-----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, SeexmyCAR2MAmtq0CxVg3mRqsJvM5eujEb0QKiFwM/7Ot9D5DC0vOduM6Azh1GT0 hUuN0CWhMQ0kjRUkmCGa8w== 0001048703-09-000045.txt : 20090206 0001048703-09-000045.hdr.sgml : 20090206 20090206165704 ACCESSION NUMBER: 0001048703-09-000045 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090206 DATE AS OF CHANGE: 20090206 EFFECTIVENESS DATE: 20090206 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: 09577926 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 form13f123108.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: December 31, 2008 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: February 6, 2009 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: 298 Form 13F Information Table Value Total: $970,556.94 (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 ASIA-PAC INCOME FD Common 003009107 $26,812.98 6,235,576 SH n/a sole n/a sole 0 0 ABERDEEN AUSTRALIA EQUITY F Common 003011103 $161.45 22,300 SH n/a sole n/a sole 0 0 ABERDEEN GLOBAL INCOME FUND Common 003013109 $1,242.54 147,044 SH n/a sole n/a sole 0 0 ADAMS EXPRESS COMPANY Common 006212104 $7,996.72 995,855 SH n/a sole n/a sole 0 0 ALLIANCE NATIONAL MUNI INC Common 01864U106 $1,237.03 130,764 SH n/a sole n/a sole 0 0 ALLIANCE NEW YORK MUNI INC Common 018714105 $272.98 28,200 SH n/a sole n/a sole 0 0 ALLIANCEBERNSTEIN INC FUND Common 01881E101 $17,667.76 2,495,446 SH n/a sole n/a sole 0 0 ALPHA SECURITY GROUP TENT A Common 02078A100 $96.00 10,000 SH n/a sole n/a sole 0 0 ALTERNATIVE ASSET ACQ TENT Common 02149U101 $338.65 36,650 SH n/a sole n/a sole 0 0 AMERICAN INCOME FUND INC Common 02672T109 $1,323.32 226,751 SH n/a sole n/a sole 0 0 AMERICAN STRATEGIC INC III Common 03009T101 $170.28 19,800 SH n/a sole n/a sole 0 0 ARCADE ACQ CORP TENTATIVE A Common 038798104 $245.48 32,950 SH n/a sole n/a sole 0 0 ASIA PACIFIC FUND INC Common 044901106 $189.52 29,520 SH n/a sole n/a sole 0 0 BANCROFT FUND LTD Common 059695106 $211.52 19,073 SH n/a sole n/a sole 0 0 BANK OF NEW YORK MELLON COR Common 064058100 $640.68 22,615 SH n/a sole n/a sole 0 0 BLACKROCK CALIFORNIA MUNICI Common 09248E102 $240.24 26,400 SH n/a sole n/a sole 0 0 BLACKROCK CORE BOND TRUST Common 09249E101 $6,858.75 626,370 SH n/a sole n/a sole 0 0 BLACKROCK DIVERSIFIED INCOM Common 09255W102 $553.38 97,255 SH n/a sole n/a sole 0 0 BLACKROCK DIVIDEND ACHIEVER Common 09250N107 $3,359.05 401,800 SH n/a sole n/a sole 0 0 BLACKROCK ENH CAP AND INC Common 09256A109 $8,211.78 733,850 SH n/a sole n/a sole 0 0 BLACKROCK ENHANCED DIVIDEND Common 09251A104 $2,622.72 314,475 SH n/a sole n/a sole 0 0 BLACKROCK FL MUNI 2020 TERM Common 09250M109 $837.49 84,170 SH n/a sole n/a sole 0 0 BLACKROCK FLORIDA INSD MUNI Common 09250G102 $854.48 88,000 SH n/a sole n/a sole 0 0 BLACKROCK FLORIDA INVT QUAL Common 09247B109 $487.90 64,367 SH n/a sole n/a sole 0 0 BLACKROCK INCOME OPPTY TRST Common 092475102 $672.21 79,551 SH n/a sole n/a sole 0 0 BLACKROCK INSD MUNI TERM TR Common 092474105 $44,467.97 4,376,769 SH n/a sole n/a sole 0 0 BLACKROCK INTERNATIONAL GRO Common 092524107 $2,816.12 331,698 SH n/a sole n/a sole 0 0 BLACKROCK LTD DURATION INC Common 09249W101 $2,768.76 258,039 SH n/a sole n/a sole 0 0 BLACKROCK MUNI INTERM DURAT Common 09253X102 $7,446.62 735,106 SH n/a sole n/a sole 0 0 BLACKROCK MUNI NY INT DUR F Common 09255F109 $112.61 12,840 SH n/a sole n/a sole 0 0 BLACKROCK MUNIENHANCED FUND Common 09253Y100 $358.03 49,045 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS CA I Common 09254L107 $1,794.08 197,152 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS FL I Common 09254P108 $11,616.91 1,269,608 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS IN I Common 09254C107 $6,503.45 688,925 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS INSU Common 09254A101 $5,566.42 610,353 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS NEW Common 09254X101 $294.67 29,310 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS NY I Common 09255C106 $4,427.24 503,096 SH n/a sole n/a sole 0 0 BLACKROCK MUNIVEST FUND Common 09253R105 $568.95 85,300 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD CA INSU Common 09254N103 $1,510.16 160,485 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD CALI FD Common 09254M105 $182.20 20,000 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD FL FUND Common 09254R104 $3,759.08 420,009 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD FLORIDA Common 09254T100 $2,701.61 296,880 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD INSURED Common 09254E103 $949.49 104,800 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD MI INS Common 09254W103 $230.43 26,425 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD MI INSU Common 09254V105 $2,093.73 220,161 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD NY INSU Common 09255E102 $772.39 89,813 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD PA INSU Common 09255G107 $946.31 101,535 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD QUAL II Common 09254G108 $1,533.99 178,787 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD QUALITY Common 09254F100 $196.14 19,420 SH n/a sole n/a sole 0 0 BLACKROCK NEW YORK MUN II Common 09249r102 $170.11 18,155 SH n/a sole n/a sole 0 0 BLACKROCK NEW YORK MUNI BON Common 09249P106 $316.25 31,250 SH n/a sole n/a sole 0 0 BLACKROCK REAL ASSET EQUITY Common 09254B109 $1,383.18 197,315 SH n/a sole n/a sole 0 0 BLACKROCK STRAT DVD ACHV TR Common 09249Y107 $6,807.58 822,172 SH n/a sole n/a sole 0 0 BLACKROCK STRATEGIC MUNICIP Common 09248T109 $596.23 72,800 SH n/a sole n/a sole 0 0 BLACKROCK STRATEGIC TERM TR Common 091941104 $1,486.23 188,131 SH n/a sole n/a sole 0 0 CAMDEN LEARNING CORP TENT A Common 132863101 $287.26 39,350 SH n/a sole n/a sole 0 0 CENTRAL EUROPE & RUSSIA FUN Common 153436100 $434.39 26,439 SH n/a sole n/a sole 0 0 COHEN & STEERS REIT UTI & I Common 19247Y108 $6,807.46 1,070,355 SH n/a sole n/a sole 0 0 CORNING INC COM Common 219350105 $409.79 43,000 SH n/a sole n/a sole 0 0 DEFINED STRATEGY FUND INC Common 24476Y100 $9,561.33 976,642 SH n/a sole n/a sole 0 0 DELAWARE INV AZ MUNI INCM F Common 246100101 $154.96 15,975 SH n/a sole n/a sole 0 0 DELAWARE INV FL INSD MUNI I Common 24610T108 $119.92 12,650 SH n/a sole n/a sole 0 0 DIAMONDS TRUST SERIES I Common 252787106 $319.80 3,654 SH n/a sole n/a sole 0 0 DOW 30 ENHANCED PREMIUM & I Common 260537105 $284.04 31,950 SH n/a sole n/a sole 0 0 DREYFUS MUNICIPAL INCOME IN Common 26201R102 $519.51 79,802 SH n/a sole n/a sole 0 0 DREYFUS STRATEGIC MUNICIPAL Common 26202F107 $769.40 138,381 SH n/a sole n/a sole 0 0 DREYFUS STRATEGIC MUNICIPAL Common 261932107 $1,803.05 319,689 SH n/a sole n/a sole 0 0 DTF TAX-FREE INCOME INC Common 23334J107 $3,964.47 331,755 SH n/a sole n/a sole 0 0 DUFF & PHELPS UTILITY & COR Common 26432K108 $107.66 10,649 SH n/a sole n/a sole 0 0 DWS GLOBAL COMMODITIES STOC Common 23338Y100 $3,851.09 705,328 SH n/a sole n/a sole 0 0 DWS MUNICIPAL INCOME TRUST Common 23338M106 $6,770.76 825,702 SH n/a sole n/a sole 0 0 DWS STRATEGIC MUNI INCOME T Common 23338T101 $575.75 72,059 SH n/a sole n/a sole 0 0 EATON VANCE ENH EQT INC II Common 278277108 $3,288.44 308,195 SH n/a sole n/a sole 0 0 EATON VANCE ENHANCED EQ INC Common 278274105 $5,256.85 438,071 SH n/a sole n/a sole 0 0 EATON VANCE INSURED MUNI BN Common 27827X101 $2,933.04 331,155 SH n/a sole n/a sole 0 0 EATON VANCE MI MUNICIPAL IN Common 27826D106 $272.00 34,000 SH n/a sole n/a sole 0 0 EATON VANCE NATIONAL MUNICI Common 27829D103 $4,886.19 650,625 SH n/a sole n/a sole 0 0 EATON VANCE NJ MUNICIPAL IN Common 27826V106 $576.64 71,811 SH n/a sole n/a sole 0 0 EATON VANCE OH MUNICIPAL IN Common 27826G109 $362.49 41,052 SH n/a sole n/a sole 0 0 EATON VANCE PA MUNICIPAL IN Common 27826T101 $161.85 20,410 SH n/a sole n/a sole 0 0 EATON VANCE SHORT DUR DIV I Common 27828V104 $1,908.24 163,797 SH n/a sole n/a sole 0 0 EATON VANCE T/A GL DVD INCM Common 27828S101 $2,415.86 227,482 SH n/a sole n/a sole 0 0 EATON VANCE TAX MANAGED GLO Common 27829C105 $629.67 62,220 SH n/a sole n/a sole 0 0 EATON VANCE TAX-ADV DVD INC Common 27828G107 $2,115.20 181,562 SH n/a sole n/a sole 0 0 EATON VANCE TAX-MANAGED BUY Common 27828X100 $4,500.10 359,146 SH n/a sole n/a sole 0 0 EATON VANCE TAX-MANAGED BUY Common 27828Y108 $5,339.45 523,475 SH n/a sole n/a sole 0 0 EATON VANCE TAX-MANAGED DIV Common 27828N102 $7,677.42 710,215 SH n/a sole n/a sole 0 0 EATON VANCE TAX-MANAGED GLO Common 27829F108 $2,094.31 212,620 SH n/a sole n/a sole 0 0 EMERGING MKTS TELECOMM FUND Common 290890102 $927.11 68,624 SH n/a sole n/a sole 0 0 ENTERPRISE ACQ CORP TENT AC Common 29365R108 $618.98 67,500 SH n/a sole n/a sole 0 0 EVERGREEN MULTI SECTOR INC Common 30024Y104 $5,756.76 564,388 SH n/a sole n/a sole 0 0 EXXON MOBIL CORPORATION Common 30231G102 $961.21 12,041 SH n/a sole n/a sole 0 0 FEDERATED PREMIER INT MUNI Common 31423M105 $97.50 10,000 SH n/a sole n/a sole 0 0 FIRST ISRAEL FUND INC Common 32063L100 $242.12 30,190 SH n/a sole n/a sole 0 0 FIRST NIAGARA FINANCIAL GRP Common 33582V108 $194.36 12,020 SH n/a sole n/a sole 0 0 FIRST TRUST ABERDEEN GLOBAL Common 337319107 $10,948.86 1,052,785 SH n/a sole n/a sole 0 0 FIRST TRUST ENH EQUITY INC Common 337318109 $5,529.15 625,470 SH n/a sole n/a sole 0 0 FLAH & CRUM/CLAYMORE PFD S Common 338478100 $5,328.05 687,490 SH n/a sole n/a sole 0 0 FORT DEARBORN INCOME SEC Common 347200107 $4,540.02 329,943 SH n/a sole n/a sole 0 0 FRANKLIN STREET PROPERTIES Common 35471R106 $938.09 63,599 SH n/a sole n/a sole 0 0 GABELLI DIVIDEND & INCOME T Common 36242H104 $8,809.67 855,308 SH n/a sole n/a sole 0 0 GABELLI GLOBAL DEAL FUND Common 36245G103 $3,304.64 251,495 SH n/a sole n/a sole 0 0 GABELLI GLOBAL MULTIMEDIA T Common 36239Q109 $1,334.26 299,834 SH n/a sole n/a sole 0 0 GENERAL AMERICAN INVESTORS Common 368802104 $3,724.82 214,070 SH n/a sole n/a sole 0 0 GENERAL ELECTRIC CO Common 369604103 $230.75 14,244 SH n/a sole n/a sole 0 0 GENEVA ACQ CORP TENATIVE AC Common 37185Y104 $564.90 96,400 SH n/a sole n/a sole 0 0 GOLDEN POND HEALTH TENT ACQ Common 38116J109 $83.15 11,500 SH n/a sole n/a sole 0 0 GSI GROUP, INC. Common 36229U102 $23.29 40,700 SH n/a sole n/a sole 0 0 H & Q LIFE SCIENCES INVSTRS Common 404053100 $3,865.48 447,394 SH n/a sole n/a sole 0 0 HERZFELD CARIBBEAN BASIN FD Common 42804T106 $74.72 17,791 SH n/a sole n/a sole 0 0 IDEATION ACQ CORP TENT ACQ Common 451665103 $150.33 20,850 SH n/a sole n/a sole 0 0 INDONESIA FUND, INC. Common 455778100 $100.34 19,675 SH n/a sole n/a sole 0 0 ING ASIA PACIFIC HIGH DIVID Common 44983J107 $1,665.12 146,707 SH n/a sole n/a sole 0 0 ING GLOBAL EQUITY DIVIDEND Common 45684E107 $2,024.65 208,083 SH n/a sole n/a sole 0 0 INSURED MUNI INCOME FUND Common 45809F104 $20,249.94 2,004,945 SH n/a sole n/a sole 0 0 INVESTMENT GRADE MUNI INC F Common 461368102 $10,812.55 1,084,509 SH n/a sole n/a sole 0 0 IPATH DOW JONES-AIG COMMODI Common 06738C778 $211.14 6,000 SH n/a sole n/a sole 0 0 ISHARES LEHMAN TRES INF PR Common 464287176 $784.00 7,900 SH n/a sole n/a sole 0 0 ISHARES MSCI AUSTRALIA INDE Common 464286103 $912.35 65,121 SH n/a sole n/a sole 0 0 ISHARES MSCI BRAZIL INDEX F Common 464286400 $654.17 18,696 SH n/a sole n/a sole 0 0 ISHARES MSCI CANADA Common 464286509 $1,166.07 66,900 SH n/a sole n/a sole 0 0 ISHARES MSCI EAFE INDEX FUN Common 464287465 $216.45 4,825 SH n/a sole n/a sole 0 0 ISHARES MSCI EMU Common 464286608 $505.31 16,508 SH n/a sole n/a sole 0 0 ISHARES MSCI FRANCE INDEX F Common 464286707 $1,072.10 51,223 SH n/a sole n/a sole 0 0 ISHARES MSCI HONG KONG INDE Common 464286871 $380.79 36,720 SH n/a sole n/a sole 0 0 ISHARES MSCI JAPAN INDEX FD Common 464286848 $3,201.91 334,229 SH n/a sole n/a sole 0 0 ISHARES MSCI PACIFIC EX JPN Common 464286665 $669.05 25,391 SH n/a sole n/a sole 0 0 ISHARES MSCI SPAIN INDEX FD Common 464286764 $495.04 13,086 SH n/a sole n/a sole 0 0 ISHARES MSCI UNITED KINGDOM Common 464286699 $1,976.01 161,307 SH n/a sole n/a sole 0 0 ISHARES RUSSELL 2000 Common 464287655 $698.22 14,180 SH n/a sole n/a sole 0 0 ISHARES S&P 500 INDEX FUND Common 464287200 $4,778.75 52,915 SH n/a sole n/a sole 0 0 ISHARES S&P EUROPE 350 Common 464287861 $350.73 11,263 SH n/a sole n/a sole 0 0 ISHARES S&P NATIONAL MUNICI Common 464288414 $836.24 8,401 SH n/a sole n/a sole 0 0 JAPAN EQUITY FUND Common 471057109 $2,682.12 540,749 SH n/a sole n/a sole 0 0 JAPAN SMALLER CAPITALIZATIO Common 47109U104 $793.30 109,270 SH n/a sole n/a sole 0 0 JENNISON 20/20 FOCUS FD-A Common 476295100 $141.89 15,079 SH n/a sole n/a sole 0 0 JF CHINA REGION FUND INC Common 46614T107 $504.99 57,581 SH n/a sole n/a sole 0 0 JOHN HAN PATR PREM DIV FD I Common 41013T105 $783.38 110,180 SH n/a sole n/a sole 0 0 JOHNSON & JOHNSON Common 478160104 $204.98 3,426 SH n/a sole n/a sole 0 0 KBL HEALTHCARE ACQ TENT ACQ Common 48241N107 $74.74 10,100 SH n/a sole n/a sole 0 0 KIMBERLY-CLARK CORPORATION Common 494368103 $489.37 9,279 SH n/a sole n/a sole 0 0 KOREA EQUITY FUND Common 50063B104 $282.63 49,672 SH n/a sole n/a sole 0 0 LATIN AMERICA EQUITY FD INC Common 51827Q106 $581.04 31,768 SH n/a sole n/a sole 0 0 LAZARD GLOBAL TOT RT & INC Common 52106W103 $3,938.15 332,895 SH n/a sole n/a sole 0 0 LENNOX INTERNATIONAL INC. Common 526107107 $338.33 10,478 SH n/a sole n/a sole 0 0 LIBERTY ALL STAR EQUITY FUN Common 530158104 $12,240.77 3,497,363 SH n/a sole n/a sole 0 0 LIBERTY ALL-STAR GROWTH FD Common 529900102 $1,336.57 514,065 SH n/a sole n/a sole 0 0 LMP CAPITAL AND INCOME FUND Common 50208A102 $4,762.16 616,062 SH n/a sole n/a sole 0 0 MACQUARIE GLOBAL INFR TOT R Common 55608D101 $4,378.55 363,365 SH n/a sole n/a sole 0 0 MADISON STRATEGIC SECTR PRE Common 558268108 $2,848.03 325,489 SH n/a sole n/a sole 0 0 MADISON/CLAYMORE COVERED CA Common 556582104 $3,488.58 561,768 SH n/a sole n/a sole 0 0 MBIA CAP/CLAYMORE MGD DUR I Common 55266X100 $3,918.98 461,057 SH n/a sole n/a sole 0 0 MEXICO EQUITY AND INCOME FD Common 592834105 $84.32 13,470 SH n/a sole n/a sole 0 0 MEXICO FUND INC Common 592835102 $917.62 60,370 SH n/a sole n/a sole 0 0 MFS CHARTER INCOME TRUST Common 552727109 $22,576.83 3,075,863 SH n/a sole n/a sole 0 0 MFS INTERMARKET INC TRUST I Common 59318R103 $489.49 72,625 SH n/a sole n/a sole 0 0 MFS INTERMEDIATE INC TRUST Common 55273C107 $84,925.56 13,588,090 SH n/a sole n/a sole 0 0 MFS MULTIMARKET INC TRUST Common 552737108 $15,027.04 3,124,125 SH n/a sole n/a sole 0 0 MONTGOMERY ST INCOME SEC IN Common 614115103 $2,238.84 162,000 SH n/a sole n/a sole 0 0 MORGAN STANLEY ASIA PACIFIC Common 61744U106 $7,969.26 744,088 SH n/a sole n/a sole 0 0 MORGAN STANLEY INCOME SECS Common 61745P874 $515.51 35,824 SH n/a sole n/a sole 0 0 MORGAN STANLEY INSD MUNI BD Common 61745P817 $1,107.49 112,550 SH n/a sole n/a sole 0 0 MORGAN STANLEY INSD MUNI IN Common 61745P791 $2,305.28 214,644 SH n/a sole n/a sole 0 0 MORGAN STANLEY INSD MUNI TR Common 61745P866 $2,265.33 223,405 SH n/a sole n/a sole 0 0 MORGAN STANLEY MUNI PREM IN Common 61745P429 $226.72 39,225 SH n/a sole n/a sole 0 0 MORGAN STANLEY NY QUAL MUNI Common 61745P528 $663.62 70,900 SH n/a sole n/a sole 0 0 MORGAN STANLEY QUAL MUNI IN Common 61745P734 $3,446.42 364,700 SH n/a sole n/a sole 0 0 MORGAN STANLEY QUAL MUNI IN Common 61745P668 $914.21 98,940 SH n/a sole n/a sole 0 0 MORGAN STANLEY QUAL MUNI SE Common 61745P585 $2,159.68 224,733 SH n/a sole n/a sole 0 0 NATIONAL CITY CORP Common 635405103 $107.15 59,200 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN CA INT MUN Common 64123C101 $152.07 14,650 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN HIGH YIELD Common 64128C106 $95.06 14,900 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN INTMD MUNI Common 64124P101 $3,959.90 348,890 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN NY INTMD M Common 64124K102 $2,119.96 202,867 SH n/a sole n/a sole 0 0 NEW GERMANY FUND Common 644465106 $7,079.72 883,860 SH n/a sole n/a sole 0 0 NEW IRELAND FUND INC Common 645673104 $308.78 66,980 SH n/a sole n/a sole 0 0 NICHOLAS-APPLE INTL & PR ST Common 65370C108 $1,738.09 157,865 SH n/a sole n/a sole 0 0 NICHOLAS-APPLEGATE CONVERTI Common 65370F101 $850.54 183,305 SH n/a sole n/a sole 0 0 NORTH SHORE ACQ TENT ACQ DA Common 662316108 $112.00 15,775 SH n/a sole n/a sole 0 0 NTR ACQUISITION TENT ACQ DA Common 629415100 $370.89 37,350 SH n/a sole n/a sole 0 0 NUCOR CORPORATION Common 670346105 $209.92 4,544 SH n/a sole n/a sole 0 0 NUVEEN CA DVD ADV MUNI FD 2 Common 67069X104 $1,043.23 112,782 SH n/a sole n/a sole 0 0 NUVEEN CALIFORNIA SELECT QU Common 670975101 $367.00 38,150 SH n/a sole n/a sole 0 0 NUVEEN CORE EQUITY ALPHA FU Common 67090X107 $5,153.99 536,315 SH n/a sole n/a sole 0 0 NUVEEN DIVIDEND ADV MUNI 3 Common 67070X101 $3,536.87 352,633 SH n/a sole n/a sole 0 0 NUVEEN DVD ADV MUNI FD 2 Common 67070F100 $883.54 77,300 SH n/a sole n/a sole 0 0 NUVEEN DVD ADVANTAGE MUNI F Common 67066V101 $2,724.65 274,662 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM & GRO Common 6706EW100 $5,769.37 535,689 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM ADVAN Common 6706ET107 $5,757.98 556,865 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM INCOM Common 6706ER101 $3,242.95 301,951 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM OPPOR Common 6706EM102 $6,017.44 563,431 SH n/a sole n/a sole 0 0 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$1,332.53 133,253 SH n/a sole n/a sole 0 0 NUVEEN INSD PREM INC MUNI I Common 6706D8104 $2,765.23 294,829 SH n/a sole n/a sole 0 0 NUVEEN INV QUALITY MUNI FD Common 67062E103 $1,344.55 130,000 SH n/a sole n/a sole 0 0 NUVEEN MD PREMIUM INC MUNI Common 67061Q107 $137.34 14,000 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN QUALITY INC Common 670979103 $297.28 30,490 SH n/a sole n/a sole 0 0 NUVEEN MULTI-CURRENCY SHORT Common 67090N109 $354.45 25,500 SH n/a sole n/a sole 0 0 NUVEEN MULTI-ST INC & GTH Common 67073B106 $1,099.12 238,939 SH n/a sole n/a sole 0 0 NUVEEN MULTI-STRATEGY INCOM Common 67073D102 $2,438.87 500,794 SH n/a sole n/a sole 0 0 NUVEEN MUNI MKT OPPORTUNITY Common 67062W103 $1,277.73 124,143 SH n/a sole n/a sole 0 0 NUVEEN NEW YORK PERF+ MUNI Common 67062R104 $299.78 29,275 SH n/a sole n/a sole 0 0 NUVEEN NEW YORK SELECT QUAL Common 670976109 $2,720.44 268,818 SH n/a sole n/a sole 0 0 NUVEEN NY DIVIDEND ADV MUNI Common 67066X107 $505.81 53,525 SH n/a sole n/a sole 0 0 NUVEEN NY 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195,100 SH n/a sole n/a sole 0 0 OLD MUTUAL CLAYMORE LONG-SR Common 68003N103 $2,723.81 341,330 SH n/a sole n/a sole 0 0 PAYCHEX CORPORATION Common 704326107 $690.11 26,260 SH n/a sole n/a sole 0 0 PEPSICO INC Common 713448108 $229.92 4,198 SH n/a sole n/a sole 0 0 PIMCO CALIFORNIA MUNICIPAL Common 72201C109 $313.99 50,890 SH n/a sole n/a sole 0 0 PIMCO CALIFORNIA MUNICIPAL Common 72200M108 $68.08 11,000 SH n/a sole n/a sole 0 0 PIMCO FLOATING RATE STRATEG Common 72201J104 $296.39 48,193 SH n/a sole n/a sole 0 0 PIMCO MUNI ADVANTAGE FUND I Common 722015104 $10,141.32 1,220,375 SH n/a sole n/a sole 0 0 PIMCO MUNI INCOME FUND III Common 72201A103 $1,243.35 192,600 SH n/a sole n/a sole 0 0 PIMCO MUNICIPAL INCOME FD I Common 72200W106 $3,316.12 490,550 SH n/a sole n/a sole 0 0 PIMCO NEW YORK MUNI INC FD Common 72200T103 $174.13 25,200 SH n/a sole n/a sole 0 0 PIMCO NEW YORK MUNICIPAL II Common 72200Y102 $239.67 33,900 SH n/a sole n/a sole 0 0 PIMCO NEW YORK MUNICIPAL II Common 72201E105 $539.81 88,785 SH n/a sole n/a sole 0 0 PIONEER FLOATING RATE TRUST Common 72369j102 $1,766.60 251,295 SH n/a sole n/a sole 0 0 PIONEER MUNI HI INCOME TRUS Common 723763108 $484.41 57,935 SH n/a sole n/a sole 0 0 PROCTER & GAMBLE CO Common 742718109 $334.76 5,415 SH n/a sole n/a sole 0 0 PUTNAM MANAGED MUNI INCM TR Common 746823103 $4,122.34 814,692 SH n/a sole n/a sole 0 0 PUTNAM MUNI OPPORTUNITIES T Common 746922103 $25,575.74 2,929,638 SH n/a sole n/a sole 0 0 PUTNAM PREMIER INCOME TRUST Common 746853100 $14,731.72 3,806,646 SH n/a sole n/a sole 0 0 RENAISSANCE ACQ CORP TENT A Common 75966C305 $1,100.00 200,000 SH n/a sole n/a sole 0 0 ROYCE VALUE TRUST Common 780910105 $102.44 12,210 SH n/a sole n/a sole 0 0 RYDEX S&P EQUAL WEIGHT ETF Common 78355W106 $11,579.45 416,527 SH n/a sole n/a sole 0 0 S&P 500 GEARED FUND INC Common 78381R105 $2,852.39 306,050 SH n/a sole n/a sole 0 0 SECURE AMERICA ACQ TENT ACQ Common 81372L103 $78.97 10,700 SH n/a sole n/a sole 0 0 SINGAPORE FUND INC Common 82929L109 $1,301.19 167,679 SH n/a sole n/a sole 0 0 SPAIN FUND INC Common 846330108 $796.40 148,030 SH n/a sole n/a sole 0 0 SPDR LEHMAN SHORT TERM MUNI Common 78464A425 $2,932.14 124,666 SH n/a sole n/a sole 0 0 SPDR TRUST SERIES 1 Common 78462F103 $16,660.63 184,626 SH n/a sole n/a sole 0 0 STRATEGIC GLOBAL INCOME FUN Common 862719101 $422.72 54,756 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA GR Common 867037103 $8,121.62 850,431 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA L/ Common 867038101 $4,315.11 417,726 SH n/a sole n/a sole 0 0 SWISS HELVETIA FUND Common 870875101 $9,490.08 763,482 SH n/a sole n/a sole 0 0 TAIWAN GREATER CHINA FUND Common 874037104 $561.81 159,157 SH n/a sole n/a sole 0 0 TELECONNECT INC. 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