-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EN72CvoQ34iv7j+0zGt3abi0af6lvT5ODXT8UVkUbmubeWzXxPa6097H6G6sBlTn SA3rPf2orP3MAJ4VBoawHg== 0001161722-09-000002.txt : 20090213 0001161722-09-000002.hdr.sgml : 20090213 20090213145212 ACCESSION NUMBER: 0001161722-09-000002 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090213 DATE AS OF CHANGE: 20090213 EFFECTIVENESS DATE: 20090213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HOLLENCREST SECURITIES LLC CENTRAL INDEX KEY: 0001161722 IRS NUMBER: 954121065 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06753 FILM NUMBER: 09602170 BUSINESS ADDRESS: STREET 1: 5535 BALBOA BLVD STREET 2: SUITE 200 CITY: ENCINO STATE: CA ZIP: 91316 BUSINESS PHONE: 8183827720 FORMER COMPANY: FORMER CONFORMED NAME: RND RESOURCES INC DATE OF NAME CHANGE: 20011031 13F-HR/A 1 inftable.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 23F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Dec 31, 2008 Check Here if Amendment [ ] This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hollencrest Securities LLC Address: 100 Bayview Circle Suite 500 Newport Beach, CA 92660 13F File Number: 801-55904 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Peter J. Pellizzon Title: Managing Director Phone: 949-823-7723 Signature: Place: and Date of Signing: Peter J. Pellizzon Los Angeles, California Feb 13, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 251 Form 13F Information Table Value Total: $167,189 ($1,000s) List of Other Included Managers: 0 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABRAXAS PETROLEUM CORP COM 003830106 22 30000 SH SOLE 30000 AMAZON.COM INC COM COM 023135106 310 6037 SH SOLE 6037 AMBAC FINANCIAL GROUP INC (FOR COM 023139108 68 52004 SH SOLE 3000 49004 AMERICAN EXPRESS CO COM COM 025816109 497 26779 SH SOLE 26779 AMERICAN INTL GROUP INC COM COM 026874107 24 15053 SH SOLE 15053 AMGEN INCCOM COM 031162100 298 5163 SH SOLE 809 4354 AMPHENOL CORP NEW CL A COM 032095101 508 21186 SH SOLE 586 20600 APPLE INC COM 037833100 344 4029 SH SOLE 713 3316 ARAWAK ENERGY LIMITED COM g0507h103 13 30000 SH SOLE 30000 ARCSIGHT INC COM 039666102 200 25000 SH SOLE 25000 AVT INC COM 002422103 8 10072 SH SOLE 10072 Advanced Micro Devices Inc Com COM 007903107 196 90735 SH SOLE 9574 81161 Aetrium Inc Com COM 00817R103 24 12500 SH SOLE 12500 Arena Pharmaceuticals Inc COM 040047102 78 18700 SH SOLE 7000 11700 Atwood Oceanics Inc COM 050095108 642 42000 SH SOLE 42000 BANK OF AMERICA CORP COM 060505104 1477 104934 SH SOLE 4091 100843 BB&T CORP COM 054937107 961 35000 SH SOLE 35000 Balsam Ventures Inc COM 058820101 1 240000 SH SOLE 240000 Bank 1440 Peoria Ariz Com COM 062199104 0 24407 SH SOLE 24407 Berkshire Hathaway Inc-Del Cl COM 084670108 966 10 SH SOLE 10 Berkshire Hathaway Inc-Del Cl COM 084670207 12306 3829 SH SOLE 71 3758 Bravo Brands Inc COM 105666101 0 20000 SH SOLE 20000 CALIFORNIA REPUBLIC BK NEWPORT COM 130569106 468 55000 SH SOLE 55000 CHEVRON CORPORATION COM COM 166764100 517 6990 SH SOLE 6531 459 CHINA AGRITECH INC COM 16937a101 17 15000 SH SOLE 15000 CHINA TRAVEL INTERNATIONAL INV COM y1507d100 4 20000 SH SOLE 20000 CISCO SYS INC COM COM 17275R102 384 23543 SH SOLE 4325 19218 CITIGROUP INC COM 172967101 463 69015 SH SOLE 852 68163 CLEAN ENERGY FUELS CORP COM 184499101 75 12400 SH SOLE 12400 COCA COLA CO COM COM 191216100 777 17166 SH SOLE 9941 7225 COSI INC COM 22122p101 129 450000 SH SOLE 450000 CYCLONE POWER TECHNOLOGIES INC COM 23254w104 3 20000 SH SOLE 20000 Cadence Design COM 49 13500 SH SOLE 13500 Cic Energy Corp COM g2136r106 47 31255 SH SOLE 31255 Clarient Inc COM 180489106 57 35100 SH SOLE 35100 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 Cvb Financial Corp COM 126600105 183 15402 SH SOLE 15402 DEI HOLDINGS INC COM 23319e107 26 64517 SH SOLE 64517 DENTSPLY INTL INC NEW COM COM 249030107 587 20797 SH SOLE 20797 DENWAY MOTORS LTD HKD0.1 COM y2032y106 3 10000 SH SOLE 10000 Delphi Corp (formerly Delphi A COM 1 31725 SH SOLE 725 31000 Drugstore Com Inc Com COM 262241102 25 20000 SH SOLE 20000 EXXON MOBIL CORP COM 30231G102 1480 18534 SH SOLE 2480 16054 Easyriders Inc. COM 0 15500 SH SOLE 15500 Emta Holdings Inc COM 292465101 1 40000 SH SOLE 40000 Evergreen Energy Inc COM 30024b104 86 306725 SH SOLE 11325 295400 FIDELITY NATL INFORMATION SVCS COM 31620M106 1361 83633 SH SOLE 83633 FORCE PROTECTION INC NEW COM 345203202 199 33287 SH SOLE 27887 5400 FORD MTR CO DEL COM PAR $0.01 COM 345370860 531 231830 SH SOLE 833 230997 FREMONT GENERAL CORPORATION COM 357288109 1 19028 SH SOLE 11000 8028 Fidelity National Financial In COM 316326107 2740 154355 SH SOLE 154355 Fremont Mich Ins Inc Com (fmmh COM 192 12000 SH SOLE 12000 GENERAL ELEC CO COM COM 369604103 496 30636 SH SOLE 13856 16780 GENERAL MTRS CORP COM COM 370442105 208 65138 SH SOLE 3166 61972 GOLDMAN SACHS GROUP INC COM 38141g104 671 7953 SH SOLE 217 7736 GOOGLE INC CL A COM 38259P508 241 782 SH SOLE 252 530 Geely Automobile Holdings Ltd COM g3777b103 4 50000 SH SOLE 50000 H E R C Products Inc COM 404165102 0 10000 SH SOLE 10000 Herbalife Ltd Common Stock COM g4412g101 9564 441143 SH SOLE 441143 IBM CORP COM COM 459200101 1592 18922 SH SOLE 485 18437 INSITUFORM TECHNOLOGIES INC CL COM 457667103 1575 80000 SH SOLE 80000 INTEL CORP COM 458140100 402 27391 SH SOLE 4549 22842 ITRONICS INC COM 465743102 0 200000 SH SOLE 200000 JOHNSON & JOHNSON COM COM 478160104 359 6006 SH SOLE 3205 2801 Javo Beverage Company Inc COM 47189r104 20 162500 SH SOLE 162500 Jds Uniphase Corp Com COM 46612j101 95 26129 SH SOLE 77 26052 KODIAK OIL & GAS CORP COM 50015q100 11 36000 SH SOLE 36000 King Pharmaceuticals Inc Com COM 495582108 159 15000 SH SOLE 15000 LARGO VISTA GROUP LTD COM 517104105 0 100000 SH SOLE 100000 LENDER PROCESSING SVCS INC COM 52602e102 1227 41659 SH SOLE 41659 LIGHTWAVE LOGIC INC COM 532275104 6 10000 SH SOLE 10000 LINDSAY CORPORATION COM 535555106 413 13000 SH SOLE 13000 Leisure Canada Inc COM 524911104 1 10000 SH SOLE 10000 MANULIFE FINANCIAL CORP COM 56501r106 1079 63370 SH SOLE 63370 MBIA INC COM COM 55262C100 146 35942 SH SOLE 2725 33217 MERCK & CO INC COM COM 589331107 298 9806 SH SOLE 1806 8000 METROPCS COMMUNICATIONS INC COM 591708102 187 12600 SH SOLE 12600 MICROSOFT CORP COM COM 594918104 522 26866 SH SOLE 5519 21347 Metro-Goldwyn-Mayer Inc New COM 591610100 162 11764 SH SOLE 11764 Montpelier Re Holdings Ltd COM g62185106 1545 92000 SH SOLE 92000 NALCO HOLDING COMPANY COM 62985q101 346 30000 SH SOLE 30000 NASDAQ OMX GROUP INC (THE) COM 631103108 613 24823 SH SOLE 24823 NORTHWEST PIPE CO COM 667746101 413 9691 SH SOLE 9691 North American Pallidum Compan COM 75 41100 SH SOLE 41100 Ntm Inc COM 629408105 4 30000 SH SOLE 30000 OM GROUP INC COM 670872100 422 20000 SH SOLE 20000 ORACLE CORPORATION COM COM 68389X105 305 17200 SH SOLE 4270 12930 PACWEST BANCORP COM 695263103 693 25779 SH SOLE 25779 PFIZER INC COM STK USD0.05 COM 717081103 689 38925 SH SOLE 6550 32375 PHILIP MORRIS INTL INC COM COM 718172109 5416 124485 SH SOLE 124113 372 PROCTER & GAMBLE CO COM COM 742718109 1046 16913 SH SOLE 313 16600 Pacific Snax Corp-Cl A COM 694820101 0 33333 SH SOLE 33333 Phoenix Leisure Corporation COM 719093106 0 31000 SH SOLE 31000 Pinetree Capital Corp New COM 723330106 8 11700 SH SOLE 11700 Probe Mfg Inc Com (pmfi.ob) COM 67 1684079 SH SOLE 1684079 QUALCOMM INC COM 747525103 310 8644 SH SOLE 6178 2466 RAYTHEON CO COM NEW COM 755111507 1193 23375 SH SOLE 23375 REVLON INC CL A NEW COM 761525609 162 24248 SH SOLE 24248 Regis Corp. COM 758932107 693 47663 SH SOLE 47663 Repligen Corp COM 759916109 259 68641 SH SOLE 68641 Rite Aid Corp Com COM 767754104 73 235000 SH SOLE 235000 SEAGATE TECHNOLOGY COM g7945j104 134 30225 SH SOLE 11600 18625 SIRIUS XM RADIO INC COM 82966U103 3 22131 SH SOLE 790 21341 SOUTHWEST CASINO CORPORATION COM 84479v107 1 10000 SH SOLE 10000 STARBUCKS CORP COM COM 855244109 161 17029 SH SOLE 1848 15181 STILLWATER MINING CO COM 86074q102 161 32500 SH SOLE 32500 Smartalk Teleservices Inc COM 83169a100 0 50000 SH SOLE 50000 Standard Pacific Corp New COM 85375c101 539 303000 SH SOLE 303000 TEXAS INSTRS INC COM COM 882508104 161 10375 SH SOLE 3110 7265 TRANSWORLD BENEFITS INTERNATIO COM 894073105 3 104000 SH SOLE 104000 TRAVELSTAR INC COM 89421l107 2 81000 SH SOLE 81000 Tenneco Inc COM 880349105 41 14000 SH SOLE 14000 Transition Therapeutics Inc Ne COM 893716209 536 138202 SH SOLE 138202 UNITED PARCEL SVC INC CL B COM 911312106 12996 235602 SH SOLE 302 235300 US BANCORP DEL COM NEW COM 902973304 3142 125635 SH SOLE 100 125535 Us Airways Group Inc COM 90341w108 104 13500 SH SOLE 13500 VALUECLICK INC COM COM 92046N102 108 15800 SH SOLE 15800 VERTEX PHARMACEUTICALS INC COM COM 92532F100 243 8000 SH SOLE 8000 VISA INC CL A COMMON STOCK COM 92826c839 758 14450 SH SOLE 8450 6000 Vrb Power Systems Inc COM 91829g102 0 40000 SH SOLE 40000 WASHINGTON MUTUAL INC COM 939322103 1 58438 SH SOLE 38 58400 WAYTRONX INC COM 946788106 2 20000 SH SOLE 20000 Westshore Terminals (wtshf.pk) COM 78 10000 SH SOLE 10000 ALLIANZ SE ADRREPSTG 1/10 SH ADR 018805101 342 31536 SH SOLE 1536 30000 BHP BILLITON LTD SPONSORED ADR ADR 088606108 2465 57465 SH SOLE 57465 CHINA LIFE INSURANCE CO LTD SP ADR 16939p106 418 9000 SH SOLE 9000 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 375 24500 SH SOLE 24500 Empresa Distribuidora Y Comerc ADR 29244a102 224 55885 SH SOLE 55885 Flamel Technologies Sa Sponsor ADR 338488109 106 27000 SH SOLE 27000 TAIWAN SEMICONDUCTOR MFG COLTD ADR 874039100 3650 461978 SH SOLE 461978 BIOTECH HOLDRS TR DEPOSITORY R INDEX CEF 09067d201 789 4600 SH SOLE 4600 DIAMONDS TRUST-UNIT SERIES 1 INDEX CEF 252787106 293 3350 SH SOLE 3350 I-Path Dow Jones Aig Commodity INDEX CEF 473 13455 SH SOLE 13455 ISHARES TR DOW JONES US HEALTH INDEX CEF 464288828 243 6800 SH SOLE 6800 ISHARES TR RUSSELL MIDCAP GROW INDEX CEF 464287481 446 14260 SH SOLE 13232 1028 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 1688 28269 SH SOLE 27759 510 ISHARES TRUST RUSSELL 1000 GRO INDEX CEF 464287614 1544 41660 SH SOLE 36195 5465 ISHARES TRUST RUSSELL 1000 VAL INDEX CEF 464287598 505 10200 SH SOLE 7425 2775 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 293 5756 SH SOLE 2229 3527 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 487 16203 SH SOLE 15203 1000 ISHARES TRUST RUSSELL 3000 IND INDEX CEF 464287689 282 5415 SH SOLE 375 5040 ISHARES TRUST S&P 500 GROWTH I INDEX CEF 464287309 863 19211 SH SOLE 15914 3297 ISHARES TRUST S&P 500 VALUE IN INDEX CEF 464287408 470 10411 SH SOLE 8881 1530 ISHARES TRUST S&P MIDCAP 400 G INDEX CEF 464287606 372 6710 SH SOLE 4530 2180 ISHARES TRUST S&P MIDCAP 400 I INDEX CEF 464287507 333 6253 SH SOLE 5533 720 Ishares Inc Msci Hong Kong Ind INDEX CEF 464286871 642 61927 SH SOLE 61927 POWERSHARES DB COMMODITY INDEX INDEX CEF 73935s105 669 31595 SH SOLE 30245 1350 POWERSHARES QQQ TRUST SERIES 1 INDEX CEF 73935a104 418 14042 SH SOLE 2362 11680 REGIONAL BK HOLDRS TR DEPOSITA INDEX CEF 75902e100 961 12700 SH SOLE 12400 300 SECTOR SPDR TRUST SHS BEN INT INDEX CEF 81369y803 482 31295 SH SOLE 21372 9923 SPDR INDEX SHS FDS SPDR DJ WIL INDEX CEF 78463x863 284 10484 SH SOLE 8557 1927 STANDARD & POORS DEPOSITORY RE INDEX CEF 78462f103 1689 18714 SH SOLE 5969 12745 STANDARD & POORS MIDCAP 400 DE INDEX CEF 595635103 1159 11932 SH SOLE 11707 225 BUCKEYE PARTNERS LP UNITS LTD LP 118230101 226 7000 SH SOLE 7000 Bayport Foxmoor Associates LP 0 100000 SH SOLE 100000 Bayport Serenade Partners Lp 3 LP 0 40000 SH SOLE 40000 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 494 507989 SH SOLE 507989 PENGROWTH ENERGY TRUST UNIT NE LP 706902509 1077 141375 SH SOLE 140800 575 POPE RESOURCES DEPOSITARY RECE LP 732857107 740 37163 SH SOLE 37163 Smith Barney Aaa Energy Future LP 202 50 SH SOLE 50 Alliance Calif Mun Income Fund NON-TAX CEF 018546101 666 69640 SH SOLE 6300 63340 BLACKROCK CA MUNI INCOME TR SH NON-TAX CEF 09248e102 411 45195 SH SOLE 29925 15270 BLACKROCK CALIF MUN BD TR COM NON-TAX CEF 09249j100 1687 160961 SH SOLE 79461 81500 BLACKROCK CALIF MUNI INCOME TR NON-TAX CEF 09249s100 99 10930 SH SOLE 8930 2000 BLACKROCK MUNIHOLDINGS CALIF I NON-TAX CEF 09254l107 663 72910 SH SOLE 8810 64100 BLACKROCK MUNIHOLDINGS FD II I NON-TAX CEF 09253p109 113 12020 SH SOLE 12020 BLACKROCK MUNIYIELD CALIF INSD NON-TAX CEF 09254n103 1055 112104 SH SOLE 18150 93954 Blackrock Muniyield Calif Fd I NON-TAX CEF 09254m105 752 82497 SH SOLE 7150 75347 DREYFUS STRATEGIC MUNICIPAL BO NON-TAX CEF 26202f107 63 11253 SH SOLE 11253 DREYFUS STRATEGIC MUNICIPALS I NON-TAX CEF 261932107 113 20100 SH SOLE 20100 EATON VANCE INSURED CALIFORNIA NON-TAX CEF 27828a100 145 18065 SH SOLE 7500 10565 MORGAN STANLEY INSD MUNI TRUST NON-TAX CEF 61745p866 114 11200 SH SOLE 11200 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67066y105 125 13000 SH SOLE 1300 11700 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67069x104 404 43718 SH SOLE 19593 24125 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67070y109 319 36050 SH SOLE 4900 31150 NUVEEN CALIFORNIA INVESTMENT Q NON-TAX CEF 67062a101 529 54574 SH SOLE 46754 7820 NUVEEN CALIFORNIA PERFORMANCE NON-TAX CEF 67062q106 470 51740 SH SOLE 17840 33900 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 225 25600 SH SOLE 25600 NUVEEN CALIFORNIA QUALITY INCO NON-TAX CEF 670985100 831 84095 SH SOLE 23965 60130 NUVEEN CALIFORNIA SELECT QUALI NON-TAX CEF 670975101 527 54803 SH SOLE 12273 42530 Pimco Ca Muni Inc Fd Com NON-TAX CEF 72200N106 473 54633 SH SOLE 54633 Pimco California Muni Income F NON-TAX CEF 72200m108 107 17220 SH SOLE 9720 7500 Pimco California Municipal Inc NON-TAX CEF 72201c109 503 81530 SH SOLE 65530 16000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 141 18500 SH SOLE 18500 VAN KAMPEN CALIFORNIA VALUE MU NON-TAX CEF 92112b107 1155 148870 SH SOLE 48114 100756 ADVENT CLAYMORE GLOBAL CONV SE TAXABLE CEF 007639107 504 86261 SH SOLE 12256 74005 ALLIANCEBERNSTEIN GLOBAL HIGH TAXABLE CEF 01879r106 146 19190 SH SOLE 15687 3503 AMERICAN STRATEGIC INCOME PORT TAXABLE CEF 03009t101 99 11497 SH SOLE 11497 Aberdeen Asia Pacific Income F TAXABLE CEF 003009107 5260 1223187 SH SOLE 24400 1198787 Alliancebernstein Income Fund TAXABLE CEF 01881e101 2135 301576 SH SOLE 129897 171679 BLACKROCK CORPORATE HIGH YIELD TAXABLE CEF 09255p107 533 84952 SH SOLE 14800 70152 BLACKROCK DEBT STRATEGIES FD I TAXABLE CEF 09255r103 146 57400 SH SOLE 57400 BLACKROCK FLOATING RATE INCOME TAXABLE CEF 09255x100 97 11116 SH SOLE 11116 BLACKROCK GLOBAL FLOATING RATE TAXABLE CEF 091941104 217 27479 SH SOLE 22066 5413 BLACKROCK LIMITED DURATION INC TAXABLE CEF 09249w101 236 21999 SH SOLE 15915 6084 BLACKROCK SR HIGH INCOME FD IN TAXABLE CEF 09255t109 26 11000 SH SOLE 6400 4600 Blackrock Corporate High Yield TAXABLE CEF 09255m104 315 86805 SH SOLE 6805 80000 Blackrock Income Opportunity T TAXABLE CEF 092475102 149 17690 SH SOLE 13690 4000 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 1146 135169 SH SOLE 36115 99054 CALAMOS CONVERTIBLE OPPORTUNIT TAXABLE CEF 128117108 751 90613 SH SOLE 34195 56418 DREYFUS HIGH YIELD STRATEGIES TAXABLE CEF 26200s101 34 15300 SH SOLE 15300 Dws Multi Mkt Income Tr TAXABLE CEF 23338l108 126 22077 SH SOLE 22077 EATON VANCE CREDIT OPPORTUNITI TAXABLE CEF 278271101 170 32188 SH SOLE 29058 3130 EATON VANCE FLOATING RATE INCO TAXABLE CEF 278279104 158 19701 SH SOLE 6701 13000 EATON VANCE LIMITED DURATION I TAXABLE CEF 27828h105 1835 185529 SH SOLE 93044 92485 EATON VANCE SHORT DURATION DIV TAXABLE CEF 27828v104 240 20640 SH SOLE 13950 6690 Evergreen Income Advantage Fun TAXABLE CEF 30023y105 596 108135 SH SOLE 52427 55708 Evergreen Multi Sector Income TAXABLE CEF 30024y104 1102 108081 SH SOLE 78926 29155 FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 270 31995 SH SOLE 27471 4524 Franklin Universal Trust-Sbi TAXABLE CEF 355145103 98 25800 SH SOLE 4400 21400 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 773 93288 SH SOLE 15835 77453 HELIOS STRATEGIC MORTGAGE INCO TAXABLE CEF 42327m109 368 61269 SH SOLE 11269 50000 HELIOS TOTAL RETURN FUND INC TAXABLE CEF 42327v109 279 57430 SH SOLE 53360 4070 HIGHLAND CREDIT STRATEGIES FUN TAXABLE CEF 43005q107 131 22948 SH SOLE 20072 2876 JOHN HANCOCK INCOME SECURITIES TAXABLE CEF 410123103 621 63559 SH SOLE 53895 9664 JOHN HANCOCK INVESTORS TRUST S TAXABLE CEF 410142103 242 18300 SH SOLE 17984 316 MANAGED HIGH YIELD PLUS FUND I TAXABLE CEF 561911108 21 15950 SH SOLE 15950 MFS INTERMARKET INCOME TRUST I TAXABLE CEF 59318r103 95 14100 SH SOLE 6100 8000 MFS INTERMEDIATE INCOME TRUST TAXABLE CEF 55273c107 117 18750 SH SOLE 18750 MFS MULTIMARKET INCOME TRUST S TAXABLE CEF 552737108 74 15300 SH SOLE 15300 MORGAN STANLEY EMERGING MARKET TAXABLE CEF 61744h105 80 11300 SH SOLE 2700 8600 MORGAN STANLEY EMERGING MARKET TAXABLE CEF 617477104 1761 167918 SH SOLE 158910 9008 NEUBERGER BERMAN HIGH YIELD ST TAXABLE CEF 64128c106 81 12696 SH SOLE 10866 1830 NICHOLAS-APPLEGATE CONV & INCO TAXABLE CEF 65370f101 280 60302 SH SOLE 31502 28800 NICHOLAS-APPLEGATE CONVERTIBLE TAXABLE CEF 65370g109 200 46575 SH SOLE 27825 18750 NUVEEN GLOBAL GOVT ENHANCED IN TAXABLE CEF 67073c104 185 11615 SH SOLE 10915 700 NUVEEN MULTI CURRENCY SHORT TE TAXABLE CEF 67090n109 161 11605 SH SOLE 11605 NUVEEN MULTI-STRATEGY INCOME A TAXABLE CEF 67073b106 163 35340 SH SOLE 13360 21980 NUVEEN MULTI-STRATEGY INCOME A TAXABLE CEF 67073d102 119 24440 SH SOLE 20410 4030 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 226 44903 SH SOLE 18503 26400 NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 54 11026 SH SOLE 11026 NUVEEN QUALITY PREFERRED INCOM TAXABLE CEF 67072w101 67 13100 SH SOLE 11700 1400 PIMCO CORPORATE INCOME FD TAXABLE CEF 72200u100 1156 100505 SH SOLE 76746 23759 PIMCO FLOATING RATE INCOME FUN TAXABLE CEF 72201h108 919 128935 SH SOLE 77334 51601 PIMCO FLOATING RATE STRATEGY F TAXABLE CEF 72201j104 991 161059 SH SOLE 80294 80765 PIMCO INCOME OPPORTUNITY FD CO TAXABLE CEF 72202b100 3695 216861 SH SOLE 89429 127432 PIONEER FLOATING RATE TRUST TAXABLE CEF 72369j102 177 25122 SH SOLE 25122 PUTNAM MASTER INTERMEDIATE INC TAXABLE CEF 746909100 301 74418 SH SOLE 71884 2534 PUTNAM PREMIER INCOME TRUST SB TAXABLE CEF 746853100 375 96819 SH SOLE 75711 21108 Pimco Corporate Opportunity Fu TAXABLE CEF 72201b101 5203 497422 SH SOLE 196618 300804 STRATEGIC GLOBAL INCOME FUND I TAXABLE CEF 862719101 266 34435 SH SOLE 23535 10900 TRANSAMERICA INCOME SHARES INC TAXABLE CEF 893506105 174 10930 SH SOLE 10930 Templeton Global Income Fund TAXABLE CEF 880198106 2362 304001 SH SOLE 3070 300931 VAN KAMPEN DYNAMIC CREDIT OPPO TAXABLE CEF 921166104 172 24210 SH SOLE 21710 2500 WESTERN ASSET EMERGING MKTS DE TAXABLE CEF 95766a101 195 15524 SH SOLE 15524 WESTERN ASSET HIGH INCOME FD I TAXABLE CEF 95766j102 82 16150 SH SOLE 16150 WESTERN ASSET WORLDWIDE INCOME TAXABLE CEF 957668106 142 15474 SH SOLE 11674 3800 WESTERN ASSET/CLAYMORE INFLATI TAXABLE CEF 95766r104 6937 661303 SH SOLE 655047 6256 Western Asset Premier Bd Fund TAXABLE CEF 957664105 1457 163691 SH SOLE 126275 37416 ZWEIG TOTAL RETURN FUND INC TAXABLE CEF 989837109 61 18050 SH SOLE 18050 ALPINE GLOBAL PREMIER PPTYS FD REIT CEF 02083a103 350 88638 SH SOLE 88638
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