-----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, GCwwekTsRd2NSTmvsbUPmvxI5IUwcccxxj+3oScljax1sbT5elGaUS2WC1muVtWW 84ONGyEnzOEmCy9l30XrPg== 0001161722-05-000011.txt : 20050725 0001161722-05-000011.hdr.sgml : 20050725 20050725141956 ACCESSION NUMBER: 0001161722-05-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050630 FILED AS OF DATE: 20050725 DATE AS OF CHANGE: 20050725 EFFECTIVENESS DATE: 20050725 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-06753 FILM NUMBER: 05970997 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 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: June 30, 2005 Check Here if Amendment [ ] This Amendment (Check only one.): [ ] 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: 028-06753 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 July 25, 2005 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: 248 Form 13F Information Table Value Total: $176,610 ($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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ALLIANCE GAMING CORP COM NEW COM 01859P609 154 11000 SH SOLE 11000 ALLTEL CORP COM COM 020039103 1327 21300 SH SOLE 21300 AUTOMATIC DATA PROCESSING INC COM 053015103 366 8720 SH SOLE 8720 Aetrium Inc Com COM 00817R103 76 26195 SH SOLE 26195 Almaden Minerals Ltd COM 020283107 16 10000 SH SOLE 10000 Altria Group Inc COM 02209s103 785 12143 SH SOLE 12143 American Express Company COM 025816109 598 11240 SH SOLE 100 11140 Amgen Inc Com COM 031162100 1078 17835 SH SOLE 6213 11622 Apache Corp COM 037411105 3050 47219 SH SOLE 47219 Arawak Energy Corp COM 038743100 57 50000 SH SOLE 50000 Armor Hldgs Inc Com COM 042260109 298 7528 SH SOLE 6628 900 Atlantis Internet Group Corp COM 04914u100 0 10000 SH SOLE 10000 BALSAM VENTURES INC COM 058820101 12 240000 SH SOLE 240000 BANK OF AMERICA CORP COM 060505104 1646 36081 SH SOLE 578 35503 BEA SYS INC COM COM 073325102 239 27275 SH SOLE 27275 BEAR STEARNS COMPANIES INC COM 073902108 338 3250 SH SOLE 3250 BELO CORP COM SER A COM 080555105 278 11600 SH SOLE 11600 BIOMET INC COM 090613100 445 12841 SH SOLE 7665 5176 BOYD GAMING CORP COM 103304101 297 5800 SH SOLE 5800 Berkshire Hathaway Inc-Del Cl COM 084670207 10747 3861 SH SOLE 63 3798 Biomira Inc COM 09161r106 29 16900 SH SOLE 16900 Burlington Res Inc Com COM 122014103 429 7770 SH SOLE 7770 CHESAPEAKE ENERGY CORP COM 165167107 2205 96700 SH SOLE 96700 CHEVRON CORPORATION COM 166764100 1919 34310 SH SOLE 800 33510 COMPUTER ASSOCIATES INTL INC COM 204912109 1403 51045 SH SOLE 1345 49700 COSTCO WHOLESALE CORP-NEW COM 22160k105 633 14125 SH SOLE 2000 12125 Cardiac Science Inc New COM 141410209 21 20000 SH SOLE 20000 Cendant Corp COM 151313103 277 12404 SH SOLE 12404 Chase Resource Corp New COM 161908108 0 26000 SH SOLE 26000 Chicago Mercantile Exchange Ho COM 167760107 591 2000 SH SOLE 2000 Cisco Systems Inc COM 17275r102 850 44487 SH SOLE 2950 41537 Claire S Stores Inc Com COM 179584107 346 14368 SH SOLE 14368 Cmgi Inc Com COM 125750109 19 10025 SH SOLE 10025 Coca Cola Co COM 191216100 559 13390 SH SOLE 853 12537 Cognizant Technology Solutions COM 192446102 374 7934 SH SOLE 7134 800 Commercewest Bank Na COM 20084t103 145 11124 SH SOLE 11124 Corning Inc COM 219350105 443 26671 SH SOLE 2976 23695 Cost-U-Less Inc Com COM 221492101 1268 167065 SH SOLE 20000 147065 Countrywide Financial Corp COM 222372104 561 14525 SH SOLE 14525 Covad Communications Com COM 222814204 30 21088 SH SOLE 21088 Covansys Corp COM 22281w103 129 10000 SH SOLE 10000 Cvb Financial Corp COM 126600105 220 11202 SH SOLE 11202 D R HORTON INC COM 23331a109 658 17500 SH SOLE 17500 DELPHI CORP (FORMERLY DELPHI A COM 247126105 48 10250 SH SOLE 10250 Davita Inc Com COM 23918K108 280 6153 SH SOLE 6153 Dell Inc Com COM 24702R101 739 18716 SH SOLE 10468 8248 Delta Air Lines Inc COM 247361108 301 80000 SH SOLE 80000 Drugstore Com Inc Com COM 262241102 83 20000 SH SOLE 20000 EASTMAN KODAK CO COM COM 277461109 417 15542 SH SOLE 15542 EXXON MOBIL CORP COM 30231g102 864 15029 SH SOLE 464 14565 Ebay Inc Com COM 278642103 631 19130 SH SOLE 6446 12684 Emc Corp-Mass COM 268648102 149 10846 SH SOLE 2880 7966 FEDERATED DEPT STORES INC DE C COM 31410H101 410 5600 SH SOLE 5600 FIRST COMMUNITY BANCORP CALIF COM 31983b101 963 20277 SH SOLE 20277 FLORIDA ROCK INDUSTRIES INC COM 341140101 1557 21231 SH SOLE 5431 15800 Fidelity National Financial In COM 316326107 1865 52258 SH SOLE 52258 GANNETT INC COM COM 364730101 576 8100 SH SOLE 8100 General Electric Co COM 369604103 4615 133183 SH SOLE 4208 128975 General Growth Properties Inc COM 370021107 341 8300 SH SOLE 8300 Giant Industries Inc COM 374508109 274 7600 SH SOLE 7600 Global Diamond Resources Inc N COM 379320203 0 10000 SH SOLE 10000 H E R C Products Inc COM 404165102 0 10000 SH SOLE 10000 HARRAHS ENTMT INC COM COM 413619107 382 5300 SH SOLE 5300 HEALTH MGMT ASSOC CL A COM 421933102 325 12400 SH SOLE 12400 HEARST ARGYLE TELEVISION INC C COM 422317107 240 9800 SH SOLE 9800 HEWLETT PACKARD CO COM COM 428236103 890 37836 SH SOLE 37836 Haemonetics Corp-Mass COM 405024100 228 5600 SH SOLE 5600 INDEPENDENCE CMNTY BK CORP COM COM 453414104 377 10200 SH SOLE 10200 INFORMATICA CORP COM COM 45666Q102 194 23100 SH SOLE 23100 INTERNATIONAL BUSINESS MACHINE COM 459200101 1487 20047 SH SOLE 1060 18987 INTERNATIONAL FOOD PRODUCTS GR COM 45952r202 9 428001 SH SOLE 428001 INTERNATIONAL GAME TECHNOLOGY COM 459902102 439 15600 SH SOLE 15600 ITRONICS INC COM 465743102 3 47750 SH SOLE 47750 Icu Med Inc Com COM 44930G107 231 7175 SH SOLE 7175 Intel Corp COM 458140100 810 31086 SH SOLE 1400 29686 JOHN WILEY & SONS INC-CL A COM 968223206 377 9500 SH SOLE 100 9400 JOHNSON & JOHNSON COM 478160104 332 5113 SH SOLE 200 4913 Jds Uniphase Corp Com COM 46612j101 336 221137 SH SOLE 702 220435 Joy Global Inc COM 481165108 317 9443 SH SOLE 9443 Joystar Inc COM 48122a109 36 81000 SH SOLE 81000 K Mart Corp COM 482584109 0 276250 SH SOLE 65000 211250 KNIGHT RIDDER INC COM COM 499040103 380 6200 SH SOLE 6200 King Pharmaceuticals Inc COM 495582108 156 15000 SH SOLE 15000 Kroger Co Com COM 501044101 3587 188486 SH SOLE 1000 187486 L-3 Communications Holdings In COM 502424104 361 4719 SH SOLE 4719 LEE ENTERPRISES INC COM COM 523768109 297 7400 SH SOLE 300 7100 LIBERTY MEDIA CORP COM SER A COM 530718105 216 21200 SH SOLE 21200 LOWES COMPANIES INC COM 548661107 369 6336 SH SOLE 325 6011 Largo Vista Group Ltd COM 517104105 11 100000 SH SOLE 100000 Leisure Canada Inc COM 524911104 1 10000 SH SOLE 10000 Lucent Technologies Inc COM 549463107 54 18533 SH SOLE 2625 15908 MANULIFE FINANCIAL CORP COM 56501r106 1515 31685 SH SOLE 31685 MCCLATCHY CO CL A COM 579489105 366 5600 SH SOLE 5600 METASOLV INC COM COM 59139P104 40 16900 SH SOLE 16900 MGM MIRAGEINC COM COM 552953101 426 10756 SH SOLE 10756 May Department Stores Co COM 577778103 408 10162 SH SOLE 10162 Mediterranean Minerals Corp COM 58501p106 4 10000 SH SOLE 10000 Merck & Co Inc COM 589331107 407 13205 SH SOLE 1100 12105 Microsoft Corp COM 594918104 1121 45138 SH SOLE 3786 41352 Morgan Stanley Eastn Com COM 616988101 252 9000 SH SOLE 9000 NEW YORK TIMES CO CL A COM 650111107 268 8600 SH SOLE 8600 New Visual Corp Com New COM 649099207 4 34734 SH SOLE 34734 Nortel Networks Corp COM 656568102 53 20463 SH SOLE 5655 14808 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 Odyssey Resources Limted COM P73515101 1 20000 SH SOLE 20000 Oracle Corp COM 68389x105 352 26675 SH SOLE 2010 24665 PEPSICO INC COM 713448108 253 4687 SH SOLE 932 3755 Penn National Gaming Inc COM 707569109 2008 55000 SH SOLE 55000 Pfizer Inc COM 717081103 1065 38598 SH SOLE 1400 37198 Phoenix Leisure Corporation COM 719093106 0 31000 SH SOLE 31000 Placer Dome Inc COM 725906101 780 50700 SH SOLE 50700 Plum Creek Timber Co Inc Com COM 729251108 548 15100 SH SOLE 4000 11100 Pmc-Sierra Inc COM 69344f106 103 11000 SH SOLE 11000 QUALCOMM INC COM COM 747525103 670 20292 SH SOLE 10794 9498 QUANTUM CORP DSSG COM COM 747906204 94 31700 SH SOLE 31700 Qlogic Corp COM 747277101 401 12975 SH SOLE 12975 RAYMOND JAMES FINANCIAL INC CO COM 754730109 302 10700 SH SOLE 10700 Rambus Inc Del Com COM 750917106 412 30814 SH SOLE 30814 Rayonier Inc Reit COM 754907103 318 6000 SH SOLE 6000 Regis Corp. COM 758932107 2067 52893 SH SOLE 52893 Rf Microdevices Inc Com COM 749941100 543 100000 SH SOLE 100000 Rite Aid Corp Com COM 767754104 138 32903 SH SOLE 32903 SAMSUNG ELECTRONICS GDR REPSTG COM 4942818 239 1000 SH SOLE 1000 SCIENTIFIC ATLANTA INC COM COM 808655104 303 9100 SH SOLE 9100 SIEBEL SYSTEMS INC COM 826170102 163 18278 SH SOLE 2919 15359 SOLPOWER CORP COM 833981103 3 22000 SH SOLE 22000 STORAGE TECHNOLOGY CORP COM PA COM 862111200 207 5700 SH SOLE 5700 SYMANTEC CORPORATION COM 871503108 1057 48608 SH SOLE 28076 20532 Schimatic Cash Transactns Ntwk COM 806732103 1 16667 SH SOLE 16667 Shuffle Master Inc Com COM 825549108 299 10655 SH SOLE 10655 Sirius Satellite Radio Inc COM 82966u103 258 39831 SH SOLE 39831 Smarttalk Teleservices Com COM 83169a100 0 50000 SH SOLE 50000 Smith Intl Inc Com COM 832110100 325 5099 SH SOLE 5099 Ss&c Technologies Inc COM 85227q100 317 10000 SH SOLE 10000 Starbucks Corp Com COM 855244109 442 8548 SH SOLE 8548 Station Casinos Inc COM 857689103 2055 30954 SH SOLE 5346 25608 Sun Microsystems Inc COM 866810104 144 38516 SH SOLE 2360 36156 TD BANKNORTH INC COM COM 87235A101 352 11826 SH SOLE 11826 Tenneco Automotive Inc COM 880349105 250 15000 SH SOLE 15000 Time Warner Inc New COM 887317105 611 36567 SH SOLE 3387 33180 Trc Cos Inc Com COM 872625108 141 12000 SH SOLE 12000 Triangle Multi-Media Ltd Inc C COM 895891109 3 1500000 SH SOLE 1500000 Tyco International Ltd COM 902124106 211 7217 SH SOLE 7217 UNIVERSAL HEALTH SVCS INC CL B COM 913903100 306 4915 SH SOLE 215 4700 United Parcel Svc Inc Cl B COM 911312106 3375 48806 SH SOLE 48806 Urban Outfitters Inc Com COM 917047102 388 6850 SH SOLE 5550 1300 Us Bancorp Del Com New COM 902973304 3650 125000 SH SOLE 125000 VERITAS SOFTWARE CORP COM COM 923436109 298 12200 SH SOLE 12200 VOLKSWAGEN AG-ORD NO PAR VALUE COM d94523145 365 8000 SH SOLE 8000 Vasomedical Inc Com COM 922321104 7 10000 SH SOLE 10000 Vertical Computer Systems Inc COM 92532r203 0 50000 SH SOLE 50000 Veteran Resources Inc COM 92549v106 10 10000 SH SOLE 10000 Vrb Power Systems Inc COM 91829g102 33 50000 SH SOLE 50000 WASHINGTON MUTUAL INC COM 939322103 204 5025 SH SOLE 1500 3525 WHOLE FOODS MARKET INC COM 966837106 383 3240 SH SOLE 3240 West Corp Com COM 952355105 322 8395 SH SOLE 8395 Western Digital Corp Com COM 958102105 962 71661 SH SOLE 8750 62911 Yahoo Inc Com COM 984332106 942 27192 SH SOLE 10901 16291 ALLIANZ AKTIENGESELLSCHAFT SPO ADR 018805101 344 30000 SH SOLE 30000 Bhp Billiton Ltd Sponsored Adr ADR 088606108 1747 64000 SH SOLE 64000 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 451 24500 SH SOLE 24500 HUANENG POWER INTL INC SPONSOR ADR 443304100 915 31000 SH SOLE 31000 PETROCHINA CO ADS EACH REPR 10 ADR 71646e100 220 3000 SH SOLE 3000 DIAMONDS TRUST-UNIT SERIES 1 INDEX CEF 252787106 240 2340.000 SH SOLE 2340.000 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 976 11840.000SH SOLE 11840.000 ISHARES TRUST DOW JONES US FIN INDEX CEF 464287770 300 2775.000 SH SOLE 2775.000 ISHARES TRUST DOW JONES US TEL INDEX CEF 464287713 793 33900.000SH SOLE 8900.000 25000.000 ISHARES TRUST RUSSELL 1000 GRO INDEX CEF 464287614 869 18104.000SH SOLE 12390.000 5714.000 ISHARES TRUST RUSSELL 1000 VAL INDEX CEF 464287598 405 6077.000 SH SOLE 6077.000 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 342 5271.000 SH SOLE 585.000 4686.000 ISHARES TRUST RUSSELL 2000 VAL INDEX CEF 464287630 346 5379.000 SH SOLE 5379.000 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 1504 38624.000SH SOLE 38624.000 ISHARES TRUST S&P 500 INDEX FU INDEX CEF 464287200 208 1750.000 SH SOLE 1750.000 ISHARES TRUST S&P 500/BARRA GR INDEX CEF 464287309 806 14270.000SH SOLE 14270.000 ISHARES TRUST S&P 500/BARRA VA INDEX CEF 464287408 1174 18830.000SH SOLE 14980.000 3850.000 Ishares Inc Msci Japan Index F INDEX CEF 464286848 1240 122242.000SH SOLE 121800.000 442.000 Nasdaq 100 Shares Unit Ser 1 INDEX CEF 631100104 552 14999.000SH SOLE 1300.000 13699.000 REGIONAL BK HOLDRS TR DEPOSITA INDEX CEF 75902e100 402 3000.000 SH SOLE 3000.000 SECTOR SPDR TR TECHNOLOGY INDEX CEF 81369Y803 945 47423.000SH SOLE 37600.000 9823.000 STANDARD & POORS DEPOSITARY RE INDEX CEF 78462f103 1845 15484.000SH SOLE 3846.000 11638.000 Enbridge Energy Partners L P LP 29250r106 364 6800.000 SH SOLE 6800.000 Pope Resources-A Delaware Lp D LP 732857107 835 23500.000SH SOLE 23500.000 Alliance Calif Mun Income Fund NON-TAX CEF 018546101 295 19700.000SH SOLE 2100.000 17600.000 BLACKROCK INVESTMENT QUALITY M NON-TAX CEF 09247d105 224 13300.000SH SOLE 13300.000 Blackrock Ca Muni Income Tr Sh NON-TAX CEF 09248e102 4063 275441.000SH SOLE 9100.000 266341.000 Blackrock Calif Mun Bd Tr Com NON-TAX CEF 09249j100 282 18832.000SH SOLE 8900.000 9932.000 Blackrock California Insured M NON-TAX CEF 09247g108 333 20610.000SH SOLE 20610.000 MUNIYIELD CALIFORNIA FUND INC NON-TAX CEF 626296107 2170 155582.000SH SOLE 4000.000 151582.000 Morgan Stanley Calif Insd Mun NON-TAX CEF 61745p502 257 18400.000SH SOLE 18400.000 Morgan Stanley Calif Quality M NON-TAX CEF 61745p635 177 12337.000SH SOLE 1750.000 10587.000 Muniholdings California Insure NON-TAX CEF 625933106 1071 71525.000SH SOLE 1500.000 70025.000 Munivest Fund Ii Inc NON-TAX CEF 62629p105 645 39796.000SH SOLE 39796.000 Muniyield California Insured F NON-TAX CEF 62629l104 1002 70238.000SH SOLE 1750.000 68488.000 Muniyield Quality Fund Ii Inc NON-TAX CEF 62630t104 229 17000.000SH SOLE 17000.000 Nuveen California Dividend Adv NON-TAX CEF 67066y105 229 14800.000SH SOLE 3100.000 11700.000 Nuveen California Dividend Adv NON-TAX CEF 67070y109 454 32130.000SH SOLE 2100.000 30030.000 Pimco Ca Muni Inc Fd Com NON-TAX CEF 72200N106 179 12002.000SH SOLE 12002.000 Pimco California Muni Income F NON-TAX CEF 72200m108 345 23000.000SH SOLE 5000.000 18000.000 Pimco California Municipal Inc NON-TAX CEF 72201c109 2009 134761.000SH SOLE 24100.000 110661.000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 292 18500.000SH SOLE 18500.000 VAN KAMPEN CALIFORNIA QUALITY NON-TAX CEF 920920105 1199 72919.000SH SOLE 1400.000 71519.000 ACM INCOME FD INC FORMERLY ACM TAXABLE CEF 000912105 1883 226601.000SH SOLE 70140.000 156461.000 Aberdeen Asia Pacific Income F TAXABLE CEF 003009107 334 53058.000SH SOLE 2000.000 51058.000 Aberdeen Australia Equity Fund TAXABLE CEF 003011103 936 76900.000SH SOLE 76900.000 Alliance World Dollar Governme TAXABLE CEF 01879r106 127 10200.000SH SOLE 10200.000 BLACKROCK INCOME TRUST INC TAXABLE CEF 09247f100 90 13336.000SH SOLE 13336.000 Blackrock Global Floating Rate TAXABLE CEF 091941104 699 39500.000SH SOLE 20000.000 19500.000 Blackrock Limited Duration Inc TAXABLE CEF 09249w101 254 13845.000SH SOLE 1616.000 12229.000 CALAMOS STRATEGIC TOTAL RETURN TAXABLE CEF 128125101 259 18600.000SH SOLE 18600.000 CORPORATE HIGH YIELD FUND INC TAXABLE CEF 219914108 144 16500.000SH SOLE 13800.000 2700.000 Debt Strategies Fd Inc New TAXABLE CEF 24276q109 297 44900.000SH SOLE 44900.000 EATON VANCE FLOATING RATE INCO TAXABLE CEF 278279104 850 48750.000SH SOLE 10000.000 38750.000 EATON VANCE LIMITED DURATION I TAXABLE CEF 27828h105 2117 116761.000SH SOLE 42096.000 74665.000 EATON VANCE TAX ADVANTAGED TAXABLE CEF 27828G107 3980 188796.000SH SOLE 95200.000 93596.000 EATON VANCE TAX ADVANTAGED GLO TAXABLE CEF 27828s101 5781 293886.000SH SOLE 44900.000 248986.000 Evergreen Income Advantage Fun TAXABLE CEF 30023y105 2597 174678.000SH SOLE 72217.000 102461.000 Evergreen Managed Income Fund TAXABLE CEF 30024y104 3801 217726.000SH SOLE 69200.000 148526.000 FLOATING RATE INCOME STRATEGIE TAXABLE CEF 339735102 496 28300.000SH SOLE 20200.000 8100.000 First Trust/Four Corners Senio TAXABLE CEF 33733q107 239 13700.000SH SOLE 13700.000 Franklin Universal Trust-Sbi TAXABLE CEF 355145103 219 35540.000SH SOLE 13590.000 21950.000 Gabelli Equity Trust Inc TAXABLE CEF 362397101 261 29098.000SH SOLE 29098.000 JOHN HANCOCK PREFERRED INCOME TAXABLE CEF 41021p103 400 18200.000SH SOLE 1700.000 16500.000 John Hancock Preferred Income TAXABLE CEF 41013w108 471 20200.000SH SOLE 20200.000 John Hancock Preferred Income TAXABLE CEF 41013x106 374 15900.000SH SOLE 15900.000 LIBERTY ALL-STAR EQUITY FUND S TAXABLE CEF 530158104 176 19608.000SH SOLE 19608.000 MORGAN STANLEY ASIA PACIFIC FU TAXABLE CEF 61744u106 1737 132400.000SH SOLE 132400.000 NUVEEN PFD & CONV INCOME FUND TAXABLE CEF 67073d102 146 11173.000SH SOLE 11173.000 NUVEEN PREFERRED AND CONVERTIB TAXABLE CEF 67073b106 165 12343.000SH SOLE 12343.000 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 624 43203.000SH SOLE 3000.000 40203.000 NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 308 21981.000SH SOLE 21981.000 Nicholas-Applegate Conv & Inco TAXABLE CEF 65370f101 881 57200.000SH SOLE 29367.000 27833.000 Nuveen Floating Rate Income Fd TAXABLE CEF 67072t108 558 41400.000SH SOLE 25300.000 16100.000 Nuveen Floating Rate Income Op TAXABLE CEF 6706en100 524 39500.000SH SOLE 14400.000 25100.000 PIMCO FLOATING RATE INCOME FUN TAXABLE CEF 72201h108 767 41700.000SH SOLE 25100.000 16600.000 Pimco Coml Mtg Secs Tr Com TAXABLE CEF 693388100 200 14300.000SH SOLE 1500.000 12800.000 Pimco Corporate Income Fd TAXABLE CEF 72200u100 247 16500.000SH SOLE 16500.000 Pimco Corporate Opp Fd Com TAXABLE CEF 72201b101 8191 478704.000SH SOLE 71949.000 406755.000 Pimco High Income Fund TAXABLE CEF 722014107 1415 96027.000SH SOLE 23800.000 72227.000 Pioneer High Income Tr TAXABLE CEF 72369h106 367 22310.000SH SOLE 4500.000 17810.000 Royce Micro-Cap Trust Inc TAXABLE CEF 780915104 265 19100.000SH SOLE 3000.000 16100.000 SCUDDER HIGH INCOME TR SHS TAXABLE CEF 811153105 98 13450.000SH SOLE 13450.000 TEMPLETON EMERGING MARKETS FUN TAXABLE CEF 880191101 892 51100.000SH SOLE 51100.000 Templeton Dragon Fund Inc New TAXABLE CEF 88018t101 2211 122300.000SH SOLE 122300.000 VAN KAMPEN SENIOR INCOME TRUST TAXABLE CEF 920961109 266 32900.000SH SOLE 32900.000 Western Asset/Claymore U S Tre TAXABLE CEF 95766r104 1016 80150.000SH SOLE 22800.000 57350.000 ZWEIG FUND INC TAXABLE CEF 989834106 321 60002.000SH SOLE 60002.000 CORPORATE HIGH YIELD FUND III HEDGE 219925104 107 12580.00 SH SOLE 9080.00 3500.00 NEUBERGER BERMAN REAL ESTATE C REIT CEF 64190A103 222 15000 SH SOLE 10000 5000
-----END PRIVACY-ENHANCED MESSAGE-----