-----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, VqbXPZHx/lZog4jfs6BKBUn1pVJueOhQYYjEZmxRh2ttIEaScKMjEjvW8WcfB9KK ISMnOqcm6YXW5RBRhqSOKw== 0001048703-09-000124.txt : 20091113 0001048703-09-000124.hdr.sgml : 20091113 20091113160600 ACCESSION NUMBER: 0001048703-09-000124 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 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: 091181660 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 form13f093009.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: September 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: Novermbe 13, 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: 208 Form 13F Information Table Value Total: $952,673.97 (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 ADAMS EXPRESS COMPANY Common 006212104 $8,202.16 839,525 SH n/a sole n/a sole 0 0 ADVENT CLAYMORE CONVERTIBLE Common 00764C109 $936.53 63,580 SH n/a sole n/a sole 0 0 ADVENT CLAYMORE GLOBAL CONV Common 007639107 $223.00 28,700 SH n/a sole n/a sole 0 0 ALLIANCE NEW YORK MUNI INC Common 018714105 $1,134.87 83,754 SH n/a sole n/a sole 0 0 AMERICAN STRATEGIC INC III Common 03009T101 $1,889.82 200,405 SH n/a sole n/a sole 0 0 BANCROFT FUND LTD Common 059695106 $262.05 17,982 SH n/a sole n/a sole 0 0 BANK OF AMERICA CORP Common 060505104 $183.75 10,860 SH n/a sole n/a sole 0 0 BANK OF NEW YORK MELLON COR Common 064058100 $651.12 22,460 SH n/a sole n/a sole 0 0 BLACKROCK CALIFORNIA INSURE Common 092484104 $1,089.04 79,842 SH n/a sole n/a sole 0 0 BLACKROCK CALIFORNIA INVEST Common 09247U107 $192.28 15,200 SH n/a sole n/a sole 0 0 BLACKROCK CALIFORNIA MUN II Common 09249S100 $1,961.14 142,940 SH n/a sole n/a sole 0 0 BLACKROCK CALIFORNIA MUNICI Common 09249J100 $270.75 18,737 SH n/a sole n/a sole 0 0 BLACKROCK FL MUNI 2020 TERM Common 09250M109 $802.40 60,240 SH n/a sole n/a sole 0 0 BLACKROCK FLORIDA INSD MUNI Common 09250G102 $268.91 19,600 SH n/a sole n/a sole 0 0 BLACKROCK FLORIDA MUNI BOND Common 09249K107 $151.16 10,836 SH n/a sole n/a sole 0 0 BLACKROCK INSD MUNI TERM TR Common 092474105 $747.83 72,045 SH n/a sole n/a sole 0 0 BLACKROCK MUNI INTERM DURAT Common 09253X102 $8,899.66 652,468 SH n/a sole n/a sole 0 0 BLACKROCK MUNI NY INT DUR F Common 09255F109 $310.53 24,490 SH n/a sole n/a sole 0 0 BLACKROCK MUNIENHANCED FUND Common 09253Y100 $901.50 86,850 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS CA I Common 09254L107 $4,020.66 301,625 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS FD I Common 09253P109 $422.65 31,100 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS FL I Common 09254P108 $12,786.60 976,822 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS IN I Common 09254C107 $2,722.16 209,558 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS INSU Common 09254A101 $6,009.34 467,289 SH n/a sole n/a sole 0 0 BLACKROCK MUNIHOLDINGS NY I Common 09255C106 $3,575.66 262,723 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD CA INSU Common 09254N103 $3,328.73 252,368 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD FL FUND Common 09254R104 $6,350.02 485,847 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD FLORIDA Common 09254T100 $3,515.16 273,553 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD MI INS Common 09254W103 $534.04 43,137 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD MI INSU Common 09254V105 $5,536.21 418,143 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD NY INSU Common 09255E102 $4,023.95 325,826 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD PA INSU Common 09255G107 $1,418.32 102,554 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD QUAL II Common 09254G108 $1,280.32 106,961 SH n/a sole n/a sole 0 0 BLACKROCK STRAT DVD ACHV TR Common 09249Y107 $3,986.27 454,017 SH n/a sole n/a sole 0 0 CAMDEN LEARNING CORP TENT A Common 132863101 $306.93 39,350 SH n/a sole n/a sole 0 0 CENTRAL EUROPE & RUSSIA FUN Common 153436100 $512.66 15,784 SH n/a sole n/a sole 0 0 CLAYMORE ALPHASHARES CHINA Common 18383Q853 $294.59 12,525 SH n/a sole n/a sole 0 0 COHEN & STEERS REIT UTI & I Common 19247Y108 $9,317.85 979,795 SH n/a sole n/a sole 0 0 CORNING INC COM Common 219350105 $489.92 32,000 SH n/a sole n/a sole 0 0 DELAWARE INV AZ MUNI INCM F Common 246100101 $179.39 15,100 SH n/a sole n/a sole 0 0 DREYFUS MUNICIPAL INCOME IN Common 26201R102 $358.26 41,561 SH n/a sole n/a sole 0 0 DREYFUS STRATEGIC MUNICIPAL Common 261932107 $208.03 26,300 SH n/a sole n/a sole 0 0 DTF TAX-FREE INCOME INC Common 23334J107 $18,799.94 1,262,588 SH n/a sole n/a sole 0 0 DWS GLBL COMMOD STOCK FD IN Common 23338Y100 $1,491.19 189,478 SH n/a sole n/a sole 0 0 DWS MUNICIPAL INCOME TRUST Common 23338M106 $2,568.34 220,648 SH n/a sole n/a sole 0 0 EATON VANCE FLOATING-RATE I Common 278279104 $537.41 42,150 SH n/a sole n/a sole 0 0 EATON VANCE NATIONAL MUNI F Common 27826L330 $2,957.57 294,578 SH n/a sole n/a sole 0 0 EATON VANCE SENIOR INCOME T Common 27826S103 $1,413.38 254,205 SH n/a sole n/a sole 0 0 EATON VANCE SHORT DUR DIV I Common 27828V104 $31,592.34 1,946,540 SH n/a sole n/a sole 0 0 EATON VANCE T/A GL DVD INCM Common 27828S101 $366.27 27,938 SH n/a sole n/a sole 0 0 ELLSWORTH FUND LTD Common 289074106 $138.01 22,400 SH n/a sole n/a sole 0 0 EMERGING MKTS TELECOMM FUND Common 290890102 $498.10 28,237 SH n/a sole n/a sole 0 0 ENTERPRISE ACQ CORP TENT AC Common 29365R108 $1,392.93 140,275 SH n/a sole n/a sole 0 0 ETF POWERSHARES INSURED Common 73936T474 $15,531.45 639,186 SH n/a sole n/a sole 0 0 EVERGREEN MULTI SECTOR INC Common 30024Y104 $4,195.61 294,016 SH n/a sole n/a sole 0 0 EXXON MOBIL CORP Common 30231G102 $467.99 6,821 SH n/a sole n/a sole 0 0 FIRST ISRAEL FUND INC Common 32063L100 $320.80 23,348 SH n/a sole n/a sole 0 0 FIRST NIAGARA FINANCIAL GRP Common 33582V108 $148.21 12,020 SH n/a sole n/a sole 0 0 FIRST TRUST ENH EQUITY INC Common 337318109 $6,960.44 679,730 SH n/a sole n/a sole 0 0 FIRST TRUST/FOUR CRNS SR F Common 33733U108 $2,196.64 198,253 SH n/a sole n/a sole 0 0 FIRST TRUST/FOUR CRNS SR FL Common 33733Q107 $275.04 24,000 SH n/a sole n/a sole 0 0 FORT DEARBORN INCOME SEC Common 347200107 $4,363.30 293,825 SH n/a sole n/a sole 0 0 FRANKLIN STREET PROPERTIES Common 35471R106 $833.15 63,599 SH n/a sole n/a sole 0 0 GABELLI DIVIDEND & INCOME T Common 36242H104 $10,812.86 872,709 SH n/a sole n/a sole 0 0 GENERAL AMERICAN INVESTORS Common 368802104 $4,944.80 207,817 SH n/a sole n/a sole 0 0 GENERAL ELECTRIC CO Common 369604103 $209.55 12,762 SH n/a sole n/a sole 0 0 GLOBAL CONSUMER ACQ TENT AC Common 378983100 $170.45 17,500 SH n/a sole n/a sole 0 0 GOLDEN POND HEALTH TENT ACQ Common 38116J109 $89.93 11,500 SH n/a sole n/a sole 0 0 GSI GROUP, INC. Common 36229U102 $68.03 90,700 SH n/a sole n/a sole 0 0 H & Q LIFE SCIENCES INVSTRS Common 404053100 $4,935.51 534,725 SH n/a sole n/a sole 0 0 IDEATION ACQ CORP TENT ACQ Common 451665103 $164.09 20,850 SH n/a sole n/a sole 0 0 ING PRIME RATE TRUST Common 44977W106 $17,245.30 3,476,875 SH n/a sole n/a sole 0 0 INSURED MUNI INCOME FUND Common 45809F104 $34,644.29 2,450,091 SH n/a sole n/a sole 0 0 INVESTMENT GRADE MUNI INC F Common 461368102 $16,940.90 1,181,374 SH n/a sole n/a sole 0 0 IPATH DOW JONES-UBS COMMODI Common 06738C778 $15,248.40 395,446 SH n/a sole n/a sole 0 0 ISHARES FTSE/XINHUA CHINA 2 Common 464287184 $1,686.31 41,210 SH n/a sole n/a sole 0 0 ISHARES IBOXX INV GR CORP B Common 464287242 $4,469.25 41,894 SH n/a sole n/a sole 0 0 ISHARES LEHMAN 7-10YR TREAS Common 464287440 $1,725.66 18,682 SH n/a sole n/a sole 0 0 ISHARES LEHMAN TRES INF PR Common 464287176 $12,875.84 125,154 SH n/a sole n/a sole 0 0 ISHARES MSCI AUSTRALIA INDE Common 464286103 $2,658.05 117,613 SH n/a sole n/a sole 0 0 ISHARES MSCI BRAZIL INDEX F Common 464286400 $3,531.21 52,206 SH n/a sole n/a sole 0 0 ISHARES MSCI CANADA Common 464286509 $7,540.30 295,930 SH n/a sole n/a sole 0 0 ISHARES MSCI EMERGING MKT I Common 464287234 $209.37 5,381 SH n/a sole n/a sole 0 0 ISHARES MSCI EMU Common 464286608 $492.04 12,945 SH n/a sole n/a sole 0 0 ISHARES MSCI FRANCE INDEX F Common 464286707 $3,323.85 127,988 SH n/a sole n/a sole 0 0 ISHARES MSCI HONG KONG INDE Common 464286871 $1,189.10 76,617 SH n/a sole n/a sole 0 0 ISHARES MSCI JAPAN INDEX FD Common 464286848 $3,805.90 382,887 SH n/a sole n/a sole 0 0 ISHARES MSCI PACIFIC EX JPN Common 464286665 $3,221.53 79,485 SH n/a sole n/a sole 0 0 ISHARES MSCI SPAIN INDEX FD Common 464286764 $573.14 11,456 SH n/a sole n/a sole 0 0 ISHARES MSCI UNITED KINGDOM Common 464286699 $6,412.44 413,439 SH n/a sole n/a sole 0 0 ISHARES S&P 500 INDEX FUND Common 464287200 $2,930.54 27,644 SH n/a sole n/a sole 0 0 ISHARES S&P EUROPE 350 Common 464287861 $732.26 19,000 SH n/a sole n/a sole 0 0 ISHARES S&P NATIONAL MUNICI Common 464288414 $3,719.19 35,153 SH n/a sole n/a sole 0 0 JAPAN EQUITY FUND Common 471057109 $2,956.87 541,551 SH n/a sole n/a sole 0 0 JAPAN SMALLER CAPITALIZATIO Common 47109U104 $1,054.13 133,265 SH n/a sole n/a sole 0 0 JF CHINA REGION FUND INC Common 46614T107 $250.10 18,937 SH n/a sole n/a sole 0 0 KIMBERLY-CLARK CORPORATION Common 494368103 $537.25 9,109 SH n/a sole n/a sole 0 0 KOREA EQUITY FUND Common 50063B104 $501.41 55,527 SH n/a sole n/a sole 0 0 LATIN AMERICA EQUITY FD INC Common 51827Q106 $291.50 8,280 SH n/a sole n/a sole 0 0 LAZARD GLOBAL TOT RT & INC Common 52106W103 $3,236.09 228,054 SH n/a sole n/a sole 0 0 LENNOX INTERNATIONAL INC. Common 526107107 $364.09 10,080 SH n/a sole n/a sole 0 0 LIBERTY ALL STAR EQUITY FUN Common 530158104 $20,006.62 4,729,697 SH n/a sole n/a sole 0 0 LIBERTY ALL-STAR GROWTH FD Common 529900102 $3,092.86 978,752 SH n/a sole n/a sole 0 0 LMP CAPITAL AND INCOME FUND Common 50208A102 $6,636.30 691,281 SH n/a sole n/a sole 0 0 LMP CORPORATE LOAN FUND INC Common 50208B100 $1,643.59 169,094 SH n/a sole n/a sole 0 0 MACQUARIE GLOBAL INFR TOT R Common 55608D101 $2,745.84 182,085 SH n/a sole n/a sole 0 0 MACQUARIE/FT GL INT/UT DV I Common 55607W100 $175.28 14,930 SH n/a sole n/a sole 0 0 MADISON STRATEGIC SECTR PRE Common 558268108 $5,724.73 484,121 SH n/a sole n/a sole 0 0 MADISON/CLAYMORE COVERED CA Common 556582104 $6,315.89 760,950 SH n/a sole n/a sole 0 0 MBIA CAP/CLAYMORE MGD DUR I Common 55266X100 $6,575.01 497,353 SH n/a sole n/a sole 0 0 MEXICO EQUITY AND INCOME FD Common 592834105 $243.14 35,862 SH n/a sole n/a sole 0 0 MEXICO FUND INC Common 592835102 $462.85 21,498 SH n/a sole n/a sole 0 0 MFS CHARTER INCOME TRUST Common 552727109 $22,991.73 2,554,637 SH n/a sole n/a sole 0 0 MFS INTERMARKET INC TRUST I Common 59318R103 $122.78 15,425 SH n/a sole n/a sole 0 0 MFS INTERMEDIATE INC TRUST Common 55273C107 $34,245.09 4,991,995 SH n/a sole n/a sole 0 0 MFS MULTIMARKET INC TRUST Common 552737108 $11,386.94 1,798,885 SH n/a sole n/a sole 0 0 MONTGOMERY ST INCOME SEC IN Common 614115103 $1,962.41 130,740 SH n/a sole n/a sole 0 0 MORGAN STANLEY ASIA PACIFIC Common 61744U106 $5,333.96 365,340 SH n/a sole n/a sole 0 0 MORGAN STANLEY CA INSD MUNI Common 61745P502 $2,584.08 194,731 SH n/a sole n/a sole 0 0 MORGAN STANLEY CA QUAL MUNI Common 61745P635 $548.30 44,759 SH n/a sole n/a sole 0 0 MORGAN STANLEY INSD MUNI IN Common 61745P791 $685.50 48,377 SH n/a sole n/a sole 0 0 MORGAN STANLEY INSD MUNI TR Common 61745P866 $2,007.37 147,060 SH n/a sole n/a sole 0 0 MORGAN STANLEY NY QUAL MUNI Common 61745P528 $2,649.10 194,787 SH n/a sole n/a sole 0 0 MORGAN STANLEY QUAL MUNI IN Common 61745P668 $586.87 46,065 SH n/a sole n/a sole 0 0 MORGAN STANLEY QUAL MUNI SE Common 61745P585 $2,349.99 176,357 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN CA INT MUN Common 64123C101 $246.37 17,763 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN INTMD MUNI Common 64124P101 $1,993.22 148,637 SH n/a sole n/a sole 0 0 NEUBERGER BERMAN NY INTMD M Common 64124K102 $1,480.85 112,870 SH n/a sole n/a sole 0 0 NEW GERMANY FUND Common 644465106 $8,201.56 684,604 SH n/a sole n/a sole 0 0 NEW IRELAND FUND INC Common 645673104 $253.94 31,082 SH n/a sole n/a sole 0 0 NORTH SHORE ACQ TENT ACQ DA Common 662316108 $212.33 27,575 SH n/a sole n/a sole 0 0 NUCOR CORPORATION Common 670346105 $205.34 4,368 SH n/a sole n/a sole 0 0 NUVEEN CA DVD ADV MUNI FD 2 Common 67069X104 $964.88 70,791 SH n/a sole n/a sole 0 0 NUVEEN CORE EQUITY ALPHA FU Common 67090X107 $2,097.70 189,665 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM & GRO Common 6706EW100 $497.81 38,740 SH n/a sole n/a sole 0 0 NUVEEN EQUITY PREMIUM ADVAN Common 6706ET107 $412.16 32,841 SH n/a sole n/a sole 0 0 NUVEEN FLOATING RATE INCOME Common 67072T108 $1,853.73 195,955 SH n/a sole n/a sole 0 0 NUVEEN FLOATING RT INC OPP Common 6706EN100 $3,583.71 377,233 SH n/a sole n/a sole 0 0 NUVEEN FLORIDA INV QUAL MUN Common 670970102 $9,200.31 707,172 SH n/a sole n/a sole 0 0 NUVEEN FLORIDA QUAL INC MUN Common 670978105 $12,091.75 909,838 SH n/a sole n/a sole 0 0 NUVEEN GEORGIA DVD ADV MU 2 Common 67072B107 $289.31 22,300 SH n/a sole n/a sole 0 0 NUVEEN INS FL T/F ADV MUN F Common 670655109 $2,103.09 159,325 SH n/a sole n/a sole 0 0 NUVEEN INS NY T/F ADV MUNI Common 670656107 $343.09 25,050 SH n/a sole n/a sole 0 0 NUVEEN INS T/F ADV MUNICIPA Common 670657105 $746.99 52,237 SH n/a sole n/a sole 0 0 NUVEEN INSD DVD ADV MUNI FD Common 67071L106 $3,885.33 270,755 SH n/a sole n/a sole 0 0 NUVEEN INSD FLORIDA PREMIUM Common 67101V108 $8,793.44 645,627 SH n/a sole n/a sole 0 0 NUVEEN INSD MUNI OPPORTUNIT Common 670984103 $1,432.39 104,174 SH n/a sole n/a sole 0 0 NUVEEN INSD NEW YORK PREMIU Common 67101R107 $1,826.94 133,940 SH n/a sole n/a sole 0 0 NUVEEN INSD PREM INC MUNI I Common 6706D8104 $268.11 21,500 SH n/a sole n/a sole 0 0 NUVEEN INV QUALITY MUNI FD Common 67062E103 $942.81 67,877 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN DIVIDEND AD Common 67070W103 $147.77 11,700 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN PREMIUM INC Common 67101Q109 $620.06 49,250 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN QUALITY INC Common 670979103 $1,027.40 79,336 SH n/a sole n/a sole 0 0 NUVEEN MULTI-ST INC & GTH Common 67073B106 $3,100.70 448,727 SH n/a sole n/a sole 0 0 NUVEEN MULTI-ST INC & GTH 2 Common 67073D102 $8,735.05 1,211,519 SH n/a sole n/a sole 0 0 NUVEEN NEW YORK SELECT QUAL Common 670976109 $4,491.86 326,443 SH n/a sole n/a sole 0 0 NUVEEN NY DIVIDEND ADV MUNI Common 67066X107 $254.03 18,986 SH n/a sole n/a sole 0 0 NUVEEN NY QUALITY INC MUNI Common 670986108 $5,141.90 375,870 SH n/a sole n/a sole 0 0 NUVEEN PA PREMIUM INC MUNI Common 67061F101 $1,758.18 139,760 SH n/a sole n/a sole 0 0 NUVEEN PENN INV QUAL MUNI F Common 670972108 $1,069.74 81,535 SH n/a sole n/a sole 0 0 NUVEEN PERFORMANCE PLUS MUN Common 67062P108 $1,373.74 97,153 SH n/a sole n/a sole 0 0 NUVEEN PREMIER MUNI INC FD Common 670988104 $5,879.34 440,730 SH n/a sole n/a sole 0 0 NUVEEN SENIOR INCOME FUND Common 67067Y104 $431.60 74,800 SH n/a sole n/a sole 0 0 OLD MUTUAL CLAYMORE LONG-SR Common 68003N103 $1,651.71 212,575 SH n/a sole n/a sole 0 0 PAYCHEX CORPORATION Common 704326107 $690.63 23,774 SH n/a sole n/a sole 0 0 PEPSICO INC Common 713448108 $246.25 4,198 SH n/a sole n/a sole 0 0 PIONEER FLOATING RATE TRUST Common 72369j102 $1,013.48 92,640 SH n/a sole n/a sole 0 0 POWERSHARES VRDO TAX-FREE W Common 73936T433 $2,164.62 86,550 SH n/a sole n/a sole 0 0 PROCTER & GAMBLE CO Common 742718109 $298.58 5,155 SH n/a sole n/a sole 0 0 PROSPECT ACQ CORP TENT ACQ Common 74347T103 $574.20 58,000 SH n/a sole n/a sole 0 0 PUTNAM MANAGED MUNI INCM TR Common 746823103 $10,687.96 1,564,855 SH n/a sole n/a sole 0 0 PUTNAM MUNI OPPORTUNITIES T Common 746922103 $60,830.58 5,298,831 SH n/a sole n/a sole 0 0 PUTNAM PREMIER INCOME TRUST Common 746853100 $8,441.70 1,443,026 SH n/a sole n/a sole 0 0 ROYCE VALUE TRUST Common 780910105 $1,758.85 170,200 SH n/a sole n/a sole 0 0 RYDEX S&P EQUAL WEIGHT ETF Common 78355W106 $26,516.83 710,907 SH n/a sole n/a sole 0 0 SECURE AMERICA ACQ TENT ACQ Common 81372L103 $84.42 10,700 SH n/a sole n/a sole 0 0 SINGAPORE FUND INC Common 82929L109 $1,256.52 101,414 SH n/a sole n/a sole 0 0 SPAIN FUND INC Common 846330108 $995.14 139,180 SH n/a sole n/a sole 0 0 SPDR BARCLAYS CAPITAL MUNIC Common 78464A458 $1,747.82 75,200 SH n/a sole n/a sole 0 0 SPDR TRUST SERIES 1 Common 78462F103 $26,588.51 251,809 SH n/a sole n/a sole 0 0 STONE TAN CHINA ACQ TENT AC Common 861752103 $83.86 10,562 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA GR Common 867037103 $11,128.21 921,973 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA L/ Common 867038101 $5,406.94 445,970 SH n/a sole n/a sole 0 0 SWISS HELVETIA FUND Common 870875101 $6,100.66 505,817 SH n/a sole n/a sole 0 0 TAIWAN GREATER CHINA FUND Common 874037104 $472.81 80,001 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 $225.33 11,872 SH n/a sole n/a sole 0 0 THAI FUND INC Common 882904105 $203.51 22,315 SH n/a sole n/a sole 0 0 THE EUROPEAN EQUITY FUND, I Common 298768102 $2,408.22 347,006 SH n/a sole n/a sole 0 0 TM ENTERTAINMENT MED TENT A Common 87260T108 $89.93 11,500 SH n/a sole n/a sole 0 0 TREMESIS ENERGY ACQ TENT AC Common 89472N101 $152.49 19,450 SH n/a sole n/a sole 0 0 TRI-CONTINENTAL CORPORATION Common 895436103 $153.73 13,950 SH n/a sole n/a sole 0 0 TRIPLECROWN ACQ CORP TENT A Common 89677G109 $408.61 42,125 SH n/a sole n/a sole 0 0 TS&W/CLAYMORE T/A BALANCED Common 87280R108 $896.40 92,222 SH n/a sole n/a sole 0 0 VAN KAMPEN SENIOR INCOME TR Common 920961109 $17,336.07 4,388,878 SH n/a sole n/a sole 0 0 VANGUARD EMERGING MARKET ET Common 922042858 $8,544.80 221,770 SH n/a sole n/a sole 0 0 VANGUARD EUROPE PACIFIC ETF Common 921943858 $5,249.62 153,050 SH n/a sole n/a sole 0 0 VANGUARD EUROPEAN ETF Common 922042874 $11,675.87 235,448 SH n/a sole n/a sole 0 0 VANGUARD LARGE-CAP ETF Common 922908637 $15,276.69 317,801 SH n/a sole n/a sole 0 0 VANGUARD MID-CAP ETF Common 922908629 $7,243.26 127,298 SH n/a sole n/a sole 0 0 VANGUARD PACIFIC ETF Common 922042866 $8,785.59 168,113 SH n/a sole n/a sole 0 0 VANGUARD SMALL-CAP ETF Common 922908751 $12,183.50 219,325 SH n/a sole n/a sole 0 0 WA/CLAY US INFL-LKD OPP&INC Common 95766R104 $12,317.66 1,035,968 SH n/a sole n/a sole 0 0 WESTERN ASSET GLOBAL HIGH I Common 95766B109 $9,652.49 888,811 SH n/a sole n/a sole 0 0 WESTERN ASSET INFLATION MAN Common 95766U107 $20,581.35 1,291,987 SH n/a sole n/a sole 0 0 WESTERN ASSET MUNICIPAL PAR Common 95766P108 $12,729.72 938,078 SH n/a sole n/a sole 0 0 WESTERN ASSET VARIABLE RATE Common 957667108 $14,031.66 1,022,716 SH n/a sole n/a sole 0 0 ZWEIG FUND INC Common 989834106 $11,684.55 3,640,046 SH n/a sole n/a sole 0 0 Total Securities: 208 $952,673.97
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