-----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, KaQ8IXGqVeabRkTlkzd8/sg6mialypqx0HtTfs5/GSaF6bhjXz92gyis0WEUSOYn rUKqqKI3ADfsTabHlaDaRA== 0001161722-09-000008.txt : 20090902 0001161722-09-000008.hdr.sgml : 20090902 20090902170527 ACCESSION NUMBER: 0001161722-09-000008 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090902 DATE AS OF CHANGE: 20090902 EFFECTIVENESS DATE: 20090902 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: 091051581 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: Jun 30, 2009 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 August 5, 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: 224 Form 13F Information Table Value Total: $159,945 ($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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AMAZON.COM INC COM COM 023135106 490 5857 SH SOLE 5857 AMBAC FINANCIAL GROUP INC (FOR COM 023139108 25 27000 SH SOLE 3000 24000 AMERICAN APPAREL INC COM 023850100 36 10000 SH SOLE 10000 AMGEN INCCOM COM 031162100 286 5398 SH SOLE 759 4639 AMPHENOL CORP NEW CL A COM 032095101 652 20600 SH SOLE 20600 APPLE INC COM 037833100 448 3146 SH SOLE 350 2796 ARCSIGHT INC COM 039666102 258 14500 SH SOLE 14500 AVT INC COM 002422103 9 10072 SH SOLE 10072 Advanced Micro Devices Inc Com COM 007903107 313 80753 SH SOLE 8166 72587 Aetrium Inc Com COM 00817R103 21 12500 SH SOLE 12500 Arena Pharmaceuticals Inc COM 040047102 93 18700 SH SOLE 7000 11700 BANK OF AMERICA CORP COM 060505104 797 60353 SH SOLE 4884 55469 Balsam Ventures Inc COM 058820101 1 240000 SH SOLE 240000 Bank 1440 Peoria Ariz Com COM 062199104 56 24407 SH SOLE 24407 Berkshire Hathaway Inc-Del Cl COM 084670207 11088 3829 SH SOLE 71 3758 Bravo Brands Inc COM 105666101 0 20000 SH SOLE 20000 CALIFORNIA REPUBLIC BK NEWPORT COM 130569106 371 55000 SH SOLE 55000 CHEVRON CORPORATION COM COM 166764100 343 5175 SH SOLE 4656 519 CHINA AGRITECH INC COM 16937a101 27 15000 SH SOLE 15000 CHINA TRAVEL INTERNATIONAL INV COM y1507d100 4 20000 SH SOLE 20000 CISCO SYS INC COM COM 17275R102 453 24273 SH SOLE 5120 19153 CITIGROUP INC COM 172967101 124 41791 SH SOLE 182 41609 CLEAN ENERGY FUELS CORP COM 184499101 107 12400 SH SOLE 12400 COCA COLA CO COM 191216100 765 15946 SH SOLE 8721 7225 COSI INC COM 22122p101 63 100000 SH SOLE 100000 CYCLONE POWER TECHNOLOGIES INC COM 23254w104 4 20000 SH SOLE 20000 Cadence Design COM 80 13500 SH SOLE 13500 Cic Energy Corp COM g2136r106 50 31255 SH SOLE 31255 Clarient Inc COM 180489106 131 35100 SH SOLE 35100 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 Cvb Financial Corp COM 126600105 92 15402 SH SOLE 15402 DEI HOLDINGS INC COM 23319e107 7 64517 SH SOLE 64517 DENWAY MOTORS LTD HKD0.1 COM y2032y106 4 10000 SH SOLE 10000 Delphi Corp (formerly Delphi A COM 2 31725 SH SOLE 725 31000 Drugstore Com Inc Com COM 262241102 36 20000 SH SOLE 20000 EXXON MOBIL CORP COM 30231g102 1356 19401 SH SOLE 3130 16271 Easyriders Inc. COM 0 15500 SH SOLE 15500 Emta Holdings Inc COM 292465101 4 40000 SH SOLE 40000 Evergreen Energy Inc COM 30024b104 297 302950 SH SOLE 11325 291625 FIDELITY NATL INFORMATION SVCS COM 31620M106 1704 85361 SH SOLE 85361 FORD MOTOR CO PAR $0.01 COM 345370860 499 82141 SH SOLE 50933 31208 FREMONT GENERAL CORPORATION COM 357288109 4 19028 SH SOLE 11000 8028 Fidelity National Financial In COM 316326107 2625 194031 SH SOLE 194031 GEELY AUTOMOBILE HOLDINGS LTD COM g3777b103 9 50000 SH SOLE 50000 GENERAL ELECTRIC CO COM 369604103 891 76024 SH SOLE 13063 62961 GOLDMAN SACHS GROUP INC COM 38141g104 910 6172 SH SOLE 217 5955 GOOGLE INC CL A COM 38259P508 342 812 SH SOLE 252 560 H E R C Products Inc COM 404165102 0 10000 SH SOLE 10000 HERBALIFE LTD COMMON STOCK COM g4412g101 13731 435343 SH SOLE 435343 INTEL CORP COM 458140100 452 27282 SH SOLE 4421 22861 INTERNATIONAL BUSINESS MACHINE COM 459200101 1789 17135 SH SOLE 17135 INTUITIVE SURGICAL INCCOM NEW COM 46120E602 350 2140 SH SOLE 2000 140 JOHNSON & JOHNSON COM 478160104 310 5465 SH SOLE 2558 2907 Javo Beverage Company Inc COM 47189r104 63 235000 SH SOLE 235000 Jds Uniphase Corp Com COM 46612j101 149 26099 SH SOLE 67 26032 KODIAK OIL & GAS CORP COM 50015q100 27 25000 SH SOLE 25000 LARGO VISTA GROUP LTD COM 517104105 1 100000 SH SOLE 100000 LAS VEGAS SANDS CORPCOM COM 517834107 90 11500 SH SOLE 100 11400 LENDER PROCESSING SVCS INC COM 52602e102 2074 74677 SH SOLE 74677 LIGHTWAVE LOGIC INC COM 532275104 8 10000 SH SOLE 10000 Leisure Canada Inc COM 524911104 2 10000 SH SOLE 10000 MANULIFE FINANCIAL CORP COM 56501r106 975 56178 SH SOLE 56178 MBIA INC COM COM 55262C100 137 31725 SH SOLE 2725 29000 MCAFEE INC COM 579064106 228 5400 SH SOLE 5400 MERCK & CO INC COM COM 589331107 274 9806 SH SOLE 1806 8000 METROPCS COMMUNICATIONS INC COM 591708102 168 12600 SH SOLE 12600 MICROSOFT CORP COM COM 594918104 1551 65245 SH SOLE 3993 61252 MOTOROLA INC COM 620076109 152 23000 SH SOLE 3000 20000 Metro-Goldwyn-Mayer Inc New COM 591610100 78 12170 SH SOLE 12170 Montpelier Re Holdings Ltd COM g62185106 1223 92000 SH SOLE 92000 NASDAQ OMX GROUP INC (THE) COM 631103108 529 24823 SH SOLE 24823 Nationwide Health Ppty Com COM 638620104 226 8790 SH SOLE 8790 North American Pallidum Compan COM 100 41100 SH SOLE 41100 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 OM GROUP INC COM 670872100 366 12600 SH SOLE 12600 ORACLE CORP COM 68389x105 1278 59679 SH SOLE 3250 56429 PACWEST BANCORP COM 695263103 391 29680 SH SOLE 29680 PFIZER INC COM 717081103 173 11542 SH SOLE 4807 6735 PHILIP MORRIS INTL INC COM COM 718172109 5570 127689 SH SOLE 127422 267 PROCTER & GAMBLE CO COM 742718109 874 17110 SH SOLE 510 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 17 11700 SH SOLE 11700 REVLON INC CL A NEW COM 761525609 132 24248 SH SOLE 24248 Rite Aid Corp Com COM 767754104 657 435000 SH SOLE 435000 SEAGATE TECHNOLOGY COM g7945j104 316 30225 SH SOLE 11765 18460 SIRIUS XM RADIO INC COM 82966U103 16 37131 SH SOLE 790 36341 SOUTHWEST CASINO CORPORATION COM 84479v107 0 10000 SH SOLE 10000 STARBUCKS CORP COM COM 855244109 188 13553 SH SOLE 518 13035 STILLWATER MINING CO COM 86074q102 186 32500 SH SOLE 32500 Smartalk Teleservices Inc COM 83169a100 0 50000 SH SOLE 50000 Standard Pacific Corp New COM 85375c101 615 303000 SH SOLE 303000 TRANSWORLD BENEFITS INTERNATIO COM 894073105 2 104000 SH SOLE 104000 TRAVELSTAR INC COM 89421l107 0 81000 SH SOLE 81000 TYSON FOODS INC CL A COM 902494103 269 21340 SH SOLE 21340 Tenneco Inc COM 880349105 156 14750 SH SOLE 14750 Transition Therapeutics Inc Ne COM 893716209 517 138202 SH SOLE 138202 UNITED PARCEL SVC INC CL B COM 911312106 11838 236802 SH SOLE 302 236500 US BANCORP DEL COM NEW COM 902973304 2432 135735 SH SOLE 135735 Us Airways Group Inc COM 90341w108 38 15500 SH SOLE 2000 13500 VALUECLICK INC COM COM 92046N102 166 15800 SH SOLE 15800 VISA INC CL A COMMON STOCK COM 92826c839 1660 26663 SH SOLE 5100 21563 Volcano Corp COM 928645100 563 40300 SH SOLE 40300 Vrb Power Systems Inc COM 91829g102 0 40000 SH SOLE 40000 WASHINGTON MUTUAL INC COM wamuq 2 15000 SH SOLE 15000 ALLIANZ SE SPONSORED ADR REPST ADR 018805101 276 30000 SH SOLE 30000 Alcatel-Lucent Sponsored Adr ADR 29 11866 SH SOLE 11866 BHP BILLITON LTD SPONSORED ADR ADR 088606108 3145 57465 SH SOLE 57465 CHINA MED TECHNOLOGIES INC SPO ADR 169483104 569 28600 SH SOLE 28600 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 289 24500 SH SOLE 24500 Empresa Distribuidora Y Comerc ADR 29244a102 301 55885 SH SOLE 55885 Flamel Technologies Sa Sponsor ADR 338488109 189 27000 SH SOLE 27000 PETROLEO BRASILEIRO SA PETROBR ADR 71654v408 391 9530 SH SOLE 9080 450 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 4350 462278 SH SOLE 462278 BLDRS INDEX FDS TR EMERGING MK INDEX CEF 09348r300 219 6345 SH SOLE 2510 3835 I-Path Dow Jones Aig Commodity INDEX CEF 492 13235 SH SOLE 13235 ISHARES MSCI NETHERLANDS INVES INDEX CEF 464286814 424 27700 SH SOLE 12900 14800 ISHARES TR DOW JONES US HEALTH INDEX CEF 464288828 262 6800 SH SOLE 6800 ISHARES TR DOW JONES US OIL & INDEX CEF 464288851 814 19800 SH SOLE 14700 5100 ISHARES TR RUSSELL MIDCAP GROW INDEX CEF 464287481 524 14380 SH SOLE 13352 1028 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 1770 27017 SH SOLE 26507 510 ISHARES TRUST MSCI EAFE INDEX INDEX CEF 464287465 202 4405 SH SOLE 1344 3061 ISHARES TRUST MSCI EMERGING MA INDEX CEF 464287234 215 6670 SH SOLE 2200 4470 ISHARES TRUST RUSSELL 1000 GRO INDEX CEF 464287614 1792 43682 SH SOLE 39052 4630 ISHARES TRUST RUSSELL 1000 VAL INDEX CEF 464287598 436 9157 SH SOLE 7482 1675 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 283 4991 SH SOLE 2229 2762 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 541 16203 SH SOLE 15203 1000 ISHARES TRUST RUSSELL 3000 IND INDEX CEF 464287689 292 5415 SH SOLE 375 5040 ISHARES TRUST S&P 500 GROWTH I INDEX CEF 464287309 923 19320 SH SOLE 16023 3297 ISHARES TRUST S&P 500 VALUE IN INDEX CEF 464287408 479 10961 SH SOLE 8881 2080 ISHARES TRUST S&P MIDCAP 400 G INDEX CEF 464287606 558 8950 SH SOLE 6240 2710 ISHARES TRUST S&P MIDCAP 400 I INDEX CEF 464287507 361 6253 SH SOLE 5533 720 Ishares Inc Msci Hong Kong Ind INDEX CEF 464286871 892 64908 SH SOLE 64908 POWERSHARES DB COMMODITY INDEX INDEX CEF 73935s105 797 35235 SH SOLE 32065 3170 POWERSHARES QQQ TRUST SERIES 1 INDEX CEF 73935a104 351 9661 SH SOLE 2962 6699 SECTOR SPDR TRUST SHS BEN INT INDEX CEF 81369y704 597 27190 SH SOLE 18130 9060 SECTOR SPDR TRUST SHS BEN INT INDEX CEF 81369y803 571 31332 SH SOLE 21409 9923 SPDR INDEX SHS FDS SPDR DOW JO INDEX CEF 78463x863 261 9080 SH SOLE 8075 1005 STANDARD & POORS DEPOSITORY RE INDEX CEF 78462f103 1256 13657 SH SOLE 6155 7502 STANDARD & POORS MIDCAP 400 DE INDEX CEF 595635103 1232 11715 SH SOLE 11715 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 594 682011 SH SOLE 682011 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 348 10000 SH SOLE 10000 POPE RESOURCES DEPOSITARY RECE LP 732857107 840 37163 SH SOLE 37163 Smith Barney Aaa Energy Future LP 217 50 SH SOLE 50 ALLIANCE CALIF MUN INCOME FUND NON-TAX CEF 018546101 790 69640 SH SOLE 6300 63340 BLACKROCK CA MUNI INCOME TR SH NON-TAX CEF 09248e102 487 42590 SH SOLE 32970 9620 BLACKROCK CALIF MUN BD TR COM NON-TAX CEF 09249j100 1759 146584 SH SOLE 69784 76800 BLACKROCK CALIF MUNI INCOME TR NON-TAX CEF 09249s100 146 13080 SH SOLE 11080 2000 BLACKROCK MUNIHOLDINGS CALIF I NON-TAX CEF 09254l107 857 77410 SH SOLE 13310 64100 BLACKROCK MUNIHOLDINGS FD II I NON-TAX CEF 09253p109 141 12020 SH SOLE 12020 BLACKROCK MUNIHOLDINGS INSURED NON-TAX CEF 09254p108 454 39940 SH SOLE 38700 1240 BLACKROCK MUNIVEST FD II INC NON-TAX CEF 09253t101 202 16300 SH SOLE 15100 1200 BLACKROCK MUNIYIELD CALIF FD I NON-TAX CEF 09254m105 975 85337 SH SOLE 8290 77047 BLACKROCK MUNIYIELD CALIF INSD NON-TAX CEF 09254n103 1473 131387 SH SOLE 38350 93037 DREYFUS STRATEGIC MUNICIPAL BO NON-TAX CEF 26202f107 106 15853 SH SOLE 13853 2000 DREYFUS STRATEGIC MUNICIPALS I NON-TAX CEF 261932107 141 20100 SH SOLE 20100 MORGAN STANLEY INSD MUNI TRUST NON-TAX CEF 61745p866 137 11200 SH SOLE 11200 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67066y105 244 22600 SH SOLE 11700 10900 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67069x104 497 43815 SH SOLE 19690 24125 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67070y109 376 36050 SH SOLE 4900 31150 NUVEEN CALIFORNIA INVESTMENT Q NON-TAX CEF 67062a101 709 63220 SH SOLE 48700 14520 NUVEEN CALIFORNIA MUNICIPAL MA NON-TAX CEF 67062u107 223 19800 SH SOLE 2800 17000 NUVEEN CALIFORNIA PERFORMANCE NON-TAX CEF 67062q106 581 51740 SH SOLE 17840 33900 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 270 25600 SH SOLE 25600 NUVEEN CALIFORNIA QUALITY INCO NON-TAX CEF 670985100 969 82080 SH SOLE 21950 60130 NUVEEN CALIFORNIA SELECT QUALI NON-TAX CEF 670975101 596 51553 SH SOLE 9023 42530 NUVEEN DIVIDEND ADVANTAGE MUNI NON-TAX CEF 67070f100 186 14650 SH SOLE 10030 4620 PUTNAM MANAGED MUNICIPAL INCOM NON-TAX CEF 746823103 79 13500 SH SOLE 13500 Pimco Ca Muni Inc Fd Com NON-TAX CEF 72200N106 542 50401 SH SOLE 48501 1900 Pimco California Municipal Inc NON-TAX CEF 72201c109 130 16000 SH SOLE 16000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 210 18500 SH SOLE 18500 VAN KAMPEN CALIFORNIA VALUE MU NON-TAX CEF 92112b107 667 62584 SH SOLE 28 62556 Convertible Promissory Note #1 CONV RUBIN-CP- 250 250000 PRN SOLE 250000 Convertible Promissory Note #2 CONV RUBIN-CP- 250 250000 PRN SOLE 250000 ADVENT CLAYMORE GLOBAL CONV SE TAXABLE CEF 007639107 80 12274 SH SOLE 10624 1650 Aberdeen Asia Pacific Income F TAXABLE CEF 003009107 7464 1337576 SH SOLE 12400 1325176 Alliancebernstein Income Fund TAXABLE CEF 01881e101 2076 269286 SH SOLE 119717 149569 BLACKROCK FLOATING RATE INCOME TAXABLE CEF 09255x100 129 11768 SH SOLE 11768 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 1121 109714 SH SOLE 31563 78151 CALAMOS CONVERTIBLE OPPORTUNIT TAXABLE CEF 128117108 755 72075 SH SOLE 34657 37418 Dws Multi Mkt Income Tr TAXABLE CEF 23338l108 160 23025 SH SOLE 23025 EATON VANCE CREDIT OPPORTUNITI TAXABLE CEF 278271101 226 32677 SH SOLE 29547 3130 EATON VANCE FLOATING RATE INCO TAXABLE CEF 278279104 158 14922 SH SOLE 7022 7900 EATON VANCE LIMITED DURATION I TAXABLE CEF 27828h105 2403 187567 SH SOLE 91634 95933 EVERGREEN INCOME ADVANTAGE FUN TAXABLE CEF 30023y105 563 70905 SH SOLE 35720 35185 Evergreen Multi Sector Income TAXABLE CEF 30024y104 1197 96988 SH SOLE 69158 27830 FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 202 19504 SH SOLE 14871 4633 Franklin Universal Trust-Sbi TAXABLE CEF 355145103 99 21400 SH SOLE 21400 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 1031 93288 SH SOLE 15835 77453 HARTFORD INCOME SHS FD INC TAXABLE CEF 416537108 108 20627 SH SOLE 20627 HELIOS STRATEGIC MORTGAGE INCO TAXABLE CEF 42327m109 393 62144 SH SOLE 12144 50000 HELIOS TOTAL RETURN FUND INC TAXABLE CEF 42327v109 262 54606 SH SOLE 51006 3600 HIGHLAND CREDIT STRATEGIES FUN TAXABLE CEF 43005q107 113 22948 SH SOLE 20072 2876 JOHN HANCOCK INCOME SECURITIES TAXABLE CEF 410123103 485 42320 SH SOLE 39656 2664 JOHN HANCOCK INVESTORS TRUST S TAXABLE CEF 410142103 203 13086 SH SOLE 12770 316 MORGAN STANLEY EMERGING MARKET TAXABLE CEF 617477104 990 79165 SH SOLE 10387 68778 NICHOLAS-APPLEGATE CONV & INCO TAXABLE CEF 65370f101 199 28789 SH SOLE 6600 22189 NICHOLAS-APPLEGATE CONVERTIBLE TAXABLE CEF 65370g109 193 30452 SH SOLE 17952 12500 NUVEEN GLOBAL GOVT ENHANCED IN TAXABLE CEF 67073c104 169 10024 SH SOLE 9324 700 NUVEEN MULTI CURRENCY SHORT TE TAXABLE CEF 67090n109 443 29485 SH SOLE 25941 3544 NUVEEN MULTI-STRATEGY INCOME A TAXABLE CEF 67073b106 97 17390 SH SOLE 13360 4030 NUVEEN MULTI-STRATEGY INCOME A TAXABLE CEF 67073d102 171 29791 SH SOLE 23261 6530 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 147 23611 SH SOLE 15511 8100 NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 66 11980 SH SOLE 11980 NUVEEN QUALITY PREFERRED INCOM TAXABLE CEF 67072w101 78 13100 SH SOLE 11700 1400 PIMCO FLOATING RATE INCOME FUN TAXABLE CEF 72201h108 988 116249 SH SOLE 69648 46601 PIMCO FLOATING RATE STRATEGY F TAXABLE CEF 72201j104 1117 149110 SH SOLE 84645 64465 PIMCO INCOME OPPORTUNITY FD CO TAXABLE CEF 72202b100 3154 170685 SH SOLE 45087 125598 PIONEER FLOATING RATE TRUST TAXABLE CEF 72369j102 228 24049 SH SOLE 24049 PUTNAM MASTER INTERMEDIATE INC TAXABLE CEF 746909100 356 70449 SH SOLE 67915 2534 PUTNAM PREMIER INCOME TRUST SH TAXABLE CEF 746853100 411 82317 SH SOLE 75309 7008 Pimco Corporate Opportunity Fu TAXABLE CEF 72201b101 3804 337798 SH SOLE 126191 211607 STRATEGIC GLOBAL INCOME FUND I TAXABLE CEF 862719101 377 41284 SH SOLE 31384 9900 TEMPLETON EMERGING MARKETS INC TAXABLE CEF 880192109 130 11300 SH SOLE 6050 5250 Templeton Global Income Fund TAXABLE CEF 880198106 2771 321442 SH SOLE 2070 319372 VAN KAMPEN DYNAMIC CREDIT OPPO TAXABLE CEF 921166104 179 19308 SH SOLE 16808 2500 WESTERN ASSET EMERGING MKTS DE TAXABLE CEF 95766a101 521 35641 SH SOLE 31481 4160 WESTERN ASSET PREMIER BD FUND TAXABLE CEF 957664105 1465 127914 SH SOLE 90898 37016 WESTERN ASSET WORLDWIDE INCOME TAXABLE CEF 957668106 175 16502 SH SOLE 12702 3800 WESTERN ASSET/CLAYMORE INFLATI TAXABLE CEF 95766r104 458 39606 SH SOLE 30350 9256 Western Asset Emerging Mkts In TAXABLE CEF 95766f100 109 10700 SH SOLE 9450 1250 ALPINE GLOBAL PREMIER PPTYS FD REIT CEF 02083a103 406 86787 SH SOLE 86787
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