-----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, OucrNqn/WUYujl8uyDcKiOad4zj+kekh52+23PSi8MS/A4SnVd0V2anaIxQb3XoI SFDpePR77QTC2gX7C+jiJg== 0001048703-10-000153.txt : 20101112 0001048703-10-000153.hdr.sgml : 20101111 20101112100833 ACCESSION NUMBER: 0001048703-10-000153 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101183633 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 form13f093010.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, 2010 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: November 12, 2010 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: 130 Form 13F Information Table Value Total: $933,017.37 (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 EMERGING MARKETS T Common 00301T102 $2,239.36 120,202 SH n/a sole n/a sole 0 0 ABERDEEN ISRAEL FUND, INC Common 00301L109 $262.61 16,243 SH n/a sole n/a sole 0 0 ABERDEEN LATIN AMERICA EQUI Common 00306K106 $270.53 7,465 SH n/a sole n/a sole 0 0 ADAMS EXPRESS COMPANY Common 006212104 $14,834.03 1,492,357 SH n/a sole n/a sole 0 0 ALLIANCEBERNSTEIN INC FUND Common 01881E101 $4,127.46 492,537 SH n/a sole n/a sole 0 0 ASIA PACIFIC FUND INC Common 044901106 $2,787.18 252,920 SH n/a sole n/a sole 0 0 BANCROFT FUND LTD Common 059695106 $263.45 16,222 SH n/a sole n/a sole 0 0 BANK OF AMERICA CORPORATION Common 060505104 $132.73 10,130 SH n/a sole n/a sole 0 0 BANK OF NEW YORK MELLON COR Common 064058100 $357.98 13,700 SH n/a sole n/a sole 0 0 BLACKROCK INSD MUNI TERM TR Common 092474105 $17,070.42 1,698,549 SH n/a sole n/a sole 0 0 BLACKROCK MUNI NY INT DUR F Common 09255F109 $999.85 71,113 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD CA INSU Common 09254N103 $5,889.91 410,447 SH n/a sole n/a sole 0 0 CENTRAL EUROPE & RUSSIA FUN Common 153436100 $529.08 14,158 SH n/a sole n/a sole 0 0 COHEN & STEERS INFRASTUCTUR Common 19248A109 $11,761.46 738,785 SH n/a sole n/a sole 0 0 CORNING INC COM Common 219350105 $365.60 20,000 SH n/a sole n/a sole 0 0 CORP PROP ASSOC 16 GLOBAL Common 98MSC0EK7 $92.00 10,000 SH n/a sole n/a sole 0 0 DELAWARE INV AZ MUNI INCM F Common 246100101 $3,466.99 261,857 SH n/a sole n/a sole 0 0 DTF TAX-FREE INCOME INC Common 23334J107 $24,395.67 1,480,320 SH n/a sole n/a sole 0 0 EATON VANCE MI MUNICIPAL IN Common 27826D106 $1,856.27 141,700 SH n/a sole n/a sole 0 0 EATON VANCE SHORT DUR DIV I Common 27828V104 $3,814.78 218,112 SH n/a sole n/a sole 0 0 EQUUS TOTAL RETURN INC Common 294766100 $468.62 196,900 SH n/a sole n/a sole 0 0 ETF POWERSHARES INSURED Common 73936T474 $34,513.71 1,403,567 SH n/a sole n/a sole 0 0 EXXON MOBIL CORP Common 30231G102 $465.65 7,536 SH n/a sole n/a sole 0 0 FIRST NIAGARA FINANCIAL GRP Common 33582V108 $140.03 12,020 SH n/a sole n/a sole 0 0 FORT DEARBORN INCOME SEC Common 347200107 $7,821.70 484,316 SH n/a sole n/a sole 0 0 FRANKLIN STREET PROPERTIES Common 35471R106 $789.90 63,599 SH n/a sole n/a sole 0 0 GABELLI DIVIDEND & INCOME T Common 36242H104 $14,337.49 1,029,992 SH n/a sole n/a sole 0 0 GENERAL AMERICAN INVESTORS Common 368802104 $1,738.38 71,318 SH n/a sole n/a sole 0 0 GENERAL ELECTRIC CO Common 369604103 $192.76 11,862 SH n/a sole n/a sole 0 0 GREATER CHINA FUND Common 39167B102 $719.45 56,295 SH n/a sole n/a sole 0 0 GSI GROUP, INC. Common 36191C106 $117.76 46,918 SH n/a sole n/a sole 0 0 H & Q HEALTHCARE INVESTORS Common 404052102 $2,065.85 171,014 SH n/a sole n/a sole 0 0 H & Q LIFE SCIENCES INVSTRS Common 404053100 $5,176.60 539,792 SH n/a sole n/a sole 0 0 IBERO-AMERICA FUND INC Common 45082X103 $304.97 46,489 SH n/a sole n/a sole 0 0 INTERNATIONAL BUSINESS MACH Common 459200101 $504.37 3,760 SH n/a sole n/a sole 0 0 INVESCO CA QUAL MUNI SEC Common 46130M107 $2,648.15 195,869 SH n/a sole n/a sole 0 0 INVESCO CALIFORNIA INSURED Common 46130L109 $6,440.88 434,314 SH n/a sole n/a sole 0 0 INVESCO NY QUAL MUNI SEC Common 46133F109 $4,449.17 294,842 SH n/a sole n/a sole 0 0 IPATH DOW JONES-UBS COMMODI Common 06738C778 $27,296.01 645,601 SH n/a sole n/a sole 0 0 ISHARES BARCLAYS 1-3 YEAR C Common 464288646 $1,953.84 18,600 SH n/a sole n/a sole 0 0 ISHARES FTSE/XINHUA CHINA 2 Common 464287184 $2,048.51 47,840 SH n/a sole n/a sole 0 0 ISHARES IBOXX INV GR CORP B Common 464287242 $6,799.65 60,126 SH n/a sole n/a sole 0 0 ISHARES LEHMAN 7-10YR TREAS Common 464287440 $2,332.18 23,555 SH n/a sole n/a sole 0 0 ISHARES LEHMAN TRES INF PR Common 464287176 $17,829.24 163,481 SH n/a sole n/a sole 0 0 ISHARES MSCI AUSTRALIA INDE Common 464286103 $4,061.99 171,103 SH n/a sole n/a sole 0 0 ISHARES MSCI BRAZIL INDEX F Common 464286400 $4,323.86 56,192 SH n/a sole n/a sole 0 0 ISHARES MSCI CANADA Common 464286509 $17,286.89 616,728 SH n/a sole n/a sole 0 0 ISHARES MSCI EMU Common 464286608 $3,304.74 95,430 SH n/a sole n/a sole 0 0 ISHARES MSCI FRANCE INDEX F Common 464286707 $6,226.87 259,561 SH n/a sole n/a sole 0 0 ISHARES MSCI HONG KONG INDE Common 464286871 $1,706.47 94,072 SH n/a sole n/a sole 0 0 ISHARES MSCI JAPAN INDEX FD Common 464286848 $4,002.09 404,865 SH n/a sole n/a sole 0 0 ISHARES MSCI PACIFIC EX JPN Common 464286665 $5,655.34 127,660 SH n/a sole n/a sole 0 0 ISHARES MSCI SPAIN INDEX FD Common 464286764 $426.26 10,486 SH n/a sole n/a sole 0 0 ISHARES MSCI SWEDEN INDEX F Common 464286756 $202.07 6,975 SH n/a sole n/a sole 0 0 ISHARES MSCI UNITED KINGDOM Common 464286699 $8,363.59 511,222 SH n/a sole n/a sole 0 0 ISHARES S&P 500 INDEX FUND Common 464287200 $6,672.36 58,279 SH n/a sole n/a sole 0 0 ISHARES S&P EUROPE 350 Common 464287861 $816.42 21,570 SH n/a sole n/a sole 0 0 ISHARES S&P NATIONAL MUNICI Common 464288414 $6,378.01 59,736 SH n/a sole n/a sole 0 0 JAPAN EQUITY FUND Common 471057109 $4,625.78 855,043 SH n/a sole n/a sole 0 0 JAPAN SMALLER CAPITALIZATIO Common 47109U104 $165.04 20,350 SH n/a sole n/a sole 0 0 JF CHINA REGION FUND INC Common 46614T107 $519.88 35,127 SH n/a sole n/a sole 0 0 KIMBERLY-CLARK CORPORATION Common 494368103 $438.37 6,739 SH n/a sole n/a sole 0 0 KOREA EQUITY FUND Common 50063B104 $1,935.23 175,134 SH n/a sole n/a sole 0 0 LAZARD GLOBAL TOT RT & INC Common 52106W103 $2,967.37 198,752 SH n/a sole n/a sole 0 0 LENNOX INTERNATIONAL INC. Common 526107107 $390.22 9,360 SH n/a sole n/a sole 0 0 LIBERTY ALL STAR EQUITY FUN Common 530158104 $20,368.20 4,618,640 SH n/a sole n/a sole 0 0 LIBERTY ALL-STAR GROWTH FD Common 529900102 $11,401.73 2,992,579 SH n/a sole n/a sole 0 0 LMP CAPITAL AND INCOME FUND Common 50208A102 $9,245.28 810,279 SH n/a sole n/a sole 0 0 MACQUARIE GLOBAL INFR TOT R Common 55608D101 $7,664.97 463,981 SH n/a sole n/a sole 0 0 MACQUARIE/FT GL INT/UT DV I Common 55607W100 $318.40 24,030 SH n/a sole n/a sole 0 0 MEXICO EQUITY AND INCOME FD Common 592834105 $402.74 40,804 SH n/a sole n/a sole 0 0 MEXICO FUND INC Common 592835102 $540.94 21,381 SH n/a sole n/a sole 0 0 MFS CHARTER INCOME TRUST Common 552727109 $3,826.18 391,225 SH n/a sole n/a sole 0 0 MFS INTERMARKET INC TRUST I Common 59318R103 $119.99 14,200 SH n/a sole n/a sole 0 0 MFS MULTIMARKET INC TRUST Common 552737108 $5,052.71 725,964 SH n/a sole n/a sole 0 0 MORGAN STANLEY ASIA PACIFIC Common 61744U106 $6,746.25 428,878 SH n/a sole n/a sole 0 0 MORGAN STANLEY EMRG MARKETS Common 61744G107 $215.59 13,900 SH n/a sole n/a sole 0 0 NEW GERMANY FUND Common 644465106 $10,381.01 720,403 SH n/a sole n/a sole 0 0 NUVEEN ARIZONA DVD ADV MUN Common 67072E101 $264.38 19,200 SH n/a sole n/a sole 0 0 NUVEEN INSD NEW YORK PREMIU Common 67101R107 $1,033.00 68,050 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN DIVIDEND AD Common 67070W103 $296.27 21,500 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN PREMIUM INC Common 67101Q109 $3,406.68 241,780 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN QUALITY INC Common 670979103 $2,260.66 156,123 SH n/a sole n/a sole 0 0 NUVEEN MULTI-ST INC & GTH 2 Common 67073D102 $3,515.44 398,125 SH n/a sole n/a sole 0 0 NUVEEN NEW YORK SELECT QUAL Common 670976109 $2,330.87 151,355 SH n/a sole n/a sole 0 0 NUVEEN NY DIVIDEND ADV MUNI Common 67066X107 $172.24 11,936 SH n/a sole n/a sole 0 0 NUVEEN NY INV QUAL MUNI FD Common 67062X101 $839.44 56,225 SH n/a sole n/a sole 0 0 NUVEEN NY QUALITY INC MUNI Common 670986108 $3,461.80 229,258 SH n/a sole n/a sole 0 0 NUVEEN PA PREMIUM INC MUNI Common 67061F101 $1,139.75 80,287 SH n/a sole n/a sole 0 0 NUVEEN PENN INV QUAL MUNI F Common 670972108 $313.48 21,250 SH n/a sole n/a sole 0 0 NUVEEN PREMIER MUNI INC FD Common 670988104 $628.60 43,025 SH n/a sole n/a sole 0 0 PAYCHEX CORPORATION Common 704326107 $214.50 7,803 SH n/a sole n/a sole 0 0 PEPSICO INC Common 713448108 $262.44 3,950 SH n/a sole n/a sole 0 0 POWERSHARES BUILD AMERICA P Common 73937B407 $43,805.78 1,634,544 SH n/a sole n/a sole 0 0 POWERSHARES VRDO TAX-FREE W Common 73936T433 $1,695.91 67,850 SH n/a sole n/a sole 0 0 PROCTER & GAMBLE CO Common 742718109 $281.56 4,695 SH n/a sole n/a sole 0 0 PUTNAM MUNI OPPORTUNITIES T Common 746922103 $79,839.98 6,517,549 SH n/a sole n/a sole 0 0 ROYAL DUTCH SHELL PLC - ADR Common 780259206 $241.20 4,000 SH n/a sole n/a sole 0 0 ROYCE VALUE TRUST Common 780910105 $9,369.41 771,780 SH n/a sole n/a sole 0 0 RYDEX S&P EQUAL WEIGHT ETF Common 78355W106 $19,794.47 467,071 SH n/a sole n/a sole 0 0 SINGAPORE FUND INC Common 82929L109 $3,278.21 209,470 SH n/a sole n/a sole 0 0 SPDR BARCLAYS CAPITAL INTL Common 78464A516 $9,281.75 154,799 SH n/a sole n/a sole 0 0 SPDR BARCLAYS CAPITAL MUNIC Common 78464A458 $6,139.49 260,700 SH n/a sole n/a sole 0 0 SPDR DOW JONES INDUSTRIAL A Common 78467X109 $29,537.88 273,727 SH n/a sole n/a sole 0 0 SPDR LEHMAN SHORT TERM MUNI Common 78464A425 $1,852.09 76,155 SH n/a sole n/a sole 0 0 SPDR TRUST SERIES 1 Common 78462F103 $42,519.93 372,557 SH n/a sole n/a sole 0 0 SPECIAL OPPORTUNITIES FUND Common 84741T104 $2,617.78 187,789 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA GR Common 867037103 $48,843.82 3,095,299 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA L/ Common 867038101 $27,388.37 1,892,769 SH n/a sole n/a sole 0 0 SWISS HELVETIA FUND Common 870875101 $7,136.22 568,170 SH n/a sole n/a sole 0 0 TAIWAN FUND INC Common 874036106 $337.19 20,155 SH n/a sole n/a sole 0 0 TAIWAN GREATER CHINA FUND Common 874037104 $1,151.39 170,829 SH n/a sole n/a sole 0 0 TEMPLETON DRAGON FUND INC Common 88018T101 $212.05 7,335 SH n/a sole n/a sole 0 0 TEXTRON INC Common 883203101 $244.09 11,872 SH n/a sole n/a sole 0 0 THAI FUND INC Common 882904105 $279.50 20,210 SH n/a sole n/a sole 0 0 THE EUROPEAN EQUITY FUND, I Common 298768102 $5,490.51 792,281 SH n/a sole n/a sole 0 0 TRI-CONTINENTAL CORPORATION Common 895436103 $5,862.55 475,470 SH n/a sole n/a sole 0 0 TS&W/CLAYMORE T/A BALANCED Common 87280R108 $2,401.17 218,290 SH n/a sole n/a sole 0 0 VANGUARD EMERGING MARKET ET Common 922042858 $11,248.08 247,428 SH n/a sole n/a sole 0 0 VANGUARD EUROPE PACIFIC ETF Common 921943858 $19,115.45 553,750 SH n/a sole n/a sole 0 0 VANGUARD EUROPEAN ETF Common 922042874 $16,730.40 343,399 SH n/a sole n/a sole 0 0 VANGUARD LARGE-CAP ETF Common 922908637 $22,155.40 425,411 SH n/a sole n/a sole 0 0 VANGUARD MID-CAP ETF Common 922908629 $13,110.02 197,708 SH n/a sole n/a sole 0 0 VANGUARD PACIFIC ETF Common 922042866 $12,672.52 235,330 SH n/a sole n/a sole 0 0 VANGUARD SMALL-CAP ETF Common 922908751 $17,416.63 274,537 SH n/a sole n/a sole 0 0 WA/CLAY US INFL-LKD OPP&INC Common 95766R104 $11,715.80 928,352 SH n/a sole n/a sole 0 0 WESTERN ASSET INFLATION MAN Common 95766U107 $21,315.16 1,246,209 SH n/a sole n/a sole 0 0 WESTERN ASSET MUNICIPAL PAR Common 95766P108 $16,602.22 1,126,338 SH n/a sole n/a sole 0 0 WESTERN ASSET VARIABLE RATE Common 957667108 $4,699.26 295,828 SH n/a sole n/a sole 0 0 ZWEIG FUND INC Common 989834106 $3,069.58 944,486 SH n/a sole n/a sole 0 0 Total Securities: 130 $933,017.37
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