-----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, TWczNUQSgVn25Oc9Wf2FBrxtL+/HfNhH7Ot45kUfeGKOmzzR651BnvxYP8/nuBa6 K/zsbJOtQil/H0HdIRfI4g== 0001048703-11-000060.txt : 20110210 0001048703-11-000060.hdr.sgml : 20110210 20110210104306 ACCESSION NUMBER: 0001048703-11-000060 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110210 DATE AS OF CHANGE: 20110210 EFFECTIVENESS DATE: 20110210 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: 11590105 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 form13f123110.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: December 31, 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: February 10, 2011 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: 132 Form 13F Information Table Value Total: $999,095.01 (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 $96.25 14,259 SH n/a sole n/a sole 0 0 ABERDEEN EMERGING MARKETS T Common 00301T102 $2,327.21 120,207 SH n/a sole n/a sole 0 0 ABERDEEN ISRAEL FUND, INC Common 00301L109 $458.54 26,353 SH n/a sole n/a sole 0 0 ABERDEEN LATIN AMERICA EQUI Common 00306K106 $411.83 10,636 SH n/a sole n/a sole 0 0 ADAMS EXPRESS COMPANY Common 006212104 $21,767.55 2,026,774 SH n/a sole n/a sole 0 0 ALLIANCEBERNSTEIN INC FUND Common 01881E101 $10,509.66 1,325,304 SH n/a sole n/a sole 0 0 AMERICAN STRATEGIC INC III Common 03009T101 $232.94 30,450 SH n/a sole n/a sole 0 0 ASIA PACIFIC FUND INC Common 044901106 $3,522.13 294,640 SH n/a sole n/a sole 0 0 BANCROFT FUND LTD Common 059695106 $257.17 15,199 SH n/a sole n/a sole 0 0 BANK OF AMERICA CORP Common 060505104 $145.94 10,940 SH n/a sole n/a sole 0 0 BLACKROCK INCOME TRUST Common 09247F100 $6,565.93 959,932 SH n/a sole n/a sole 0 0 BLACKROCK MUNI NY INT DUR F Common 09255F109 $263.55 20,510 SH n/a sole n/a sole 0 0 BLACKROCK MUNIASSETS FUND Common 09254J102 $146.66 12,600 SH n/a sole n/a sole 0 0 BLACKROCK MUNIYIELD CA INSU Common 09254N103 $4,294.52 335,772 SH n/a sole n/a sole 0 0 BLUE CHIP VALUE FUND INC Common 095333100 $924.05 249,069 SH n/a sole n/a sole 0 0 CENTRAL EUROPE & RUSSIA FUN Common 153436100 $587.14 14,033 SH n/a sole n/a sole 0 0 COHEN & STEERS INFRASTUCTUR Common 19248A109 $11,245.11 684,842 SH n/a sole n/a sole 0 0 CORNING INC COM Common 219350105 $386.40 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 $5,723.26 446,432 SH n/a sole n/a sole 0 0 DTF TAX-FREE INCOME INC Common 23334J107 $21,776.36 1,469,390 SH n/a sole n/a sole 0 0 EATON VANCE MI MUNICIPAL IN Common 27826D106 $1,606.21 140,550 SH n/a sole n/a sole 0 0 EATON VANCE TAX-MANAGED GLO Common 27829F108 $2,550.95 242,255 SH n/a sole n/a sole 0 0 ETF POWERSHARES INSURED Common 73936T474 $23,453.57 1,040,531 SH n/a sole n/a sole 0 0 EXXON MOBIL CORP Common 30231G102 $581.60 7,954 SH n/a sole n/a sole 0 0 FEDERATED ENHANCED TREASURY Common 314162108 $684.24 40,875 SH n/a sole n/a sole 0 0 FIRST NIAGARA FINANCIAL GRP Common 33582V108 $168.04 12,020 SH n/a sole n/a sole 0 0 FORT DEARBORN INCOME SEC Common 347200107 $5,759.36 372,533 SH n/a sole n/a sole 0 0 FRANKLIN STREET PROPERTIES Common 35471R106 $906.29 63,599 SH n/a sole n/a sole 0 0 GABELLI DIVIDEND & INCOME T Common 36242H104 $16,387.57 1,066,899 SH n/a sole n/a sole 0 0 GENERAL AMERICAN INVESTORS Common 368802104 $11,412.07 425,506 SH n/a sole n/a sole 0 0 GENERAL ELECTRIC CO Common 369604103 $216.96 11,862 SH n/a sole n/a sole 0 0 GREATER CHINA FUND Common 39167B102 $822.99 62,585 SH n/a sole n/a sole 0 0 GSI GROUP, INC. Common 36191C205 $165.46 15,639 SH n/a sole n/a sole 0 0 H & Q HEALTHCARE INVESTORS Common 404052102 $2,589.73 193,697 SH n/a sole n/a sole 0 0 H & Q LIFE SCIENCES INVSTRS Common 404053100 $6,223.49 577,827 SH n/a sole n/a sole 0 0 IBERO-AMERICA FUND INC Common 45082X103 $302.57 46,264 SH n/a sole n/a sole 0 0 INTERNATIONAL BUSINESS MACH Common 459200101 $536.26 3,654 SH n/a sole n/a sole 0 0 INVESCO CA QUAL MUNI SEC Common 46130M107 $2,581.76 218,979 SH n/a sole n/a sole 0 0 INVESCO CALIFORNIA INSURED Common 46130L109 $4,548.30 350,949 SH n/a sole n/a sole 0 0 INVESCO INSD MUNI BOND TR Common 46130Y101 $616.42 47,417 SH n/a sole n/a sole 0 0 INVESCO NY QUAL MUNI SEC Common 46133F109 $3,767.31 282,831 SH n/a sole n/a sole 0 0 IPATH DOW JONES-UBS COMMODI Common 06738C778 $32,930.74 670,414 SH n/a sole n/a sole 0 0 ISHARES BARCLAYS 1-3 YEAR C Common 464288646 $1,939.61 18,600 SH n/a sole n/a sole 0 0 ISHARES FTSE/XINHUA CHINA 2 Common 464287184 $2,158.38 50,090 SH n/a sole n/a sole 0 0 ISHARES IBOXX INV GR CORP B Common 464287242 $6,299.06 58,088 SH n/a sole n/a sole 0 0 ISHARES LEHMAN 7-10YR TREAS Common 464287440 $1,704.52 18,168 SH n/a sole n/a sole 0 0 ISHARES LEHMAN TRES INF PR Common 464287176 $11,562.81 107,541 SH n/a sole n/a sole 0 0 ISHARES MSCI AUSTRALIA INDE Common 464286103 $4,662.08 183,258 SH n/a sole n/a sole 0 0 ISHARES MSCI BRAZIL INDEX F Common 464286400 $4,559.71 58,911 SH n/a sole n/a sole 0 0 ISHARES MSCI CANADA Common 464286509 $20,921.84 674,898 SH n/a sole n/a sole 0 0 ISHARES MSCI EMU Common 464286608 $4,453.72 126,275 SH n/a sole n/a sole 0 0 ISHARES MSCI FRANCE INDEX F Common 464286707 $7,199.33 294,451 SH n/a sole n/a sole 0 0 ISHARES MSCI HONG KONG INDE Common 464286871 $1,928.18 101,912 SH n/a sole n/a sole 0 0 ISHARES MSCI JAPAN INDEX FD Common 464286848 $4,548.54 416,915 SH n/a sole n/a sole 0 0 ISHARES MSCI PACIFIC EX JPN Common 464286665 $6,873.88 146,315 SH n/a sole n/a sole 0 0 ISHARES MSCI SINGAPORE Common 464286673 $791.74 57,165 SH n/a sole n/a sole 0 0 ISHARES MSCI SPAIN INDEX FD Common 464286764 $385.88 10,503 SH n/a sole n/a sole 0 0 ISHARES MSCI SWEDEN INDEX F Common 464286756 $215.64 6,905 SH n/a sole n/a sole 0 0 ISHARES MSCI UNITED KINGDOM Common 464286699 $9,952.78 572,987 SH n/a sole n/a sole 0 0 ISHARES S&P 500 INDEX FUND Common 464287200 $17,553.30 139,036 SH n/a sole n/a sole 0 0 ISHARES S&P EUROPE 350 Common 464287861 $798.64 20,332 SH n/a sole n/a sole 0 0 ISHARES S&P NATIONAL MUNICI Common 464288414 $6,127.44 61,781 SH n/a sole n/a sole 0 0 JAPAN EQUITY FUND Common 471057109 $5,779.01 944,282 SH n/a sole n/a sole 0 0 JAPAN SMALLER CAPITALIZATIO Common 47109U104 $189.00 21,070 SH n/a sole n/a sole 0 0 JF CHINA REGION FUND INC Common 46614T107 $610.63 38,672 SH n/a sole n/a sole 0 0 KIMBERLY-CLARK CORPORATION Common 494368103 $424.83 6,739 SH n/a sole n/a sole 0 0 KOREA EQUITY FUND Common 50063B104 $1,534.31 125,455 SH n/a sole n/a sole 0 0 LAZARD GLOBAL TOT RT & INC Common 52106W103 $2,813.45 186,816 SH n/a sole n/a sole 0 0 LENNOX INTERNATIONAL INC. Common 526107107 $438.38 9,270 SH n/a sole n/a sole 0 0 LIBERTY ALL STAR EQUITY FUN Common 530158104 $25,349.57 5,141,900 SH n/a sole n/a sole 0 0 LIBERTY ALL-STAR GROWTH FD Common 529900102 $14,155.11 3,330,615 SH n/a sole n/a sole 0 0 LMP CAPITAL AND INCOME FUND Common 50208A102 $9,875.75 793,233 SH n/a sole n/a sole 0 0 LMP REAL ESTATE INCOME FUND Common 50208C108 $3,374.05 334,064 SH n/a sole n/a sole 0 0 MACQUARIE GLOBAL INFR TOT R Common 55608D101 $9,133.93 528,584 SH n/a sole n/a sole 0 0 MACQUARIE/FT GL INT/UT DV I Common 55607W100 $274.11 18,930 SH n/a sole n/a sole 0 0 MEXICO EQUITY AND INCOME FD Common 592834105 $506.97 44,746 SH n/a sole n/a sole 0 0 MEXICO FUND INC Common 592835102 $614.35 21,716 SH n/a sole n/a sole 0 0 MORGAN STANLEY ASIA PACIFIC Common 61744U106 $7,903.05 465,433 SH n/a sole n/a sole 0 0 MORGAN STANLEY EMRG MARKETS Common 61744G107 $848.00 51,834 SH n/a sole n/a sole 0 0 MORGAN STANLEY INDIA INVEST Common 61745C105 $264.17 10,300 SH n/a sole n/a sole 0 0 NEW GERMANY FUND Common 644465106 $11,779.15 749,310 SH n/a sole n/a sole 0 0 NUVEEN ARIZONA DVD ADV MUN Common 67072E101 $233.70 19,000 SH n/a sole n/a sole 0 0 NUVEEN INSD NEW YORK PREMIU Common 67101R107 $614.14 45,091 SH n/a sole n/a sole 0 0 NUVEEN INSD PREM INC MUNI I Common 6706D8104 $382.64 32,155 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN DIVIDEND AD Common 67070W103 $265.96 21,500 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN PREMIUM INC Common 67101Q109 $3,094.07 238,005 SH n/a sole n/a sole 0 0 NUVEEN MICHIGAN QUALITY INC Common 670979103 $2,083.92 159,078 SH n/a sole n/a sole 0 0 NUVEEN MULTI-ST INC & GTH 2 Common 67073D102 $3,369.52 382,900 SH n/a sole n/a sole 0 0 NUVEEN NY DIVIDEND ADV MUNI Common 67066X107 $150.75 11,686 SH n/a sole n/a sole 0 0 NUVEEN NY INV QUAL MUNI FD Common 67062X101 $382.41 28,369 SH n/a sole n/a sole 0 0 NUVEEN NY QUALITY INC MUNI Common 670986108 $570.78 41,241 SH n/a sole n/a sole 0 0 NUVEEN PREMIER MUNI INC FD Common 670988104 $497.47 38,120 SH n/a sole n/a sole 0 0 PAYCHEX CORPORATION Common 704326107 $239.18 7,738 SH n/a sole n/a sole 0 0 PEPSICO INC Common 713448108 $258.05 3,950 SH n/a sole n/a sole 0 0 POWERSHARES BUILD AMERICA P Common 73937B407 $42,529.44 1,695,751 SH n/a sole n/a sole 0 0 POWERSHARES VRDO TAX-FREE W Common 73936T433 $1,581.87 63,300 SH n/a sole n/a sole 0 0 PROCTER & GAMBLE CO Common 742718109 $302.03 4,695 SH n/a sole n/a sole 0 0 PUTNAM MUNI OPPORTUNITIES T Common 746922103 $74,890.81 6,889,679 SH n/a sole n/a sole 0 0 ROYAL DUTCH SHELL PLC - ADR Common 780259206 $267.12 4,000 SH n/a sole n/a sole 0 0 ROYCE VALUE TRUST Common 780910105 $13,304.97 915,060 SH n/a sole n/a sole 0 0 RYDEX S&P EQUAL WEIGHT ETF Common 78355W106 $24,378.51 515,293 SH n/a sole n/a sole 0 0 SINGAPORE FUND INC Common 82929L109 $2,513.32 165,459 SH n/a sole n/a sole 0 0 SPDR BARCLAYS CAPITAL INTL Common 78464A516 $8,695.57 148,744 SH n/a sole n/a sole 0 0 SPDR BARCLAYS CAPITAL MUNIC Common 78464A458 $3,723.17 172,130 SH n/a sole n/a sole 0 0 SPDR DOW JONES INDUSTRIAL A Common 78467X109 $37,231.59 321,989 SH n/a sole n/a sole 0 0 SPDR LEHMAN SHORT TERM MUNI Common 78464A425 $24,243.32 1,018,199 SH n/a sole n/a sole 0 0 SPDR TRUST SERIES 1 Common 78462F103 $55,267.25 439,501 SH n/a sole n/a sole 0 0 SPECIAL OPPORTUNITIES FUND Common 84741T104 $4,509.97 305,761 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA GR Common 867037103 $30,414.89 1,734,030 SH n/a sole n/a sole 0 0 SUNAMERICA FOCUSED ALPHA L/ Common 867038101 $20,143.60 1,279,771 SH n/a sole n/a sole 0 0 SWISS HELVETIA FUND Common 870875101 $8,121.31 599,801 SH n/a sole n/a sole 0 0 TAIWAN FUND INC Common 874036106 $255.60 13,285 SH n/a sole n/a sole 0 0 TAIWAN GREATER CHINA FUND Common 874037104 $1,169.28 153,853 SH n/a sole n/a sole 0 0 TEMPLETON DRAGON FUND INC Common 88018T101 $224.37 7,300 SH n/a sole n/a sole 0 0 TEXTRON INC Common 883203101 $280.65 11,872 SH n/a sole n/a sole 0 0 THAI FUND INC Common 882904105 $259.33 20,260 SH n/a sole n/a sole 0 0 THE EUROPEAN EQUITY FUND, I Common 298768102 $6,269.59 827,123 SH n/a sole n/a sole 0 0 TRI-CONTINENTAL CORPORATION Common 895436103 $11,718.00 851,599 SH n/a sole n/a sole 0 0 TS&W/CLAYMORE T/A BALANCED Common 87280R108 $2,172.16 206,087 SH n/a sole n/a sole 0 0 VANGUARD EMERGING MARKET ET Common 922042858 $12,725.81 264,317 SH n/a sole n/a sole 0 0 VANGUARD EUROPE PACIFIC ETF Common 921943858 $25,188.96 696,790 SH n/a sole n/a sole 0 0 VANGUARD EUROPEAN ETF Common 922042874 $19,001.95 387,084 SH n/a sole n/a sole 0 0 VANGUARD LARGE-CAP ETF Common 922908637 $28,103.60 487,825 SH n/a sole n/a sole 0 0 VANGUARD MID-CAP ETF Common 922908629 $16,670.18 223,881 SH n/a sole n/a sole 0 0 VANGUARD PACIFIC ETF Common 922042866 $14,776.78 259,060 SH n/a sole n/a sole 0 0 VANGUARD SMALL-CAP ETF Common 922908751 $20,423.99 281,206 SH n/a sole n/a sole 0 0 WA/CLAY US INFL-LKD OPP&INC Common 95766R104 $11,571.27 924,962 SH n/a sole n/a sole 0 0 WESTERN ASSET INFLATION MAN Common 95766U107 $20,071.97 1,137,222 SH n/a sole n/a sole 0 0 WESTERN ASSET MUNICIPAL PAR Common 95766P108 $16,502.57 1,244,538 SH n/a sole n/a sole 0 0 WESTERN ASSET VARIABLE RATE Common 957667108 $4,986.00 293,467 SH n/a sole n/a sole 0 0 ZWEIG FUND INC Common 989834106 $1,410.66 421,092 SH n/a sole n/a sole 0 0 Total Securities: 132 $999,095.01
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