FUND INS COMMON 45781W109 21254 1057401 SH SOLE 1 0 1057401 0 INVESCO QUALITY MUNICIPAL INCO COMMON 46133G107 6496 507533 SH SOLE 1 0 507533 0 PRUDENTIAL SHORT DUR HI YLD FD COMMON 74442F107 1006 65953 SH SOLE 1 0 65953 0 NUVEEN GLOBAL HIGH INCOME JGH COMMON 67075G103 901 51898 SH SOLE 1 0 51898 0 NUVEEN HIGH INC DEC 18 TGT TER COMMON 67075P103 4584 456589 SH SOLE 1 0 456589 0 JOHN HANCOCK INCOME SECURITIES COMMON 410123103 21572 1454644 SH SOLE 1 0 1454644 0 NUVEEN MORTGAGE OPPORTUNITY TE COMMON 670735109 5985 235986 SH SOLE 1 0 235986 0 NUVEEN ENERGY MLP TOTAL RETURN COMMON 67074U103 5412 448728 SH SOLE 1 0 448728 0 NUVEEN MULTI-MARKET INCOME FUN COMMON 67075J107 23225 3059181 SH SOLE 1 0 3059181 0 NUVEEN MTG OPP TERM FD 2 JMT COMMON 67074R100 4617 188072 SH SOLE 1 0 188072 0 NUVEEN PFD & INCOME TERM FD JP COMMON 67075A106 826 32807 SH SOLE 1 0 32807 0 NUVEEN PREFERRED SECURITIES IN COMMON 67072C105 837 80392 SH SOLE 1 0 80392 0 NUVEEN CRED STRAT INC FD JQC COMMON 67073D102 84 9917 SH SOLE 1 0 9917 0 KAYNE ANDERSON ENERGY DEVELOPM COMMON 48660Q102 3871 223394 SH SOLE 1 0 223394 0 KKR INCOME OPPORTUNITIES FD KI COMMON 48249T106 1077 60156 SH SOLE 1 0 60156 0 KAYNE ANDERSON MIDSTREAM ENE F COMMON 48661E108 3958 269265 SH SOLE 1 0 269265 0 DEUTSCHE MUNICIPAL INCOME TRUS COMMON 25160C106 564 44363 SH SOLE 1 0 44363 0 KAYNE ANDERSON ENRGY TOT RET F COMMON 48660P104 4575 411437 SH SOLE 1 0 411437 0 KAYNE ANDERSON MLP INVESTMENT COMMON 486606106 17338 954236 SH SOLE 1 0 954236 0 ADVENT/CLAYMORE ENHANCED GROWT COMMON 00765E104 2130 247356 SH SOLE 1 0 247356 0 DREYFUS STRATEGIC MUNICIPALS I COMMON 261932107 147 16700 SH SOLE 1 0 16700 0 LAZARD GLB TOT RET & INC FD L COMMON 52106W103 7103 423815 SH SOLE 1 0 423815 0 MFS CHARTER INCOME TRUST MCR COMMON 552727109 9668 1115158 SH SOLE 1 0 1115158 0 BLACKROCK MUNIHOLDINGS INV QUA COMMON 09254P108 3999 270022 SH SOLE 1 0 270022 0 BLACKROCK MUNIYIELD INV QUALIT COMMON 09254T100 4486 310212 SH SOLE 1 0 310212 0 MFS GOVERNMENT MARKETS INCOME COMMON 552939100 12046 2438517 SH SOLE 1 0 2438517 0 BLACKROCK MUNIHOLDINGS NY QUAL COMMON 09255C106 240 17000 SH SOLE 1 0 17000 0 COHEN & STEERS MLP INC AND ENE COMMON 19249B106 8275 793338 SH SOLE 1 0 793338 0 MFS INTERMEDIATE INCOME TRUST COMMON 55273C107 52285 12216157 SH SOLE 1 0 12216157 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254V105 5048 361635 SH SOLE 1 0 361635 0 MFS MULTIMARKET INCOME TRUST M COMMON 552737108 7038 1127952 SH SOLE 1 0 1127952 0 WESTERN ASSET MUNICIPAL PARTNE COMMON 95766P108 304 19613 SH SOLE 1 0 19613 0 BLACKROCK MUNIYIELD PA QUALITY COMMON 09255G107 745 51700 SH SOLE 1 0 51700 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254G108 3973 297840 SH SOLE 1 0 297840 0 MORGAN STANLEY EM MKTS FD MSD COMMON 61744H105 4046 401793 SH SOLE 1 0 401793 0 MADISON STRTG SECTOR PREM MSP COMMON 558268108 4775 397545 SH SOLE 1 0 397545 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254C107 4532 325359 SH SOLE 1 0 325359 0 BLACKROCK MUNIHOLDINGS FUND II COMMON 09253P109 935 59698 SH SOLE 1 0 59698 0 BLACKROCK MUNIHOLDINGS NJ QUAL COMMON 09254X101 618 42371 SH SOLE 1 0 42371 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254A101 4023 295812 SH SOLE 1 0 295812 0 BLACKROCK MUNIYIELD FUND INC M COMMON 09253W104 366 24302 SH SOLE 1 0 24302 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254E103 2718 189643 SH SOLE 1 0 189643 0 BLACKROCK MUNIYIELD NY QUALITY COMMON 09255E102 565 42800 SH SOLE 1 0 42800 0 MANAGED DUR INV GRADE MUNICIPA COMMON 56165R103 2185 158460 SH SOLE 1 0 158460 0 NUVEEN DIVIDEND ADVANTAGE MUNI COMMON 67066V101 13691 964816 SH SOLE 1 0 964816 0 NUVEEN BUILD AMERICA BOND FUND COMMON 67074C103 4442 206913 SH SOLE 1 0 206913 0 NUVEEN BUILD AMERICA BOND OPP COMMON 67074Q102 17074 775014 SH SOLE 1 0 775014 0 ALLIANZGI CONVERTIBLE & INCOME COMMON 018828103 6 817 SH SOLE 1 0 817 0 ALLIANZGI CONVERTIBLE & INCOME COMMON 018825109 122 19515 SH SOLE 1 0 19515 0 TORTOISE ENERGY INDEPENDENCE F COMMON 89148K101 2693 201618 SH SOLE 1 0 201618 0 NUVEEN AMT-FREE MUNICIPAL INCO COMMON 670657105 10839 782590 SH SOLE 1 0 782590 0 NEUBERGER BERMAN MLP INCOME FD COMMON 64129H104 546 57511 SH SOLE 1 0 57511 0 NUVEEN MN QUALITY MUNI INCOME COMMON 670734102 2198 144128 SH SOLE 1 0 144128 0 NUVEEN PA INV QUALITY MUNICIPA COMMON 670972108 715 52779 SH SOLE 1 0 52779 0 TORTOISE MLP FUND INC NTG COMMON 89148B101 10703 590669 SH SOLE 1 0 590669 0 NUVEEN MI QUALITY INCOME MUNIC COMMON 670979103 219 15963 SH SOLE 1 0 15963 0 NUVEEN AMT-FREE MUNI CREDIT IN COMMON 67071L106 6353 412801 SH SOLE 1 0 412801 0 NUVEEN NJ DIVIDEND ADVANTAGE M COMMON 67069Y102 3072 223758 SH SOLE 1 0 223758 0 NUVEEN ENHANCED MUNI CREDIT OP COMMON 67070X101 2727 179283 SH SOLE 1 0 179283 0 PUTMAN HIGH INC SEC PCF COMMON 746779107 5965 667991 SH SOLE 1 0 667991 0 PIMCO DYNAMIC CREDIT AND MTG I COMMON 72202D106 27274 1182741 SH SOLE 1 0 1182741 0 PIMCO DYNAMIC INCOME FUND PDI COMMON 72201Y101 904 29300 SH SOLE 1 0 29300 0 PIMCO INCOME STRATEGY FUND PFL COMMON 72201H108 982 81030 SH SOLE 1 0 81030 0 PIONEER HIGH INCOME TR PHT COMMON 72369H106 151 15078 SH SOLE 1 0 15078 0 PUTNAM MASTER INTERMEDIATE INC COMMON 746909100 45244 9565310 SH SOLE 1 0 9565310 0 PIMCO INCOME OPPORTUNITY FUND COMMON 72202B100 537 20376 SH SOLE 1 0 20376 0 PUTNAM MUNICIPAL OPPORTUNITIES COMMON 746922103 3713 294022 SH SOLE 1 0 294022 0 VOYA PRIME RATE TR PPR COMMON 92913A100 131 25000 SH SOLE 1 0 25000 0 PUTNAM PREMIER INCOME TRUST PP COMMON 746853100 18029 3388936 SH SOLE 1 0 3388936 0 RIVERNORTH OPPRTUNITIES FD RIV COMMON 76881Y109 129 6261 SH SOLE 1 0 6261 0 SALIENT MIDSTREAM & MLP FUND S COMMON 79471V105 6717 580569 SH SOLE 1 0 580569 0 SPECIAL OPPORTUNITIES FUND INC COMMON 84741T104 7123 449200 SH SOLE 1 0 449200 0 CUSHING MLP TOTAL RETURN FUND/ COMMON 231631201 5686 471607 SH SOLE 1 0 471607 0 TCW STRATEGIC INCOME FUND TSI COMMON 872340104 6731 1160492 SH SOLE 1 0 1160492 0 TORTOISE PIPELINE & ENERGY FUN COMMON 89148H108 3517 182630 SH SOLE 1 0 182630 0 TORTOISE ENERGY INFRASTRUCTURE COMMON 89147L100 18411 635728 SH SOLE 1 0 635728 0 INVESCO BOND FUND VBF COMMON 46132L107 13164 657885 SH SOLE 1 0 657885 0 INVESCO TRUST FOR INV GRADE MU COMMON 46131M106 9102 679254 SH SOLE 1 0 679254 0 INVESCO ADVANTAGE MUNI INC TRU COMMON 46132E103 7532 654423 SH SOLE 1 0 654423 0 INVESCO MUNICIPAL TRUST VKQ COMMON 46131J103 6545 512542 SH SOLE 1 0 512542 0 INVESCO VAN KAMPEN HIGH INC II COMMON 46131F101 1550 102644 SH SOLE 1 0 102644 0 DELAWARE INVS MN MUNI INC FD I COMMON 24610V103 4766 334436 SH SOLE 1 0 334436 0 INVESCO MUNICIPAL OPPORTUNITY COMMON 46132C107 5526 424717 SH SOLE 1 0 424717 0 INVESCO PA VALUE MUNICIPAL INC COMMON 46132K109 2801 227532 SH SOLE 1 0 227532 0 INVESCO DYNAMIC CR OPP FD VTA COMMON 46132R104 238 20000 SH SOLE 1 0 20000 0 INVESCO TRUST FOR INV GRADE NY COMMON 46131T101 212 15500 SH SOLE 1 0 15500 0 INVESCO SR INCOME TR VVR COMMON 46131H107 24 5242 SH SOLE 1 0 5242 0 WESTERN ASSET PREMIER BOND FUN COMMON 957664105 5574 403030 SH SOLE 1 0 403030 0 WA/CLAY INFLATION-LINKED SEC & COMMON 95766Q106 7585 656675 SH SOLE 1 0 656675 0 WA/CLAY INFLATION-LINKED OPP & COMMON 95766R104 6375 565137 SH SOLE 1 0 565137 0