-----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, KQQ68HfZ9WKztOVcU9tE7r+bF/kaJdSNc4txXdmPW+11hM9cOIzZEe1DTY0q4hvp pmuLeHFtlWdKqkpvaOQN3w== 0001048703-09-000083.txt : 20090814 0001048703-09-000083.hdr.sgml : 20090814 20090814160506 ACCESSION NUMBER: 0001048703-09-000083 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 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: 091015761 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 form13f063009.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: June 30, 2009 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: August 14, 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: 244 Form 13F Information Table Value Total: $963,821.48 (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 $10,353.77 1,855,514 SH n/a sole n/a sole 0 0 ADAMS EXPRESS COMPANY Common 006212104 $7,736.57 921,020 SH n/a sole n/a sole 0 0 ADVENT CLAYMORE CONVERTIBLE Common 00764C109 $419.03 34,890 SH n/a sole n/a sole 0 0 ADVENT CLAYMORE GLOBAL CONV Common 007639107 $229.25 35,000 SH n/a sole n/a sole 0 0 ALLIANCE NEW YORK MUNI INC Common 018714105 $1,141.73 94,514 SH n/a sole n/a sole 0 0 ALLIANCEBERNSTEIN INC FUND Common 01881E101 $2,650.40 343,761 SH n/a sole n/a sole 0 0 ALPHA SECURITY GROUP TENT A Common 02078A100 $100.00 10,000 SH n/a sole n/a sole 0 0 ALTERNATIVE ASSET ACQ TENT Common 02149U101 $358.07 36,650 SH n/a sole n/a sole 0 0 AMERICAN INTERNATIONAL GROU Common 026874784 $12.59 10,850 SH n/a sole n/a sole 0 0 AMERICAN STRATEGIC INC III Common 03009T101 $1,737.90 195,930 SH n/a sole n/a sole 0 0 BANCROFT FUND LTD Common 059695106 $230.56 17,982 SH n/a sole n/a sole 0 0 BANK OF AMERICA CORP Common 060505104 $143.35 10,860 SH n/a sole n/a sole 0 0 BANK OF NEW YORK MELLON COR Common 064058100 $658.30 22,460 SH n/a sole n/a sole 0 0 BLACKROCK BROAD INV GR 2009 Common 09247Q106 $139.51 12,100 SH n/a sole n/a sole 0 0 BLACKROCK CALIFORNIA INSURE Common 092484104 $869.31 76,322 SH n/a sole n/a sole 0 0 BLACKROCK CALIFORNIA INVEST Common 09247U107 $133.13 12,500 SH n/a sole n/a sole 0 0 BLACKROCK CALIFORNIA MUN II Common 09249S100 $1,299.37 116,640 SH n/a sole n/a sole 0 0 BLACKROCK DIVIDEND ACHIEVER Common 09250N107 $1,943.97 265,063 SH n/a sole n/a sole 0 0 BLACKROCK ENH CAP AND INC Common 09256A109 $3,694.56 284,197 SH n/a sole n/a sole 0 0 BLACKROCK FL MUNI 2020 TERM Common 09250M109 $714.44 60,290 SH n/a sole n/a sole 0 0 BLACKROCK FLORIDA INSD MUNI Common 09250G102 $1,087.29 91,369 SH n/a sole n/a sole 0 0 BLACKROCK FLORIDA INVT QUAL Common 09247B109 $559.49 59,647 SH n/a sole n/a sole 0 0 BLACKROCK FLORIDA MUNI BOND Common 09249K107 $267.50 21,400 SH n/a sole n/a sole 0 0 BLACKROCK INSD MUNI TERM TR Common 092474105 $17,420.94 1,692,997 SH n/a sole n/a sole 0 0 BLACKROCK MUNI INTERM DURAT Common 09253X102 $8,378.91 701,164 SH n/a sole n/a sole 0 0 BLACKROCK MUNI NY INT DUR F Common 09255F109 $208.44 19,390 SH n/a sole n/a sole 0 0 BLACKROCK MUNIENHANCED FUND Common 09253Y100 $2,412.92 268,102 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS CA I Common 09254L107 $4,388.98 396,834 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS FD I Common 09253P109 $836.45 71,553 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS FL I Common 09254P108 $16,039.05 1,411,888 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS FUND Common 09253N104 $318.44 25,193 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS IN I Common 09254C107 $7,582.47 689,943 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS INSU Common 09254A101 $6,135.62 558,800 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS NEW Common 09254X101 $632.39 50,510 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS NY I Common 09255C106 $8,394.82 736,388 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD CA INSU Common 09254N103 $2,758.48 246,073 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD CALI FD Common 09254M105 $360.98 31,582 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD FL FUND Common 09254R104 $4,594.96 421,947 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD FLORIDA Common 09254T100 $3,876.87 345,840 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD INSURED Common 09254E103 $398.27 35,059 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD MI INS Common 09254W103 $475.55 44,237 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD MI INSU Common 09254V105 $3,841.19 335,768 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD NY INSU Common 09255E102 $2,510.81 234,217 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD PA INSU Common 09255G107 $1,271.36 103,309 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD QUAL II Common 09254G108 $1,742.40 169,165 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD QUALITY Common 09254F100 $532.06 43,831 SH n/a sole n/a sole 0 0 BLACKROCK PENNSYLVANIA STRA Common 09248R103 $152.96 14,850 SH n/a sole n/a sole 0 0 BLACKROCK STRAT DVD ACHV TR Common 09249Y107 $6,412.81 864,260 SH n/a sole n/a sole 0 0 BLACKROCK STRATEGIC MUNICIP Common 09248T109 $295.22 27,851 SH n/a sole n/a sole 0 0 CAMDEN LEARNING CORP TENT A Common 132863101 $304.96 39,350 SH n/a sole n/a sole 0 0 CENTRAL EUROPE & RUSSIA FUN Common 153436100 $415.54 18,609 SH n/a sole n/a sole 0 0 CITIGROUP, INC. Common 172967101 $32.67 11,000 SH n/a sole n/a sole 0 0 COHEN & STEERS REIT UTI & I Common 19247Y108 $7,614.41 1,067,940 SH n/a sole n/a sole 0 0 CORNING INC COM Common 219350105 $562.10 35,000 SH n/a sole n/a sole 0 0 DEFINED STRATEGY FUND INC Common 24476Y100 $9,117.21 967,857 SH n/a sole n/a sole 0 0 DELAWARE INV AZ MUNI INCM F Common 246100101 $163.38 15,100 SH n/a sole n/a sole 0 0 DREYFUS MUNICIPAL INCOME IN Common 26201R102 $362.62 46,971 SH n/a sole n/a sole 0 0 DREYFUS STRATEGIC MUNI BD F Common 26202F107 $799.28 119,296 SH n/a sole n/a sole 0 0 DREYFUS STRATEGIC MUNICIPAL Common 261932107 $2,382.38 339,855 SH n/a sole n/a sole 0 0 DTF TAX-FREE INCOME INC Common 23334J107 $10,932.02 837,061 SH n/a sole n/a sole 0 0 DWS GLBL COMMOD STOCK FD IN Common 23338Y100 $2,265.21 319,493 SH n/a sole n/a sole 0 0 DWS MUNICIPAL INCOME TRUST Common 23338M106 $5,357.46 535,746 SH n/a sole n/a sole 0 0 EATON VANCE FLOATING-RATE I Common 278279104 $374.53 35,400 SH n/a sole n/a sole 0 0 EATON VANCE MUNICIPAL INCOM Common 27826U108 $5,952.49 620,051 SH n/a sole n/a sole 0 0 EATON VANCE SENIOR FLOATING Common 27828Q105 $243.83 23,200 SH n/a sole n/a sole 0 0 EATON VANCE SENIOR INCOME T Common 27826S103 $824.01 175,695 SH n/a sole n/a sole 0 0 EATON VANCE SHORT DUR DIV I Common 27828V104 $22,344.50 1,552,780 SH n/a sole n/a sole 0 0 EATON VANCE T/A GL DVD INCM Common 27828S101 $2,047.71 191,018 SH n/a sole n/a sole 0 0 EATON VANCE TAX-MANAGED GLO Common 27829F108 $243.21 22,540 SH n/a sole n/a sole 0 0 ELLSWORTH FUND LTD Common 289074106 $84.49 15,400 SH n/a sole n/a sole 0 0 EMERGING MKTS TELECOMM FUND Common 290890102 $436.58 29,047 SH n/a sole n/a sole 0 0 ENTERPRISE ACQ CORP TENT AC Common 29365R108 $1,369.08 140,275 SH n/a sole n/a sole 0 0 ETF POWERSHARES INSURED Common 73936T474 $6,711.29 299,745 SH n/a sole n/a sole 0 0 EVERGREEN MULTI SECTOR INC Common 30024Y104 $4,490.65 363,910 SH n/a sole n/a sole 0 0 EXXON MOBIL CORP Common 30231G102 $476.86 6,821 SH n/a sole n/a sole 0 0 FIRST ISRAEL FUND INC Common 32063L100 $275.62 24,220 SH n/a sole n/a sole 0 0 FIRST NIAGARA FINANCIAL GRP Common 33582V108 $137.27 12,020 SH n/a sole n/a sole 0 0 FIRST TRUST ABERDEEN GLOBAL Common 337319107 $10,548.01 791,893 SH n/a sole n/a sole 0 0 FIRST TRUST ENH EQUITY INC Common 337318109 $6,716.45 758,920 SH n/a sole n/a sole 0 0 FIRST TRUST/FOUR CRNS SR F Common 33733U108 $1,512.80 154,053 SH n/a sole n/a sole 0 0 FIRST TRUST/FOUR CRNS SR FL Common 33733Q107 $228.48 24,000 SH n/a sole n/a sole 0 0 FORT DEARBORN INCOME SEC Common 347200107 $4,099.91 293,900 SH n/a sole n/a sole 0 0 FRANKLIN STREET PROPERTIES Common 35471R106 $842.69 63,599 SH n/a sole n/a sole 0 0 GABELLI DIVIDEND & INCOME T Common 36242H104 $8,897.87 882,725 SH n/a sole n/a sole 0 0 GABELLI GLOBAL DEAL FUND Common 36245G103 $3,266.15 240,335 SH n/a sole n/a sole 0 0 GENERAL AMERICAN INVESTORS Common 368802104 $6,918.81 369,003 SH n/a sole n/a sole 0 0 GENERAL ELECTRIC CO Common 369604103 $149.57 12,762 SH n/a sole n/a sole 0 0 GLOBAL CONSUMER ACQ TENT AC Common 378983100 $113.99 11,800 SH n/a sole n/a sole 0 0 GOLDEN POND HEALTH TENT ACQ Common 38116J109 $88.67 11,500 SH n/a sole n/a sole 0 0 GSI GROUP, INC. Common 36229U102 $39.89 40,700 SH n/a sole n/a sole 0 0 H & Q LIFE SCIENCES INVSTRS Common 404053100 $3,993.56 460,088 SH n/a sole n/a sole 0 0 IDEATION ACQ CORP TENT ACQ Common 451665103 $160.75 20,850 SH n/a sole n/a sole 0 0 ING PRIME RATE TRUST Common 44977W106 $13,419.88 3,233,705 SH n/a sole n/a sole 0 0 INSURED MUNI INCOME FUND Common 45809F104 $25,372.27 2,062,786 SH n/a sole n/a sole 0 0 INVESTMENT GRADE MUNI INC F Common 461368102 $14,129.62 1,142,249 SH n/a sole n/a sole 0 0 IPATH DOW JONES-UBS COMMODI Common 06738C778 $5,317.00 143,161 SH n/a sole n/a sole 0 0 ISHARES FTSE/XINHUA CHINA 2 Common 464287184 $1,024.29 26,695 SH n/a sole n/a sole 0 0 ISHARES IBOXX INV GR CORP B Common 464287242 $1,315.47 13,118 SH n/a sole n/a sole 0 0 ISHARES LEHMAN 7-10YR TREAS Common 464287440 $1,246.89 13,752 SH n/a sole n/a sole 0 0 ISHARES LEHMAN TRES INF PR Common 464287176 $4,386.27 43,155 SH n/a sole n/a sole 0 0 ISHARES MSCI AUSTRALIA INDE Common 464286103 $1,639.19 97,571 SH n/a sole n/a sole 0 0 ISHARES MSCI BRAZIL INDEX F Common 464286400 $2,368.61 44,716 SH n/a sole n/a sole 0 0 ISHARES MSCI CANADA Common 464286509 $3,258.56 152,127 SH n/a sole n/a sole 0 0 ISHARES MSCI EMU Common 464286608 $421.92 13,920 SH n/a sole n/a sole 0 0 ISHARES MSCI FRANCE INDEX F Common 464286707 $1,895.58 92,603 SH n/a sole n/a sole 0 0 ISHARES MSCI HONG KONG INDE Common 464286871 $756.18 55,035 SH n/a sole n/a sole 0 0 ISHARES MSCI JAPAN INDEX FD Common 464286848 $2,685.67 284,801 SH n/a sole n/a sole 0 0 ISHARES MSCI PACIFIC EX JPN Common 464286665 $1,951.82 61,630 SH n/a sole n/a sole 0 0 ISHARES MSCI SPAIN INDEX FD Common 464286764 $462.28 11,491 SH n/a sole n/a sole 0 0 ISHARES MSCI UNITED KINGDOM Common 464286699 $4,218.89 319,371 SH n/a sole n/a sole 0 0 ISHARES S&P EUROPE 350 Common 464287861 $348.10 11,093 SH n/a sole n/a sole 0 0 ISHARES S&P NATIONAL MUNICI Common 464288414 $3,552.60 35,649 SH n/a sole n/a sole 0 0 JAPAN EQUITY FUND Common 471057109 $2,875.23 582,031 SH n/a sole n/a sole 0 0 JAPAN SMALLER CAPITALIZATIO Common 47109U104 $725.67 98,730 SH n/a sole n/a sole 0 0 JF CHINA REGION FUND INC Common 46614T107 $316.12 27,346 SH n/a sole n/a sole 0 0 JOHN HAN PATR PREM DIV FD I Common 41013T105 $639.85 80,586 SH n/a sole n/a sole 0 0 KBL HEALTHCARE ACQ TENT ACQ Common 48241N107 $78.17 10,100 SH n/a sole n/a sole 0 0 KIMBERLY-CLARK CORPORATION Common 494368103 $486.50 9,279 SH n/a sole n/a sole 0 0 KOREA EQUITY FUND Common 50063B104 $249.68 36,772 SH n/a sole n/a sole 0 0 LATIN AMERICA EQUITY FD INC Common 51827Q106 $233.08 8,280 SH n/a sole n/a sole 0 0 LAZARD GLOBAL TOT RT & INC Common 52106W103 $2,903.12 236,989 SH n/a sole n/a sole 0 0 LENNOX INTERNATIONAL INC. Common 526107107 $323.67 10,080 SH n/a sole n/a sole 0 0 LIBERTY ALL STAR EQUITY FUN Common 530158104 $16,252.38 4,697,356 SH n/a sole n/a sole 0 0 LIBERTY ALL-STAR GROWTH FD Common 529900102 $2,463.48 902,372 SH n/a sole n/a sole 0 0 LMP CAPITAL AND INCOME FUND Common 50208A102 $5,495.46 639,007 SH n/a sole n/a sole 0 0 LMP CORPORATE LOAN FUND INC Common 50208B100 $1,107.53 135,229 SH n/a sole n/a sole 0 0 MACQUARIE GLOBAL INFR TOT R Common 55608D101 $1,795.04 141,565 SH n/a sole n/a sole 0 0 MADISON STRATEGIC SECTR PRE Common 558268108 $5,266.32 523,491 SH n/a sole n/a sole 0 0 MADISON/CLAYMORE COVERED CA Common 556582104 $5,536.19 793,150 SH n/a sole n/a sole 0 0 MBIA CAP/CLAYMORE MGD DUR I Common 55266X100 $5,384.58 489,507 SH n/a sole n/a sole 0 0 MEXICO EQUITY AND INCOME FD Common 592834105 $222.55 39,529 SH n/a sole n/a sole 0 0 MEXICO FUND INC Common 592835102 $591.10 33,991 SH n/a sole n/a sole 0 0 MFS CHARTER INCOME TRUST Common 552727109 $24,503.61 3,002,893 SH n/a sole n/a sole 0 0 MFS INTERMARKET INC TRUST I Common 59318R103 $112.94 15,425 SH n/a sole n/a sole 0 0 MFS INTERMEDIATE INC TRUST Common 55273C107 $79,529.85 12,049,977 SH n/a sole n/a sole 0 0 MFS MULTIMARKET INC TRUST Common 552737108 $17,445.15 3,044,528 SH n/a sole n/a sole 0 0 MFS SPECIAL VALUE TRUST Common 55274E102 $123.49 24,029 SH n/a sole n/a sole 0 0 MONTGOMERY ST INCOME SEC IN Common 614115103 $1,918.09 132,740 SH n/a sole n/a sole 0 0 MORGAN STANLEY ASIA PACIFIC Common 61744U106 $5,104.93 403,552 SH n/a sole n/a sole 0 0 MORGAN STANLEY CA INSD MUNI Common 61745P502 $907.84 80,127 SH n/a sole n/a sole 0 0 MORGAN STANLEY CA QUAL MUNI Common 61745P635 $360.07 34,391 SH n/a sole n/a sole 0 0 MORGAN STANLEY INSD MUNI IN Common 61745P791 $1,817.15 143,083 SH n/a sole n/a sole 0 0 MORGAN STANLEY INSD MUNI TR Common 61745P866 $2,057.91 168,433 SH n/a sole n/a sole 0 0 MORGAN STANLEY NY QUAL MUNI Common 61745P528 $1,592.07 136,191 SH n/a sole n/a sole 0 0 MORGAN STANLEY QUAL MUNI IN Common 61745P668 $605.13 54,565 SH n/a sole n/a sole 0 0 MORGAN STANLEY QUAL MUNI SE Common 61745P585 $2,115.67 185,422 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN CA INT MUN Common 64123C101 $368.27 30,689 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN INTMD MUNI Common 64124P101 $3,328.69 265,870 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN NY INTMD M Common 64124K102 $1,361.30 112,971 SH n/a sole n/a sole 0 0 NEW GERMANY FUND Common 644465106 $5,969.58 694,137 SH n/a sole n/a sole 0 0 NEW IRELAND FUND INC Common 645673104 $248.02 38,393 SH n/a sole n/a sole 0 0 NICHOLAS-APPLE INTL & PR ST Common 65370C108 $1,446.75 116,205 SH n/a sole n/a sole 0 0 NORTH SHORE ACQ TENT ACQ DA Common 662316108 $187.02 24,575 SH n/a sole n/a sole 0 0 NUVEEN CA DVD ADV MUNI FD 2 Common 67069X104 $1,235.57 108,832 SH n/a sole n/a sole 0 0 NUVEEN CALIFORNIA SELECT QU Common 670975101 $238.18 20,588 SH n/a sole n/a sole 0 0 NUVEEN CORE EQUITY ALPHA FU Common 67090X107 $5,258.95 541,044 SH n/a sole n/a sole 0 0 NUVEEN DIVIDEND ADV MUNI 3 Common 67070X101 $1,156.42 92,145 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM & GRO Common 6706EW100 $3,970.80 346,794 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM ADVAN Common 6706ET107 $6,132.16 554,444 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM INCOM Common 6706ER101 $2,389.10 222,656 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM OPPOR Common 6706EM102 $4,194.18 380,597 SH n/a sole n/a sole 0 0 NUVEEN FLOATING RATE INCOME Common 67072T108 $1,261.79 164,725 SH n/a sole n/a sole 0 0 NUVEEN FLOATING RT INC OPP Common 6706EN100 $2,778.33 367,018 SH n/a sole n/a sole 0 0 NUVEEN FLORIDA INV QUAL MUN Common 670970102 $7,099.43 612,020 SH n/a sole n/a sole 0 0 NUVEEN FLORIDA QUAL INC MUN Common 670978105 $8,973.36 742,828 SH n/a sole n/a sole 0 0 NUVEEN GEORGIA DVD ADV MU 2 Common 67072B107 $301.39 25,200 SH n/a sole n/a sole 0 0 NUVEEN GLOBAL GOVERNMENT EN Common 67073C104 $5,865.61 347,489 SH n/a sole n/a sole 0 0 NUVEEN INS FL T/F ADV MUN F Common 670655109 $1,755.90 146,325 SH n/a sole n/a sole 0 0 NUVEEN INS NY T/F ADV MUNI Common 670656107 $380.69 30,750 SH n/a sole n/a sole 0 0 NUVEEN INS T/F ADV MUNICIPA Common 670657105 $2,166.15 169,894 SH n/a sole n/a sole 0 0 NUVEEN INSD DVD ADV MUNI FD Common 67071L106 $5,624.01 438,690 SH n/a sole n/a sole 0 0 NUVEEN INSD FLORIDA PREMIUM Common 67101V108 $7,927.49 638,284 SH n/a sole n/a sole 0 0 NUVEEN INSD MUNI OPPORTUNIT Common 670984103 $4,070.04 336,089 SH n/a sole n/a sole 0 0 NUVEEN INSD NEW YORK PREMIU Common 67101R107 $1,576.34 129,740 SH n/a sole n/a sole 0 0 NUVEEN INSD NY DVD ADV MUNI Common 67071N102 $123.20 10,000 SH n/a sole n/a sole 0 0 NUVEEN INSD PREM INC MUNI I Common 6706D8104 $2,081.54 184,534 SH n/a sole n/a sole 0 0 NUVEEN INV QUALITY MUNI FD Common 67062E103 $1,339.49 108,725 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN PREMIUM INC Common 67101Q109 $285.86 25,500 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN QUALITY INC Common 670979103 $563.41 48,865 SH n/a sole n/a sole 0 0 NUVEEN MULTI-ST INC & GTH Common 67073B106 $2,535.85 452,830 SH n/a sole n/a sole 0 0 NUVEEN MULTI-ST INC & GTH 2 Common 67073D102 $6,876.92 1,198,069 SH n/a sole n/a sole 0 0 NUVEEN NEW YORK PERF+ MUNI Common 67062R104 $356.40 28,125 SH n/a sole n/a sole 0 0 NUVEEN NEW YORK SELECT QUAL Common 670976109 $3,956.57 324,043 SH n/a sole n/a sole 0 0 NUVEEN NY DIVIDEND ADV MUNI Common 67066X107 $507.93 42,469 SH n/a sole n/a sole 0 0 NUVEEN NY DVD ADV MUNI FD 2 Common 67070A101 $169.46 14,300 SH n/a sole n/a sole 0 0 NUVEEN NY INV QUAL MUNI FD Common 67062X101 $1,508.74 119,174 SH n/a sole n/a sole 0 0 NUVEEN NY QUALITY INC MUNI Common 670986108 $3,883.41 322,275 SH n/a sole n/a sole 0 0 NUVEEN PA PREMIUM INC MUNI Common 67061F101 $1,534.56 139,760 SH n/a sole n/a sole 0 0 NUVEEN PENN INV QUAL MUNI F Common 670972108 $847.56 72,565 SH n/a sole n/a sole 0 0 NUVEEN PERFORMANCE PLUS MUN Common 67062P108 $7,868.88 615,718 SH n/a sole n/a sole 0 0 NUVEEN PREMIER MUNI INC FD Common 670988104 $5,215.79 444,275 SH n/a sole n/a sole 0 0 NUVEEN PREMIUM INC MUNI FD Common 6706K4105 $3,281.91 305,294 SH n/a sole n/a sole 0 0 NUVEEN SENIOR INCOME FUND Common 67067Y104 $115.60 24,700 SH n/a sole n/a sole 0 0 OLD MUTUAL CLAYMORE LONG-SR Common 68003N103 $2,295.86 299,720 SH n/a sole n/a sole 0 0 PAYCHEX CORPORATION Common 704326107 $599.10 23,774 SH n/a sole n/a sole 0 0 PEPSICO INC Common 713448108 $230.72 4,198 SH n/a sole n/a sole 0 0 PIMCO MUNI ADVANTAGE FUND I Common 722015104 $4,040.77 1,213,443 SH n/a sole n/a sole 0 0 PIONEER FLOATING RATE TRUST Common 72369j102 $2,157.88 227,145 SH n/a sole n/a sole 0 0 PROCTER & GAMBLE CO Common 742718109 $263.42 5,155 SH n/a sole n/a sole 0 0 PROSPECT ACQ CORP TENT ACQ Common 74347T103 $566.66 58,600 SH n/a sole n/a sole 0 0 PUTNAM MANAGED MUNI INCM TR Common 746823103 $10,001.90 1,715,591 SH n/a sole n/a sole 0 0 PUTNAM MUNI OPPORTUNITIES T Common 746922103 $43,834.57 4,450,210 SH n/a sole n/a sole 0 0 PUTNAM PREMIER INCOME TRUST Common 746853100 $16,039.63 3,216,289 SH n/a sole n/a sole 0 0 ROYCE VALUE TRUST Common 780910105 $255.12 30,335 SH n/a sole n/a sole 0 0 RYDEX S&P EQUAL WEIGHT ETF Common 78355W106 $19,325.70 627,254 SH n/a sole n/a sole 0 0 S&P 500 GEARED FUND INC Common 78381R105 $4,147.51 402,671 SH n/a sole n/a sole 0 0 SECURE AMERICA ACQ TENT ACQ Common 81372L103 $82.93 10,700 SH n/a sole n/a sole 0 0 SINGAPORE FUND INC Common 82929L109 $1,034.77 103,374 SH n/a sole n/a sole 0 0 SPAIN FUND INC Common 846330108 $743.58 131,840 SH n/a sole n/a sole 0 0 SPDR LEHMAN SHORT TERM MUNI Common 78464A425 $1,493.62 63,022 SH n/a sole n/a sole 0 0 SPDR TRUST SERIES 1 Common 78462F103 $17,769.15 193,248 SH n/a sole n/a sole 0 0 STONELEIGH PART ACQ TENT AC Common 861923100 $156.14 20,000 SH n/a sole n/a sole 0 0 STRATEGIC GLOBAL INCOME FUN Common 862719101 $194.26 21,300 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA GR Common 867037103 $9,065.27 925,028 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA L/ Common 867038101 $4,561.66 459,720 SH n/a sole n/a sole 0 0 SWISS HELVETIA FUND Common 870875101 $5,196.06 537,338 SH n/a sole n/a sole 0 0 TAIWAN GREATER CHINA FUND Common 874037104 $316.87 65,335 SH n/a sole n/a sole 0 0 TELECONNECT INC. Common 879292100 $2.00 200,000 SH n/a sole n/a sole 0 0 TEXTRON INC Common 883203101 $114.68 11,872 SH n/a sole n/a sole 0 0 THE EUROPEAN EQUITY FUND, I Common 298768102 $1,550.63 287,686 SH n/a sole n/a sole 0 0 TREMESIS ENERGY ACQ TENT AC Common 89472N101 $150.54 19,450 SH n/a sole n/a sole 0 0 TRI-CONTINENTAL CORPORATION Common 895436103 $122.23 13,300 SH n/a sole n/a sole 0 0 TRIPLECROWN ACQ CORP TENT A Common 89677G109 $404.40 42,125 SH n/a sole n/a sole 0 0 TS&W/CLAYMORE T/A BALANCED Common 87280R108 $732.14 92,442 SH n/a sole n/a sole 0 0 TURKISH INVESTMENT FUND, IN Common 900145103 $228.09 25,400 SH n/a sole n/a sole 0 0 VAN KAMP TR/INV GRD NY MUNI Common 920931102 $265.29 22,200 SH n/a sole n/a sole 0 0 VAN KAMPEN DYNAMIC CREDIT O Common 921166104 $2,425.56 261,375 SH n/a sole n/a sole 0 0 VAN KAMPEN SENIOR INCOME TR Common 920961109 $10,241.34 3,200,418 SH n/a sole n/a sole 0 0 VANGUARD EMERGING MARKET ET Common 922042858 $5,004.90 157,288 SH n/a sole n/a sole 0 0 VANGUARD EUROPE PACIFIC ETF Common 921943858 $297.02 10,400 SH n/a sole n/a sole 0 0 VANGUARD EUROPEAN ETF Common 922042874 $3,354.48 83,279 SH n/a sole n/a sole 0 0 VANGUARD LARGE-CAP ETF Common 922908637 $11,818.36 283,278 SH n/a sole n/a sole 0 0 VANGUARD MID-CAP ETF Common 922908629 $4,020.65 85,893 SH n/a sole n/a sole 0 0 VANGUARD PACIFIC ETF Common 922042866 $4,553.35 98,472 SH n/a sole n/a sole 0 0 VANGUARD SMALL-CAP ETF Common 922908751 $8,371.61 182,986 SH n/a sole n/a sole 0 0 WA/CLAY US INFL-LKD OPP&INC Common 95766R104 $12,068.44 1,043,080 SH n/a sole n/a sole 0 0 WA/CLAY US INFL-LKD SEC&INC Common 95766Q106 $3,362.29 284,940 SH n/a sole n/a sole 0 0 WESTERN ASSET GLOBAL HIGH I Common 95766B109 $11,704.03 1,287,572 SH n/a sole n/a sole 0 0 WESTERN ASSET INFLATION MAN Common 95766U107 $20,067.06 1,297,999 SH n/a sole n/a sole 0 0 WESTERN ASSET INTERMEDIATE Common 958435109 $297.14 35,800 SH n/a sole n/a sole 0 0 WESTERN ASSET MUNICIPAL PAR Common 95766P108 $12,247.99 1,016,431 SH n/a sole n/a sole 0 0 WESTERN ASSET VARIABLE RATE Common 957667108 $12,180.21 1,011,645 SH n/a sole n/a sole 0 0 ZWEIG FUND INC Common 989834106 $10,193.10 3,589,121 SH n/a sole n/a sole 0 0 Total Securities: 244 $963,821.48
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