Vice President

0000897101-20-000895.txt : 20201112 0000897101-20-000895.hdr.sgml : 20201112 20201112152923 ACCESSION NUMBER: 0000897101-20-000895 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-00180 FILM NUMBER: 201306304 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/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0000769317 XXXXXXXX 09-30-2020 09-30-2020 true 1 RESTATEMENT false SIT INVESTMENT ASSOCIATES INC

3300 Ids Center 80 South Eighth Street Minneapolis MN 55402

13F HOLDINGS REPORT 028-00180 Y This Amendment replaces an inaccurate holdings report attached to the initial Form 13F-HR filed for 9/30/20 Paul E. Rasmussen Vice President 612-331-3223 /s/ Paul E. Rasmussen Minneapolis MN 11-12-2020 1 515 3401430 1 0001053046 028-19972 SIT FIXED INCOME ADVISORS II LLC /ADV INFORMATION TABLE 2 infotable.xml 13F-HR 3M CO COMMON 88579Y101 3643 22745 SH SOLE 1 22745 0 0 AARONS INC COMMON 002535300 1936 34175 SH SOLE 1 34175 0 0 ABBOTT LABORATORIES COMMON 002824100 23835 219010 SH SOLE 1 219010 0 0 ABBVIE INC COMMON 00287Y109 14477 165280 SH SOLE 1 165280 0 0 ABIOMED INC COMMON 003654100 12 45 SH SOLE 1 45 0 0 ACCENTURE PLC CL A COMMON G1151C101 21763 96300 SH SOLE 1 96300 0 0 ACTIVISION BLIZZARD INC COMMON 00507V109 6548 80890 SH SOLE 1 80890 0 0 ACUSHNET HOLDINGS CORP COMMON 005098108 1506 44800 SH SOLE 1 44800 0 0 ADIDAS AG ADR DEPOSITARY RECEI 00687A107 1564 9585 SH SOLE 1 9585 0 0 ADOBE INC COMMON 00724F101 10954 22335 SH SOLE 1 22335 0 0 ADVANCED MICRO DEVICES INC COMMON 007903107 7371 89900 SH SOLE 1 89900 0 0 AFLAC INC COMMON 001055102 153 4200 SH SOLE 1 4200 0 0 AGILENT TECHNOLOGIES INC COMMON 00846U101 3599 35650 SH SOLE 1 35650 0 0 AIR 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DEPOSITARY RECEI 767204100 2325 38500 SH SOLE 1 38500 0 0 ROCHE HOLDING AG ADR DEPOSITARY RECEI 771195104 1909 44600 SH SOLE 1 44600 0 0 ROCKWELL AUTOMATION INC COMMON 773903109 2703 12250 SH SOLE 1 12250 0 0 ROSS STORES INC COMMON 778296103 175 1875 SH SOLE 1 1875 0 0 RPM INTERNATIONAL INC COMMON 749685103 155 1875 SH SOLE 1 1875 0 0 S&P GLOBAL INC COMMON 78409V104 5400 14975 SH SOLE 1 14975 0 0 SAFRAN SA ADR DEPOSITARY RECEI 786584102 912 36800 SH SOLE 1 36800 0 0 SALESFORCE.COM INC COMMON 79466L302 15915 63325 SH SOLE 1 63325 0 0 SANOFI ADR DEPOSITARY RECEI 80105N105 9964 198600 SH SOLE 1 198600 0 0 SAREPTA THERAPEUTICS INC COMMON 803607100 5349 38090 SH SOLE 1 38090 0 0 SCIENCE APPLICATIONS INTL CORP COMMON 808625107 3975 50690 SH SOLE 1 50690 0 0 SCOTTS MIRACLE-GRO CO/THE COMMON 810186106 8429 55125 SH SOLE 1 55125 0 0 SELECTIVE INS GROUP INC COMMON 816300107 1766 34300 SH SOLE 1 34300 0 0 SENSIENT TECHNOLOGIES CORP COMMON 81725T100 367 6350 SH SOLE 1 6350 0 0 SERVICE CORP INTERNATIONAL/US COMMON 817565104 2585 61275 SH SOLE 1 61275 0 0 SERVICENOW INC COMMON 81762P102 3685 7597 SH SOLE 1 7597 0 0 SHENANDOAH TELECOMMUNICATIONS COMMON 82312B106 1391 31300 SH SOLE 1 31300 0 0 SHERWIN-WILLIAMS CO/THE COMMON 824348106 9995 14345 SH SOLE 1 14345 0 0 SIEMENS AG ADR DEPOSITARY RECEI 826197501 1694 24320 SH SOLE 1 24320 0 0 SILGAN HOLDINGS INC COMMON 827048109 521 14175 SH SOLE 1 14175 0 0 SKYWORKS SOLUTIONS INC COMMON 83088M102 15980 109825 SH SOLE 1 109825 0 0 SONY CORP ADR DEPOSITARY RECEI 835699307 2005 26125 SH SOLE 1 26125 0 0 SOUTHERN COPPER CORP COMMON 84265V105 177 3900 SH SOLE 1 3900 0 0 SPIRE INC COMMON 84857L101 600 11275 SH SOLE 1 11275 0 0 SPLUNK INC COMMON 848637104 8365 44465 SH SOLE 1 44465 0 0 STAAR SURGICAL CO COMMON 852312305 1625 28725 SH SOLE 1 28725 0 0 STANLEY BLACK & DECKER INC COMMON 854502101 118 725 SH SOLE 1 725 0 0 STARBUCKS CORP COMMON 855244109 10884 126675 SH SOLE 1 126675 0 0 STERIS PLC COMMON G8473T100 2828 16050 SH SOLE 1 16050 0 0 STIFEL FINANCIAL CORP COMMON 860630102 552 10925 SH SOLE 1 10925 0 0 STORE CAPITAL CORP REIT 862121100 242 8825 SH SOLE 1 8825 0 0 STRATEGIC EDUCATION INC COMMON 86272C103 2180 23835 SH SOLE 1 23835 0 0 SVB FINANCIAL GROUP COMMON 78486Q101 1053 4375 SH SOLE 1 4375 0 0 SYNOVUS FINANCIAL CORP COMMON 87161C501 112 5281 SH SOLE 1 5281 0 0 SYSCO CORP COMMON 871829107 2482 39890 SH SOLE 1 39890 0 0 T ROWE PRICE GROUP INC COMMON 74144T108 14924 116390 SH SOLE 1 116390 0 0 TAIWAN SEMICONDUCTOR ADR DEPOSITARY RECEI 874039100 584 7200 SH SOLE 1 7200 0 0 TAKE-TWO INTERACTIVE SOFTWARE COMMON 874054109 1231 7450 SH SOLE 1 7450 0 0 TAL EDUCATION GROUP ADR DEPOSITARY RECEI 874080104 1268 16675 SH SOLE 1 16675 0 0 TALEND SA ADR DEPOSITARY RECEI 874224207 1068 27350 SH SOLE 1 27350 0 0 TARGET CORP COMMON 87612E106 17164 109035 SH SOLE 1 109035 0 0 TC ENERGY CORP COMMON 87807B107 5620 133750 SH SOLE 1 133750 0 0 TE CONNECTIVITY LTD COMMON H84989104 7440 76125 SH SOLE 1 76125 0 0 TELADOC HEALTH INC COMMON 87918A105 9734 44400 SH SOLE 1 44400 0 0 TELEFLEX INC COMMON 879369106 3 9 SH SOLE 1 9 0 0 TENCENT MUSIC ENTMT ADR COMMON 88034P109 107 7225 SH SOLE 1 7225 0 0 TENET HEALTHCARE CORP COMMON 88033G407 2693 109875 SH SOLE 1 109875 0 0 TFI INTL INC COMMON 87241L109 1620 38725 SH SOLE 1 38725 0 0 THERMO FISHER SCIENTIFIC INC COMMON 883556102 15363 34795 SH SOLE 1 34795 0 0 THIRD PT REINS LTD COMMON G8827U100 306 44050 SH SOLE 1 44050 0 0 THOR INDUSTRIES INC COMMON 885160101 1708 17925 SH SOLE 1 17925 0 0 TJX COS INC/THE COMMON 872540109 14085 253100 SH SOLE 1 253100 0 0 TRANE TECHNOLOGIES PLC COMMON G8994E103 8954 73851 SH SOLE 1 73851 0 0 TRAVELERS COS INC/THE COMMON 89417E109 62 576 SH SOLE 1 576 0 0 TREX CO INC COMMON 89531P105 6371 88975 SH SOLE 1 88975 0 0 TRIP COM GROUP LTD ADR DEPOSITARY RECEI 89677Q107 67 2150 SH SOLE 1 2150 0 0 TRUIST FINANCIAL CORP COMMON 89832Q109 1378 36205 SH SOLE 1 36205 0 0 TYSON FOODS INC - CL A COMMON 902494103 5707 95950 SH SOLE 1 95950 0 0 ULTA BEAUTY INC COMMON 90384S303 4999 22320 SH SOLE 1 22320 0 0 UNION PACIFIC CORP COMMON 907818108 24886 126410 SH SOLE 1 126410 0 0 UNITED PARCEL SERVICE INC CL B COMMON 911312106 50 300 SH SOLE 1 300 0 0 UNITEDHEALTH GROUP INC COMMON 91324P102 28257 90635 SH SOLE 1 90635 0 0 US BANCORP COMMON 902973304 2034 56750 SH SOLE 1 56750 0 0 VAIL RESORTS INC COMMON 91879Q109 2905 13575 SH SOLE 1 13575 0 0 VERIZON COMMUNICATIONS INC COMMON 92343V104 26977 453470 SH SOLE 1 453470 0 0 VISA INC COMMON 92826C839 31413 157090 SH SOLE 1 157090 0 0 WALMART INC COMMON 931142103 52 369 SH SOLE 1 369 0 0 WALT DISNEY CO/THE COMMON 254687106 283 2280 SH SOLE 1 2280 0 0 WASTE CONNECTIONS INC COMMON 94106B101 7169 69065 SH SOLE 1 69065 0 0 WASTE MANAGEMENT INC COMMON 94106L109 4139 36570 SH SOLE 1 36570 0 0 WATSCO INC COMMON 942622200 956 4105 SH SOLE 1 4105 0 0 WEC ENERGY GROUP INC COMMON 92939U106 6007 61990 SH SOLE 1 61990 0 0 WESTPAC BANKING CORP ADR DEPOSITARY RECEI 961214301 716 59500 SH SOLE 1 59500 0 0 YETI HOLDINGS INC COMMON 98585X104 12227 269795 SH SOLE 1 269795 0 0 ZIMMER BIOMET HOLDINGS INC COMMON 98956P102 7283 53500 SH SOLE 1 53500 0 0 ZURICH INSURANCE GROUP AG ADR DEPOSITARY RECEI 989825104 1146 32900 SH SOLE 1 32900 0 0 ABERDEEN GLOBAL DYNAMIC DIVD F COMMON 00302M106 4449 483073 SH SOLE 1 0 483073 0 ABERDEEN INC CREDIT STRATEGIES COMMON 003057106 3962 399433 SH SOLE 1 0 399433 0 ABERDEEN TOTAL DYNAMIC DIVD FD COMMON 00326L100 5256 661964 SH SOLE 1 0 661964 0 ADAMS DIVERSIFIED EQUITY ADX COMMON 006212104 17535 1081713 SH SOLE 1 0 1081713 0 ALLIANZGI NFJ DIVD INTER NFJ COMMON 01883A107 4750 402574 SH SOLE 1 0 402574 0 APOLLO SR FLOATING RATE FD AFT COMMON 037636107 3303 257673 SH SOLE 1 0 257673 0 APOLLO TACTICAL INCOME FD AIF COMMON 037638103 3166 249063 SH SOLE 1 0 249063 0 ARES DYNAMIC CRED ALLOC FD AR COMMON 04014F102 6804 536555 SH SOLE 1 0 536555 0 BARINGS GLOBAL SHORT DUR HI YL COMMON 06760L100 7423 557311 SH SOLE 1 0 557311 0 BLACKROCK CA MUNICIPAL INCOME COMMON 09248E102 11026 835904 SH SOLE 1 0 835904 0 BLACKROCK CORE BOND TRUST BHK COMMON 09249E101 27001 1724196 SH SOLE 1 0 1724196 0 BLACKROCK CREDIT ALLOCATION IN COMMON 092508100 71356 5017984 SH SOLE 1 0 5017984 0 BLACKROCK DEBT STRATEGIES FD D COMMON 09255R202 9017 907172 SH SOLE 1 0 907172 0 BLACKROCK ENHANCED GOVERNMENT COMMON 09255K108 24109 1801864 SH SOLE 1 0 1801864 0 BLACKROCK INCOME TRUST INC BKT COMMON 09247F100 52442 8596990 SH SOLE 1 0 8596990 0 BLACKROCK LONG-TERM MUNI ADVAN COMMON 09250B103 4792 406139 SH SOLE 1 0 406139 0 BLACKROCK MUNI INC INV QUALITY COMMON 09250G102 833 58962 SH SOLE 1 0 58962 0 BLACKROCK MUNIC INCM INVS BBF COMMON 09248H105 1997 154075 SH SOLE 1 0 154075 0 BLACKROCK MUNICIPAL INC QUALIT COMMON 092479104 1949 136893 SH SOLE 1 0 136893 0 BLACKROCK MUNIENHANCED FD MEN COMMON 09253Y100 3945 349097 SH SOLE 1 0 349097 0 BLACKROCK MUNIHOLDINGS FD II I COMMON 09253P109 2410 164252 SH SOLE 1 0 164252 0 BLACKROCK MUNIHOLDINGS FD MHD COMMON 09253N104 182 11955 SH SOLE 1 0 11955 0 BLACKROCK MUNIHOLDINGS INV QUA COMMON 09254P108 4588 342099 SH SOLE 1 0 342099 0 BLACKROCK MUNIHOLDINGS NJ QUAL COMMON 09254X101 6414 471975 SH SOLE 1 0 471975 0 BLACKROCK MUNIHOLDINGS NY QUAL COMMON 09255C106 283 21000 SH SOLE 1 0 21000 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254A101 6293 488552 SH SOLE 1 0 488552 0 BLACKROCK MUNIHOLDINGS QUALITY COMMON 09254C107 7942 623366 SH SOLE 1 0 623366 0 BLACKROCK MUNIYIELD INV QUALIT COMMON 09254T100 2548 186005 SH SOLE 1 0 186005 0 BLACKROCK MUNIYIELD MI QUALITY COMMON 09254V105 5136 366344 SH SOLE 1 0 366344 0 BLACKROCK MUNIYIELD NJ FUND MY COMMON 09254Y109 748 54223 SH SOLE 1 0 54223 0 BLACKROCK MUNIYIELD NY QUALITY COMMON 09255E102 394 31000 SH SOLE 1 0 31000 0 BLACKROCK MUNIYIELD PA QUALITY COMMON 09255G107 719 51700 SH SOLE 1 0 51700 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254E103 4801 357247 SH SOLE 1 0 357247 0 BLACKROCK MUNIYIELD QUALITY FD COMMON 09254G108 5158 394323 SH SOLE 1 0 394323 0 BLACKROCK NY MUNI INC QLT TRUS COMMON 09249U105 6078 465033 SH SOLE 1 0 465033 0 BLACKROCK NY MUNI INC TR II BF COMMON 09249R102 191 14030 SH SOLE 1 0 14030 0 BLACKROCK NY MUNI OPP FD MENKX COMMON 09253A821 391 35837 SH SOLE 1 0 35837 0 BLACKROCK STRATEGIC MUNI TR BS COMMON 09248T109 1131 84865 SH SOLE 1 0 84865 0 BLACKROCK TAXABLE MUNI BOND TR COMMON 09248X100 8857 341700 SH SOLE 1 0 341700 0 BLACKSTONE GSO LNG SHRT CRED I COMMON 09257D102 7657 595405 SH SOLE 1 0 595405 0 BLACKSTONE GSO STRAT CRED FD B COMMON 09257R101 8133 665537 SH SOLE 1 0 665537 0 BNY MELLON HIGH YIELD STRATEGI COMMON 09660L105 7203 2658019 SH SOLE 1 0 2658019 0 BNY MELLON STRATEGIC MUNI BOND COMMON 09662E109 2406 329986 SH SOLE 1 0 329986 0 BNYM STRATEGIC MUNICIPALS INC COMMON 05588W108 1155 139529 SH SOLE 1 0 139529 0 CLEARBRIDGE ENERGY MLP FD CEM COMMON 184692200 1988 179889 SH SOLE 1 0 179889 0 CLEARBRIDGE ENERGY MLP OPP FD COMMON 18469P209 2323 264891 SH SOLE 1 0 264891 0 CLEARBRIDGE ENERGY MLP TOTAL R COMMON 18469Q207 553 55232 SH SOLE 1 0 55232 0 CLOUGH GLOBAL DIV & INC FD GLV COMMON 18913Y103 1027 111266 SH SOLE 1 0 111266 0 CLOUGH GLOBAL EQUITY FD GLQ COMMON 18914C100 5747 512683 SH SOLE 1 0 512683 0 CLOUGH GLOBAL OPP FD GLO COMMON 18914E106 9389 1005218 SH SOLE 1 0 1005218 0 COHEN & STEERS MLP INC AND ENE COMMON 19249B106 23 15335 SH SOLE 1 0 15335 0 COHEN & STEERS QUAL INC RLTY R COMMON 19247L106 12064 1085829 SH SOLE 1 0 1085829 0 CORNERSTONE STRATEGIC VALUE FD COMMON 21924B302 5762 519601 SH SOLE 1 0 519601 0 CREDIT SUISSE ASSET MANAGEMENT COMMON 224916106 5693 1936442 SH SOLE 1 0 1936442 0 CREDIT SUISSE HIGH YIELD BOND COMMON 22544F103 6707 3178800 SH SOLE 1 0 3178800 0 CUSHING MLP & INF TOTAL RETURN COMMON 231631300 17 1103 SH SOLE 1 0 1103 0 CUSHING RENAISSANCE FD/THE SZC COMMON 231647207 2032 75726 SH SOLE 1 0 75726 0 DELAWARE ENHANCED GLOBAL DIVD COMMON 246060107 6421 723952 SH SOLE 1 0 723952 0 DELAWARE INVS MN MUNI INC FD I COMMON 24610V103 4389 337636 SH SOLE 1 0 337636 0 DOUBLELINE OPP CREDIT FD DBL COMMON 258623107 33333 1748842 SH SOLE 1 0 1748842 0 DTF TAX-FREE INCOME INC DTF COMMON 23334J107 1219 84393 SH SOLE 1 0 84393 0 DUFF & PHELPS SELECT ENERGY ML COMMON 26433F108 19 55504 SH SOLE 1 0 55504 0 DUFF & PHELPS UTILITY AND CORP COMMON 26432K108 13072 1416271 SH SOLE 1 0 1416271 0 DWS MUNICIPAL INCOME TRUST KTF COMMON 233368109 11220 1012645 SH SOLE 1 0 1012645 0 DWS STRATEGIC MUNI INCOME KSM COMMON 23342Q101 1016 93603 SH SOLE 1 0 93603 0 EATON VANCE LIMITED DURATION I COMMON 27828H105 96125 8499158 SH SOLE 1 0 8499158 0 EATON VANCE MUNICIPAL BOND FUN COMMON 27827X101 1720 130624 SH SOLE 1 0 130624 0 EATON VANCE NEW YORK MUNI ENX COMMON 27827Y109 2551 216148 SH SOLE 1 0 216148 0 EATON VANCE SHORT DUR DIVERSIF COMMON 27828V104 81405 7109584 SH SOLE 1 0 7109584 0 EATON VANCE SR INCOME TR EVF COMMON 27826S103 5620 957337 SH SOLE 1 0 957337 0 FEDERATED PREMIER MUNI INC FD COMMON 31423P108 813 56994 SH SOLE 1 0 56994 0 FIDUCIARY/CLAYMORE MLP OPP FD COMMON 31647Q205 187 25940 SH SOLE 1 0 25940 0 FIRST EAGLE SENIOR LOAN FSLF COMMON 32010E100 1283 103475 SH SOLE 1 0 103475 0 FIRST TR ABERDEEN GLOBAL OPP I COMMON 337319107 2071 216374 SH SOLE 1 0 216374 0 FIRST TR HIGH INC LONG/SHORT F COMMON 33738E109 19416 1394813 SH SOLE 1 0 1394813 0 FIRST TR INTER DUR PFD & FPF COMMON 33718W103 1302 60584 SH SOLE 1 0 60584 0 FIRST TR MORTGAGE INCOME FD FM COMMON 33734E103 22386 1647263 SH SOLE 1 0 1647263 0 FIRST TRUST ENERGY INC AND GRO COMMON 33738G104 116 12775 SH SOLE 1 0 12775 0 FIRST TRUST MLP AND ENERGY INC COMMON 33739B104 78 16800 SH SOLE 1 0 16800 0 FIRST TRUST NEW OPPORTUNITIES COMMON 33739M100 324 89929 SH SOLE 1 0 89929 0 FLAHERTY & CRUMRINE TOTAL RETU COMMON 338479108 506 23630 SH SOLE 1 0 23630 0 FRANKLIN LIMITED DURATION INCO COMMON 35472T101 52923 6204361 SH SOLE 1 0 6204361 0 GABELLI DIVD & INCOME TR GDV COMMON 36242H104 17669 962874 SH SOLE 1 0 962874 0 GENERAL AMERICAN INVESTORS CO COMMON 368802104 26089 768441 SH SOLE 1 0 768441 0 GOLDMAN SACHS MLP ENERGY GER COMMON 38148G206 35 5891 SH SOLE 1 0 5891 0 INSIGHT SELECT INCOME FD INSI COMMON 45781W109 22328 1103705 SH SOLE 1 0 1103705 0 INVESCO ADVANTAGE MUNI INC TRU COMMON 46132E103 10686 988497 SH SOLE 1 0 988497 0 INVESCO BOND FUND VBF COMMON 46132L107 8623 430922 SH SOLE 1 0 430922 0 INVESCO DYNAMIC CREDIT OPPORTU COMMON 46132R104 5973 648492 SH SOLE 1 0 648492 0 INVESCO HIGH INCOME TR II VLT COMMON 46131F101 3105 253278 SH SOLE 1 0 253278 0 INVESCO MUNICIPAL OPPORTUNITY COMMON 46132C107 10592 866752 SH SOLE 1 0 866752 0 INVESCO MUNICIPAL TRUST VKQ COMMON 46131J103 11671 971774 SH SOLE 1 0 971774 0 INVESCO PA VALUE MUNI INC TR V COMMON 46132K109 1103 89960 SH SOLE 1 0 89960 0 INVESCO QUALITY MUNICIPAL INCO COMMON 46133G107 9667 782100 SH SOLE 1 0 782100 0 INVESCO SENIOR INCOME TR VVR COMMON 46131H107 22 5986 SH SOLE 1 0 5986 0 INVESCO TR FOR INV GRADE NY MU COMMON 46131T101 192 15500 SH SOLE 1 0 15500 0 INVESCO TRUST FOR INV GRADE MU COMMON 46131M106 12562 1011416 SH SOLE 1 0 1011416 0 INVESCO VALUE MUNICIPAL INCOME COMMON 46132P108 6247 424683 SH SOLE 1 0 424683 0 IVY HIGH INC OPPORTUNITIES FD COMMON 465893105 8439 709149 SH SOLE 1 0 709149 0 JOHN HANCOCK INCOME SECURITIES COMMON 410123103 24115 1592299 SH SOLE 1 0 1592299 0 JOHN HANCOCK INVESTORS TR JHI COMMON 410142103 237 15001 SH SOLE 1 0 15001 0 JOHN HANCOCK TAX-ADV GLB SHARE COMMON 41013P749 5552 1090678 SH SOLE 1 0 1090678 0 KAYNE ANDERSON MIDSTREAM/ENERG COMMON 48661E108 45 11126 SH SOLE 1 0 11126 0 KAYNE ANDERSON MLP INVESTMENT COMMON 486606106 118 29475 SH SOLE 1 0 29475 0 KKR INCOME OPPORTUNITIES FD KI COMMON 48249T106 1971 145694 SH SOLE 1 0 145694 0 LAZARD GLOBAL TOTAL RETURN AND COMMON 52106W103 3519 226750 SH SOLE 1 0 226750 0 MACQUARIE GLBL INFRASTRUCTURE COMMON 55608D101 15185 865215 SH SOLE 1 0 865215 0 MADISON COVERED CALL & EQ MCN COMMON 557437100 481 80430 SH SOLE 1 0 80430 0 MFS CHARTER INCOME TRUST MCR COMMON 552727109 25364 3166522 SH SOLE 1 0 3166522 0 MFS GOVERNMENT MARKETS INCOME COMMON 552939100 5976 1290606 SH SOLE 1 0 1290606 0 MFS INTERMEDIATE HIGH INCOME F COMMON 59318T109 1436 616190 SH SOLE 1 0 616190 0 MFS INTERMEDIATE INCOME TRUST COMMON 55273C107 41870 11225318 SH SOLE 1 0 11225318 0 MFS MULTIMARKET INCOME TRUST M COMMON 552737108 6361 1131762 SH SOLE 1 0 1131762 0 NEUBERGER BERMN CA INT MUN NBW COMMON 64123C101 671 51833 SH SOLE 1 0 51833 0 NEW AMERICA HIGH INC FD HYB COMMON 641876800 2808 343232 SH SOLE 1 0 343232 0 NUVEEN AMT-FREE MUNI CREDIT IN COMMON 67071L106 9174 585819 SH SOLE 1 0 585819 0 NUVEEN AMT-FREE QUALITY MUNI I COMMON 670657105 27539 1920406 SH SOLE 1 0 1920406 0 NUVEEN BUILD AMERICA BOND FD N COMMON 67074C103 16666 744026 SH SOLE 1 0 744026 0 NUVEEN CA DIVIDEND ADV MUNI NA COMMON 67066Y105 298 20500 SH SOLE 1 0 20500 0 NUVEEN CA MUNI VALUE FD 2 NCB COMMON 6706EB106 19 1203 SH SOLE 1 0 1203 0 NUVEEN CREDIT STRATEGIES INC F COMMON 67073D102 15984 2704623 SH SOLE 1 0 2704623 0 NUVEEN FLOATING RATE INC FD JF COMMON 67072T108 1212 145845 SH SOLE 1 0 145845 0 NUVEEN FLOATING RATE INC OPP F COMMON 6706EN100 1960 239044 SH SOLE 1 0 239044 0 NUVEEN GA DIV ADV MUN FD NKG COMMON 67072B107 2407 197285 SH SOLE 1 0 197285 0 NUVEEN GLOBAL HIGH INCOME FD J COMMON 67075G103 14172 1047435 SH SOLE 1 0 1047435 0 NUVEEN MD PREMIUM INCOME MUNIC COMMON 67061Q107 2117 160837 SH SOLE 1 0 160837 0 NUVEEN MI QUALITY MUNI INC FD COMMON 670979103 699 49329 SH SOLE 1 0 49329 0 NUVEEN MN QUALITY MUNI INC FD COMMON 670734102 2247 159408 SH SOLE 1 0 159408 0 NUVEEN MORTGAGE & INCOME FD JL COMMON 670735109 18985 1002880 SH SOLE 1 0 1002880 0 NUVEEN MULTI-MARKET INC FD JMM COMMON 67075J107 25218 3612439 SH SOLE 1 0 3612439 0 NUVEEN MUNICIPAL CREDIT INC FD COMMON 67070X101 361 24608 SH SOLE 1 0 24608 0 NUVEEN NJ MUNI VALUE FD NJV COMMON 670702109 234 16986 SH SOLE 1 0 16986 0 NUVEEN NJ QUALITY MUNI INC FD COMMON 67069Y102 13422 991984 SH SOLE 1 0 991984 0 NUVEEN NY AMT-FREE MUNICIPAL I COMMON 670656107 7185 558729 SH SOLE 1 0 558729 0 NUVEEN NY MUNI VALUE FD 2 NYV COMMON 670706100 145 9811 SH SOLE 1 0 9811 0 NUVEEN OHIO QUALITY INCOME MUN COMMON 670980101 7054 469319 SH SOLE 1 0 469319 0 NUVEEN PA QUALITY MUNI INC FD COMMON 670972108 4155 309123 SH SOLE 1 0 309123 0 NUVEEN PERFD INCOME 2022 JPT COMMON 67075T105 468 20391 SH SOLE 1 0 20391 0 NUVEEN PFD & INCOME TERM FD JP COMMON 67075A106 3243 147551 SH SOLE 1 0 147551 0 NUVEEN PREFERRED & INCOME SEC COMMON 67072C105 27550 3127161 SH SOLE 1 0 3127161 0 NUVEEN PREFERRED INCOME OPPORT COMMON 67073B106 3258 383770 SH SOLE 1 0 383770 0 NUVEEN QUALITY MUNICIPAL INC F COMMON 67066V101 24683 1699904 SH SOLE 1 0 1699904 0 NUVEEN REAL ASSET INC & GRW JR COMMON 67074Y105 3706 307328 SH SOLE 1 0 307328 0 NUVEEN SENIOR INC FD NSL COMMON 67067Y104 393 81408 SH SOLE 1 0 81408 0 NUVEEN SHORT DUR CREDIT OPP FD COMMON 67074X107 6207 501401 SH SOLE 1 0 501401 0 PGIM GLOBAL SHORT DURATION HIG COMMON 69346J106 27014 2038824 SH SOLE 1 0 2038824 0 PGIM SHORT DURATION HI YLD FD COMMON 69346H100 9336 676029 SH SOLE 1 0 676029 0 PIMCO ENRGY & TACT CRDT NRGX COMMON 69346N107 17 2800 SH SOLE 1 0 2800 0 PIMCO MUNICIPAL INCOME FD PMF COMMON 72200R107 746 55914 SH SOLE 1 0 55914 0 PIMCO STRATEGIC INCOME FUND RC COMMON 72200X104 14821 2308538 SH SOLE 1 0 2308538 0 PIONEER DIVERSIFIED HIGH INC T COMMON 723653101 12016 889418 SH SOLE 1 0 889418 0 PIONEER FLOATING RATE TR PHD COMMON 72369J102 7054 698405 SH SOLE 1 0 698405 0 PIONEER HIGH INCOME TR PHT COMMON 72369H106 1395 175304 SH SOLE 1 0 175304 0 PUTNAM MASTER INTERMEDIATE INC COMMON 746909100 47301 11508760 SH SOLE 1 0 11508760 0 PUTNAM MUNICIPAL OPPORTUNITIES COMMON 746922103 767 59100 SH SOLE 1 0 59100 0 PUTNAM PREMIER INCOME TRUST PP COMMON 746853100 43578 9792801 SH SOLE 1 0 9792801 0 RIVERNORTH DOUBLELINE STR OPP COMMON 76882G107 221 16136 SH SOLE 1 0 16136 0 RIVERNORTH OPPRTUNITIES FD RIV COMMON 76881Y109 143 10000 SH SOLE 1 0 10000 0 SPECIAL OPPORTUNITIES FUND INC COMMON 84741T104 5652 455533 SH SOLE 1 0 455533 0 TCW STRATEGIC INCOME FD TSI COMMON 872340104 8815 1568418 SH SOLE 1 0 1568418 0 TORTOISE ENERGY INFRASTRUCTURE COMMON 89147L886 164 11109 SH SOLE 1 0 11109 0 TORTOISE MLP FUND INC NTG COMMON 89148B200 101 6948 SH SOLE 1 0 6948 0 VERTICAL CAP INCOME FUND VCIF COMMON 92535C104 620 62450 SH SOLE 1 0 62450 0 VOYA PRIME RATE TR PPR COMMON 92913A100 9740 2208516 SH SOLE 1 0 2208516 0 WA INFLATION - LINKED SEC & IN COMMON 95766Q106 14756 1211474 SH SOLE 1 0 1211474 0 WA INFLATION-LINKED OPP & INC COMMON 95766R104 33894 3015469 SH SOLE 1 0 3015469 0 WA VARIABLE RATE STRATEGIC FD COMMON 957667108 25867 1577244 SH SOLE 1 0 1577244 0 WELLS FARGO INC OPPORTUNITIES COMMON 94987B105 5492 752300 SH SOLE 1 0 752300 0 WELLS FARGO MULTI-SECTOR INC F COMMON 94987D101 767 71370 SH SOLE 1 0 71370 0 WESTERN ASSET GLOBAL HIGH INC COMMON 95766B109 7235 750509 SH SOLE 1 0 750509 0 WESTERN ASSET HGH YLD DFN FD H COMMON 95768B107 346 24683 SH SOLE 1 0 24683 0 WESTERN ASSET HIGH INC OPP FD COMMON 95766K109 18693 3814990 SH SOLE 1 0 3814990 0 WESTERN ASSET INV GRA DEF OPP COMMON 95790A101 914 44053 SH SOLE 1 0 44053 0 WESTERN ASSET MORTGAGE DEFINED COMMON 95790B109 4760 362842 SH SOLE 1 0 362842 0 WESTERN ASSET PREMIER BOND FUN COMMON 957664105 5991 463694 SH SOLE 1 0 463694 0