0001048703-12-000100.txt : 20120515
0001048703-12-000100.hdr.sgml : 20120515
20120515091438
ACCESSION NUMBER: 0001048703-12-000100
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
FILED AS OF DATE: 20120515
DATE AS OF CHANGE: 20120515
EFFECTIVENESS DATE: 20120515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Karpus Management, Inc.
CENTRAL INDEX KEY: 0001048703
IRS NUMBER: 161290550
STATE OF INCORPORATION: NY
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11445
FILM NUMBER: 12841261
BUSINESS ADDRESS:
STREET 1: 183 SULLY'S TRAIL
CITY: PITTSFORD
STATE: NY
ZIP: 14534
BUSINESS PHONE: 5855864680
MAIL ADDRESS:
STREET 1: 183 SULLY'S TRAIL
CITY: PITTSFORD
STATE: NY
ZIP: 14534
FORMER COMPANY:
FORMER CONFORMED NAME: KARPUS MANAGEMENT INC
DATE OF NAME CHANGE: 19971029
13F-HR
1
form13f03312012.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F-HR
FORM 13F-HR COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2012
Check here if Amendment [ ]; Amendment Number: ______
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Karpus Investment Management
Address: 183 Sully's Trail
Pittsford, New York 14534
Form 13F File Number: 28-11445
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: George W. Karpus
Title: President / CEO
Phone: 585-586-4680
Signature, Place, and Date of Signing:
May 15, 2012 George Karpus Pittsford, New York 14534
[Date] [Signature] [City, State]
Report Type (Check only one.):
[x] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report and
all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings
for this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-________________ _________________________________________
[Repeat as necessary.]
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: N/A
Form 13F Information Table Entry Total: 136
Form 13F Information Table Value Total: $1,186,974.26 (x$1,000)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of
all institutional investment managers with respect to which this report
is filed, other than the manager filing this report.
[If there are no entries in this list, state "NONE" and omit the column
headings and list entries.]
No. Form 13F File Number Name
NONE
[Repeat as necessary.]
FORM 13F INFORMATION TABLE
Col 1 Col 2 Col 3 Col 4 Col 5 Col 6 Col 7 Col 8
Name of Issuer Title CUSIP Value Shares SH/ PUT/ Invest. Other Voting Authority
of x($1,000) or PRN AMT PRN Call Disc'n Mgrs Sole Shared None
Class
ABERDEEN EMERGING MARKETS T Common 00301T102 $2,348.71 121,255 SH n/a sole n/a sole 0 0
ABERDEEN ISRAEL FUND, INC Common 00301L109 $416.37 29,762 SH n/a sole n/a sole 0 0
ABERDEEN LATIN AMERICA EQUI Common 00306K106 $502.08 14,139 SH n/a sole n/a sole 0 0
ADAMS EXPRESS COMPANY Common 006212104 $24,055.81 2,190,875 SH n/a sole n/a sole 0 0
AGIC INTERNATIONAL & PREMIU Common 00119Q100 $207.67 18,931 SH n/a sole n/a sole 0 0
ALLIANCEBERNSTEIN INC FUND Common 01881E101 $71,112.76 8,682,877 SH n/a sole n/a sole 0 0
AMERICAN STRATEGIC INC III Common 03009T101 $300.87 42,982 SH n/a sole n/a sole 0 0
ASIA PACIFIC FUND INC Common 044901106 $4,463.38 421,870 SH n/a sole n/a sole 0 0
BANCROFT FUND LTD Common 059695106 $208.66 12,502 SH n/a sole n/a sole 0 0
BLACKROCK CREDIT ALLOC IV Common 092508100 $2,390.49 182,899 SH n/a sole n/a sole 0 0
BLACKROCK ENHANCED DIVIDEND Common 09251A104 $5,526.11 736,814 SH n/a sole n/a sole 0 0
BLACKROCK INCOME OPPTY TRST Common 092475102 $1,680.28 160,332 SH n/a sole n/a sole 0 0
BLACKROCK INCOME TRUST Common 09247F100 $15,727.02 2,119,544 SH n/a sole n/a sole 0 0
BLACKROCK INTERNATIONAL GRO Common 092524107 $5,785.15 736,962 SH n/a sole n/a sole 0 0
BLACKROCK MUNIYIELD CA INSU Common 09254N103 $215.47 14,500 SH n/a sole n/a sole 0 0
BLACKROCK PRFD OPPRTY TRUST Common 09249V103 $1,203.24 107,145 SH n/a sole n/a sole 0 0
CALAMOS GLOBAL DYNAMIC INCO Common 12811L107 $2,172.96 246,927 SH n/a sole n/a sole 0 0
CALAMOS STRAT TOT RETURN FD Common 128125101 $2,492.66 249,266 SH n/a sole n/a sole 0 0
CENTRAL EUROPE & RUSSIA FUN Common 153436100 $401.33 11,460 SH n/a sole n/a sole 0 0
CHINA FUND INC Common 169373107 $2,082.67 89,385 SH n/a sole n/a sole 0 0
CLOUGH GLBL OPPORTUNITIES F Common 18914E106 $176.70 15,000 SH n/a sole n/a sole 0 0
COHEN & STEERS GLOBAL INCOM Common 19248M103 $4,668.95 436,350 SH n/a sole n/a sole 0 0
CORNING INC COM Common 219350105 $281.60 20,000 SH n/a sole n/a sole 0 0
DELAWARE INV FL INSD MUNI I Common 24610T108 $1,566.89 118,345 SH n/a sole n/a sole 0 0
DTF TAX-FREE INCOME INC Common 23334J107 $11,903.38 717,067 SH n/a sole n/a sole 0 0
EATON VANCE ENH EQT INC II Common 278277108 $12,528.73 1,151,538 SH n/a sole n/a sole 0 0
EATON VANCE ENHANCED EQ INC Common 278274105 $18,175.72 1,643,374 SH n/a sole n/a sole 0 0
EATON VANCE MI MUNICIPAL IN Common 27826D106 $1,325.13 98,231 SH n/a sole n/a sole 0 0
EATON VANCE RISK-MANAGED DI Common 27829G106 $23,412.36 2,210,799 SH n/a sole n/a sole 0 0
EATON VANCE TAX-ADVANTAGED Common 27829M103 $251.00 14,852 SH n/a sole n/a sole 0 0
EATON VANCE TAX-MANAGED DIV Common 27828N102 $20,885.15 2,191,516 SH n/a sole n/a sole 0 0
EATON VANCE TAX-MANAGED GLO Common 27829F108 $7,139.61 801,303 SH n/a sole n/a sole 0 0
ETF POWERSHARES INSURED Common 73936T474 $8,918.59 359,911 SH n/a sole n/a sole 0 0
EXXON MOBIL CORPORATION Common 30231G102 $667.30 7,694 SH n/a sole n/a sole 0 0
FEDERATED ENHANCED TREASURY Common 314162108 $12,415.79 841,178 SH n/a sole n/a sole 0 0
FORT DEARBORN INCOME SEC Common 347200107 $5,502.81 340,310 SH n/a sole n/a sole 0 0
FRANKLIN STREET PROPERTIES Common 35471R106 $674.15 63,599 SH n/a sole n/a sole 0 0
GABELLI DIVIDEND & INCOME T Common 36242H104 $16,995.63 1,037,584 SH n/a sole n/a sole 0 0
GENERAL AMERICAN INVESTORS Common 368802104 $18,228.70 628,576 SH n/a sole n/a sole 0 0
GREATER CHINA FUND Common 39167B102 $2,012.18 174,972 SH n/a sole n/a sole 0 0
GSI GROUP, INC. Common 36191C205 $201.00 16,667 SH n/a sole n/a sole 0 0
INDIA FUND INC Common 454089103 $565.53 25,360 SH n/a sole n/a sole 0 0
ING GLOBAL EQUITY DIVIDEND Common 45684E107 $132.79 13,847 SH n/a sole n/a sole 0 0
INTERNATIONAL BUSINESS MACH Common 459200101 $762.41 3,654 SH n/a sole n/a sole 0 0
INVESCO CA QUAL MUNI SEC Common 46130M107 $1,542.08 110,623 SH n/a sole n/a sole 0 0
INVESCO CALIFORNIA INSURED Common 46130L109 $246.22 16,220 SH n/a sole n/a sole 0 0
INVESCO INSURED CALIFORNIA Common 46130W105 $999.20 68,721 SH n/a sole n/a sole 0 0
INVESCO NY QUAL MUNI SEC Common 46133F109 $6,636.37 420,183 SH n/a sole n/a sole 0 0
IPATH DOW JONES-UBS COMMODI Common 06738C778 $15,531.82 367,009 SH n/a sole n/a sole 0 0
ISHARES 2012 S&P AMT-FREE M Common 464289412 $554.13 10,900 SH n/a sole n/a sole 0 0
ISHARES BARCLAYS 1-3 YEAR C Common 464288646 $5,367.26 51,073 SH n/a sole n/a sole 0 0
ISHARES BARCLAYS MBS BOND F Common 464288588 $9,387.33 86,960 SH n/a sole n/a sole 0 0
ISHARES IBOXX INV GR CORP B Common 464287242 $16,657.66 144,060 SH n/a sole n/a sole 0 0
ISHARES LEHMAN TRES INF PR Common 464287176 $4,007.63 34,064 SH n/a sole n/a sole 0 0
ISHARES MSCI AUSTRALIA INDE Common 464286103 $4,208.71 179,018 SH n/a sole n/a sole 0 0
ISHARES MSCI BRAZIL INDEX F Common 464286400 $3,817.07 59,033 SH n/a sole n/a sole 0 0
ISHARES MSCI CANADA Common 464286509 $21,484.47 758,097 SH n/a sole n/a sole 0 0
ISHARES MSCI EAFE INDEX FUN Common 464287465 $1,628.86 29,675 SH n/a sole n/a sole 0 0
ISHARES MSCI EMU Common 464286608 $5,710.99 181,014 SH n/a sole n/a sole 0 0
ISHARES MSCI FRANCE INDEX F Common 464286707 $7,519.60 340,716 SH n/a sole n/a sole 0 0
ISHARES MSCI HONG KONG INDE Common 464286871 $2,086.37 119,597 SH n/a sole n/a sole 0 0
ISHARES MSCI JAPAN INDEX FD Common 464286848 $4,580.39 450,161 SH n/a sole n/a sole 0 0
ISHARES MSCI PACIFIC EX JPN Common 464286665 $9,224.11 211,951 SH n/a sole n/a sole 0 0
ISHARES MSCI UNITED KINGDOM Common 464286699 $11,491.96 664,275 SH n/a sole n/a sole 0 0
ISHARES S&P EUROPE 350 Common 464287861 $790.14 21,155 SH n/a sole n/a sole 0 0
JAPAN EQUITY FUND Common 471057109 $3,766.82 664,343 SH n/a sole n/a sole 0 0
JAPAN SMALLER CAPITALIZATIO Common 47109U104 $6,067.11 774,855 SH n/a sole n/a sole 0 0
JF CHINA REGION FUND INC Common 46614T107 $1,946.61 152,915 SH n/a sole n/a sole 0 0
KIMBERLY-CLARK CORPORATION Common 494368103 $422.58 5,719 SH n/a sole n/a sole 0 0
KOREA EQUITY FUND Common 50063B104 $1,387.70 142,474 SH n/a sole n/a sole 0 0
LAZARD GLOBAL TOT RT & INC Common 52106W103 $4,023.57 268,955 SH n/a sole n/a sole 0 0
LAZARD WORLD DIVIDEND & INC Common 521076109 $141.41 11,591 SH n/a sole n/a sole 0 0
LENNOX INTERNATIONAL INC. Common 526107107 $4,115.76 102,128 SH n/a sole n/a sole 0 0
LIBERTY ALL STAR EQUITY FUN Common 530158104 $24,495.69 4,968,700 SH n/a sole n/a sole 0 0
LIBERTY ALL-STAR GROWTH FD Common 529900102 $7,440.96 1,710,565 SH n/a sole n/a sole 0 0
LMP CAPITAL AND INCOME FUND Common 50208A102 $4,957.55 370,243 SH n/a sole n/a sole 0 0
LMP REAL ESTATE INCOME FUND Common 50208C108 $3,450.12 334,314 SH n/a sole n/a sole 0 0
MACQUARIE GLOBAL INFR TOT R Common 55608D101 $11,499.13 623,259 SH n/a sole n/a sole 0 0
MARKET VECTORS GOLD MINERS Common 57060U100 $7,040.82 142,124 SH n/a sole n/a sole 0 0
MEXICO EQUITY AND INCOME FD Common 592834105 $493.40 43,281 SH n/a sole n/a sole 0 0
MEXICO FUND INC Common 592835102 $439.47 17,391 SH n/a sole n/a sole 0 0
MFS INTERMARKET INC TRUST I Common 59318R103 $97.93 11,700 SH n/a sole n/a sole 0 0
MONTGOMERY ST INCOME SEC IN Common 614115103 $1,545.49 97,816 SH n/a sole n/a sole 0 0
MORGAN STANLEY ASIA PACIFIC Common 61744U106 $6,547.26 440,596 SH n/a sole n/a sole 0 0
MORGAN STANLEY EAST EUROPE Common 616988101 $203.35 12,265 SH n/a sole n/a sole 0 0
MORGAN STANLEY EMRG MARKETS Common 61744G107 $1,458.42 99,687 SH n/a sole n/a sole 0 0
MORGAN STANLEY INDIA INVEST Common 61745C105 $329.23 19,881 SH n/a sole n/a sole 0 0
NEW GERMANY FUND Common 644465106 $10,765.31 713,880 SH n/a sole n/a sole 0 0
NEW IRELAND FUND INC Common 645673104 $251.26 30,944 SH n/a sole n/a sole 0 0
NUVEEN BUILD AMERICAN BOND Common 67074C103 $307.40 15,233 SH n/a sole n/a sole 0 0
NUVEEN CONNECTICUT DVD ADV Common 67071Y108 $290.81 20,952 SH n/a sole n/a sole 0 0
NUVEEN DVD ADVANTAGE MUNI F Common 67066V101 $291.60 20,000 SH n/a sole n/a sole 0 0
NUVEEN EQUITY PREMIUM INCOM Common 6706ER101 $5,182.84 432,986 SH n/a sole n/a sole 0 0
NUVEEN INSD DVD ADV MUNI FD Common 67071L106 $149.60 10,000 SH n/a sole n/a sole 0 0
NUVEEN INSD MUNI OPPORTUNIT Common 670984103 $388.63 26,600 SH n/a sole n/a sole 0 0
NUVEEN INSD PREM INC MUNI I Common 6706D8104 $292.34 21,655 SH n/a sole n/a sole 0 0
NUVEEN MICHIGAN DIVIDEND AD Common 67070W103 $402.60 29,027 SH n/a sole n/a sole 0 0
NUVEEN MICHIGAN PREMIUM INC Common 67101Q109 $431.12 29,071 SH n/a sole n/a sole 0 0
NUVEEN MULTI-ST INC & GTH 2 Common 67073D102 $1,477.44 164,526 SH n/a sole n/a sole 0 0
NUVEEN NY DIVIDEND ADV MUNI Common 67066X107 $321.79 22,300 SH n/a sole n/a sole 0 0
PAYCHEX CORPORATION Common 704326107 $237.66 7,669 SH n/a sole n/a sole 0 0
POWERSHARES BUILD AMERICA P Common 73937B407 $39,381.07 1,355,164 SH n/a sole n/a sole 0 0
PUTNAM MUNI OPPORTUNITIES T Common 746922103 $55,516.28 4,423,608 SH n/a sole n/a sole 0 0
ROYCE VALUE TRUST Common 780910105 $19,491.59 1,403,282 SH n/a sole n/a sole 0 0
RYDEX S&P EQUAL WEIGHT ETF Common 78355W106 $34,135.18 658,091 SH n/a sole n/a sole 0 0
SINGAPORE FUND INC Common 82929L109 $2,769.27 213,678 SH n/a sole n/a sole 0 0
SPDR BARCLAYS CAPITAL INTL Common 78464A516 $8,831.92 147,346 SH n/a sole n/a sole 0 0
SPDR BARCLAYS CAPITAL MUNIC Common 78464A458 $84,277.26 3,535,120 SH n/a sole n/a sole 0 0
SPDR DOW JONES INDUSTRIAL A Common 78467X109 $44,220.48 335,512 SH n/a sole n/a sole 0 0
SPDR GOLD TRUST Common 78463V107 $7,647.52 47,172 SH n/a sole n/a sole 0 0
SPDR LEHMAN SHORT TERM MUNI Common 78464A425 $40,967.75 1,681,073 SH n/a sole n/a sole 0 0
SPDR NUVEEN S&P HIGH YIELD Common 78464A284 $715.52 13,064 SH n/a sole n/a sole 0 0
SPDR TRUST SERIES 1 Common 78462F103 $49,795.63 353,637 SH n/a sole n/a sole 0 0
SPECIAL OPPORTUNITIES FUND Common 84741T104 $20,434.36 1,272,376 SH n/a sole n/a sole 0 0
SWISS HELVETIA FUND Common 870875101 $7,257.54 647,417 SH n/a sole n/a sole 0 0
TAIWAN FUND INC Common 874036106 $291.41 17,315 SH n/a sole n/a sole 0 0
TEMPLETON DRAGON FUND INC Common 88018T101 $384.43 13,560 SH n/a sole n/a sole 0 0
TEMPLETON RUSSIA & EAST EUR Common 88022F105 $337.83 20,549 SH n/a sole n/a sole 0 0
TEXTRON INC Common 883203101 $219.08 7,872 SH n/a sole n/a sole 0 0
THAI FUND INC Common 882904105 $313.78 19,685 SH n/a sole n/a sole 0 0
THE EUROPEAN EQUITY FUND, I Common 298768102 $6,002.02 885,254 SH n/a sole n/a sole 0 0
TRI-CONTINENTAL CORPORATION Common 895436103 $19,523.09 1,226,325 SH n/a sole n/a sole 0 0
VANGUARD EMERGING MARKET ET Common 922042858 $9,971.41 229,386 SH n/a sole n/a sole 0 0
VANGUARD EUROPE PACIFIC ETF Common 921943858 $24,432.28 717,963 SH n/a sole n/a sole 0 0
VANGUARD EUROPEAN ETF Common 922042874 $21,317.92 462,528 SH n/a sole n/a sole 0 0
VANGUARD LARGE-CAP ETF Common 922908637 $3,969.08 61,603 SH n/a sole n/a sole 0 0
VANGUARD MID-CAP ETF Common 922908629 $22,575.80 276,732 SH n/a sole n/a sole 0 0
VANGUARD PACIFIC ETF Common 922042866 $14,383.24 270,667 SH n/a sole n/a sole 0 0
VANGUARD SMALL-CAP ETF Common 922908751 $24,608.34 312,606 SH n/a sole n/a sole 0 0
WA/CLAY US INFL-LKD OPP&INC Common 95766R104 $12,864.10 1,005,793 SH n/a sole n/a sole 0 0
WA/CLAY US INFL-LKD SEC&INC Common 95766Q106 $1,042.03 81,792 SH n/a sole n/a sole 0 0
WESTERN ASSET INFLATION MAN Common 95766U107 $25,906.40 1,459,516 SH n/a sole n/a sole 0 0
WESTERN ASSET MUNICIPAL PAR Common 95766P108 $2,169.36 137,388 SH n/a sole n/a sole 0 0
WESTERN ASSET VARIABLE RATE Common 957667108 $5,217.03 313,901 SH n/a sole n/a sole 0 0
ZWEIG FUND INC Common 989834106 $86.57 26,970 SH n/a sole n/a sole 0 0
ZWEIG TOTAL RETURN FUND INC Common 989837109 $17,098.73 5,343,353 SH n/a sole n/a sole 0 0
Total Securities: 136 $1,186,974.26