0001048703-11-000149.txt : 20110811
0001048703-11-000149.hdr.sgml : 20110811
20110811091515
ACCESSION NUMBER: 0001048703-11-000149
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110811
DATE AS OF CHANGE: 20110811
EFFECTIVENESS DATE: 20110811
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: 111026077
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
form13f63011.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: June 30, 2011
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:
August 11, 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: 128
Form 13F Information Table Value Total: $1,195,758 (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 $97.15 13,254 SH n/a sole n/a sole 0 0
ABERDEEN EMERGING MARKETS T Common 00301T102 $2,237.46 119,077 SH n/a sole n/a sole 0 0
ABERDEEN ISRAEL FUND, INC Common 00301L109 $556.98 32,225 SH n/a sole n/a sole 0 0
ABERDEEN LATIN AMERICA EQUI Common 00306K106 $452.96 11,683 SH n/a sole n/a sole 0 0
ADAMS EXPRESS COMPANY Common 006212104 $26,584.46 2,386,397 SH n/a sole n/a sole 0 0
ALLIANCEBERNSTEIN INC FUND Common 01881E101 $43,282.31 5,485,717 SH n/a sole n/a sole 0 0
AMERICAN STRATEGIC INC III Common 03009T101 $241.77 30,450 SH n/a sole n/a sole 0 0
ASIA PACIFIC FUND INC Common 044901106 $4,751.85 392,067 SH n/a sole n/a sole 0 0
BANCROFT FUND LTD Common 059695106 $248.56 14,333 SH n/a sole n/a sole 0 0
BLACKROCK CORE BOND TRUST Common 09249E101 $172.69 13,782 SH n/a sole n/a sole 0 0
BLACKROCK CREDIT ALLOC IV Common 092508100 $797.61 63,758 SH n/a sole n/a sole 0 0
BLACKROCK INCOME OPPTY TRST Common 092475102 $1,202.91 124,268 SH n/a sole n/a sole 0 0
BLACKROCK INCOME TRUST Common 09247F100 $15,802.29 2,244,643 SH n/a sole n/a sole 0 0
BLACKROCK MUNI NY INT DUR F Common 09255F109 $227.74 17,385 SH n/a sole n/a sole 0 0
BLACKROCK MUNIYIELD CA INSU Common 09254N103 $2,455.53 184,073 SH n/a sole n/a sole 0 0
BLACKROCK PRFD OPPRTY TRUST Common 09249V103 $224.25 20,687 SH n/a sole n/a sole 0 0
CALAMOS GLOBAL DYNAMIC INCO Common 12811L107 $412.39 47,401 SH n/a sole n/a sole 0 0
CALAMOS STRAT TOT RETURN FD Common 128125101 $697.23 72,856 SH n/a sole n/a sole 0 0
CENTRAL EUROPE & RUSSIA FUN Common 153436100 $593.30 13,658 SH n/a sole n/a sole 0 0
CHINA FUND INC Common 169373107 $2,428.13 77,700 SH n/a sole n/a sole 0 0
COHEN & STEERS GLOBAL INCOM Common 19248M103 $1,003.76 90,023 SH n/a sole n/a sole 0 0
COHEN & STEERS INFRASTUCTUR Common 19248A109 $3,906.83 219,485 SH n/a sole n/a sole 0 0
CORNING INC COM Common 219350105 $363.00 20,000 SH n/a sole n/a sole 0 0
DELAWARE INV FL INSD MUNI I Common 24610T108 $9,117.85 729,428 SH n/a sole n/a sole 0 0
DTF TAX-FREE INCOME INC Common 23334J107 $20,801.16 1,360,451 SH n/a sole n/a sole 0 0
EATON VANCE MI MUNICIPAL IN Common 27826D106 $1,194.31 99,692 SH n/a sole n/a sole 0 0
EATON VANCE RISK-MANAGED DI Common 27829G106 $7,969.40 631,490 SH n/a sole n/a sole 0 0
EATON VANCE TAX-MANAGED GLO Common 27829F108 $4,702.76 449,165 SH n/a sole n/a sole 0 0
E-DEBIT GLOBAL CORP Common 26841A204 $4.03 175,000 SH n/a sole n/a sole 0 0
ETF POWERSHARES INSURED Common 73936T474 $8,883.07 383,056 SH n/a sole n/a sole 0 0
EXXON MOBIL CORPORATION Common 30231G102 $501.63 6,164 SH n/a sole n/a sole 0 0
FEDERATED ENHANCED TREASURY Common 314162108 $6,330.53 407,108 SH n/a sole n/a sole 0 0
FORT DEARBORN INCOME SEC Common 347200107 $5,573.00 369,805 SH n/a sole n/a sole 0 0
FRANKLIN STREET PROPERTIES Common 35471R106 $821.06 63,599 SH n/a sole n/a sole 0 0
GABELLI DIVIDEND & INCOME T Common 36242H104 $21,327.14 1,283,994 SH n/a sole n/a sole 0 0
GENERAL AMERICAN INVESTORS Common 368802104 $17,957.98 639,985 SH n/a sole n/a sole 0 0
GREATER CHINA FUND Common 39167B102 $1,040.89 81,960 SH n/a sole n/a sole 0 0
GSI GROUP, INC. Common 36191C205 $200.84 16,667 SH n/a sole n/a sole 0 0
H & Q LIFE SCIENCES INVSTRS Common 404053100 $4,272.03 342,859 SH n/a sole n/a sole 0 0
IBERO-AMERICA FUND INC Common 45082X103 $443.19 58,314 SH n/a sole n/a sole 0 0
INTERNATIONAL BUSINESS MACH Common 459200101 $626.84 3,654 SH n/a sole n/a sole 0 0
INVESCO CA QUAL MUNI SEC Common 46130M107 $2,398.81 197,521 SH n/a sole n/a sole 0 0
INVESCO CALIFORNIA INSURED Common 46130L109 $3,789.76 286,244 SH n/a sole n/a sole 0 0
INVESCO NY QUAL MUNI SEC Common 46133F109 $4,112.18 297,123 SH n/a sole n/a sole 0 0
INVESCO VAN KAMPEN BOND FUN Common 46132L107 $857.92 45,035 SH n/a sole n/a sole 0 0
IPATH DOW JONES-UBS COMMODI Common 06738C778 $34,393.78 728,219 SH n/a sole n/a sole 0 0
ISHARES BARCLAYS 1-3 YEAR C Common 464288646 $1,912.19 18,220 SH n/a sole n/a sole 0 0
ISHARES IBOXX INV GR CORP B Common 464287242 $6,377.85 57,912 SH n/a sole n/a sole 0 0
ISHARES LEHMAN 7-10YR TREAS Common 464287440 $2,084.86 21,749 SH n/a sole n/a sole 0 0
ISHARES LEHMAN TRES INF PR Common 464287176 $11,598.28 104,829 SH n/a sole n/a sole 0 0
ISHARES MSCI AUSTRALIA INDE Common 464286103 $5,012.12 192,404 SH n/a sole n/a sole 0 0
ISHARES MSCI BRAZIL INDEX F Common 464286400 $4,237.87 57,776 SH n/a sole n/a sole 0 0
ISHARES MSCI CANADA Common 464286509 $24,443.98 771,834 SH n/a sole n/a sole 0 0
ISHARES MSCI EMU Common 464286608 $6,348.01 163,482 SH n/a sole n/a sole 0 0
ISHARES MSCI FRANCE INDEX F Common 464286707 $9,290.47 336,124 SH n/a sole n/a sole 0 0
ISHARES MSCI HONG KONG INDE Common 464286871 $2,163.91 116,842 SH n/a sole n/a sole 0 0
ISHARES MSCI JAPAN INDEX FD Common 464286848 $6,132.28 587,946 SH n/a sole n/a sole 0 0
ISHARES MSCI PACIFIC EX JPN Common 464286665 $8,827.51 185,413 SH n/a sole n/a sole 0 0
ISHARES MSCI SINGAPORE Common 464286673 $339.34 24,715 SH n/a sole n/a sole 0 0
ISHARES MSCI SWEDEN INDEX F Common 464286756 $354.98 11,170 SH n/a sole n/a sole 0 0
ISHARES MSCI UNITED KINGDOM Common 464286699 $11,932.54 669,991 SH n/a sole n/a sole 0 0
ISHARES S&P 500 INDEX FUND Common 464287200 $21,501.43 162,373 SH n/a sole n/a sole 0 0
ISHARES S&P NATIONAL MUNICI Common 464288414 $2,898.28 28,000 SH n/a sole n/a sole 0 0
JAPAN EQUITY FUND Common 471057109 $4,193.07 687,388 SH n/a sole n/a sole 0 0
JAPAN SMALLER CAPITALIZATIO Common 47109U104 $2,244.28 273,024 SH n/a sole n/a sole 0 0
JF CHINA REGION FUND INC Common 46614T107 $1,275.90 83,590 SH n/a sole n/a sole 0 0
KIMBERLY-CLARK CORPORATION Common 494368103 $420.59 6,319 SH n/a sole n/a sole 0 0
KOREA EQUITY FUND Common 50063B104 $1,983.35 137,161 SH n/a sole n/a sole 0 0
LAZARD GLOBAL TOT RT & INC Common 52106W103 $3,954.40 251,552 SH n/a sole n/a sole 0 0
LENNOX INTERNATIONAL INC. Common 526107107 $823.24 19,114 SH n/a sole n/a sole 0 0
LIBERTY ALL STAR EQUITY FUN Common 530158104 $29,025.19 5,614,156 SH n/a sole n/a sole 0 0
LIBERTY ALL-STAR GROWTH FD Common 529900102 $18,085.11 4,073,224 SH n/a sole n/a sole 0 0
LMP CAPITAL AND INCOME FUND Common 50208A102 $15,792.53 1,151,059 SH n/a sole n/a sole 0 0
LMP REAL ESTATE INCOME FUND Common 50208C108 $3,652.74 346,889 SH n/a sole n/a sole 0 0
MACQUARIE GLOBAL INFR TOT R Common 55608D101 $11,098.95 597,682 SH n/a sole n/a sole 0 0
MALAYSIA FUND, INC. Common 560905101 $437.59 38,897 SH n/a sole n/a sole 0 0
MEXICO EQUITY AND INCOME FD Common 592834105 $520.51 44,564 SH n/a sole n/a sole 0 0
MEXICO FUND INC Common 592835102 $588.49 20,824 SH n/a sole n/a sole 0 0
MFS CHARTER INCOME TRUST Common 552727109 $136.25 14,557 SH n/a sole n/a sole 0 0
MONTGOMERY ST INCOME SEC IN Common 614115103 $1,060.50 66,531 SH n/a sole n/a sole 0 0
MORGAN STANLEY ASIA PACIFIC Common 61744U106 $6,357.29 373,519 SH n/a sole n/a sole 0 0
MORGAN STANLEY EMRG MARKETS Common 61744G107 $1,357.44 85,697 SH n/a sole n/a sole 0 0
MORGAN STANLEY INDIA INVEST Common 61745C105 $222.69 10,150 SH n/a sole n/a sole 0 0
NEW GERMANY FUND Common 644465106 $13,685.25 757,766 SH n/a sole n/a sole 0 0
NUVEEN ARIZONA DVD ADV MUN Common 67072E101 $237.07 18,800 SH n/a sole n/a sole 0 0
NUVEEN INSD NEW YORK PREMIU Common 67101R107 $312.87 21,925 SH n/a sole n/a sole 0 0
NUVEEN INSD PREM INC MUNI I Common 6706D8104 $277.66 22,685 SH n/a sole n/a sole 0 0
NUVEEN MICHIGAN DIVIDEND AD Common 67070W103 $280.58 21,700 SH n/a sole n/a sole 0 0
NUVEEN MICHIGAN PREMIUM INC Common 67101Q109 $2,551.12 187,582 SH n/a sole n/a sole 0 0
NUVEEN MICHIGAN QUALITY INC Common 670979103 $2,196.68 160,776 SH n/a sole n/a sole 0 0
NUVEEN MULTI-ST INC & GTH 2 Common 67073D102 $3,194.89 349,550 SH n/a sole n/a sole 0 0
NUVEEN NY INV QUAL MUNI FD Common 67062X101 $274.16 19,444 SH n/a sole n/a sole 0 0
NUVEEN PREMIER MUNI INC FD Common 670988104 $229.05 17,106 SH n/a sole n/a sole 0 0
PAYCHEX CORPORATION Common 704326107 $237.71 7,738 SH n/a sole n/a sole 0 0
POWERSHARES BUILD AMERICA P Common 73937B407 $35,385.54 1,361,506 SH n/a sole n/a sole 0 0
POWERSHARES VRDO TAX-FREE W Common 73936T433 $1,282.50 51,300 SH n/a sole n/a sole 0 0
PUTNAM MUNI OPPORTUNITIES T Common 746922103 $70,317.61 6,278,358 SH n/a sole n/a sole 0 0
ROYAL DUTCH SHELL PLC - ADR Common 780259206 $284.52 4,000 SH n/a sole n/a sole 0 0
ROYCE VALUE TRUST Common 780910105 $21,311.77 1,428,403 SH n/a sole n/a sole 0 0
RYDEX S&P EQUAL WEIGHT ETF Common 78355W106 $34,889.89 689,251 SH n/a sole n/a sole 0 0
SHELTON GREATER CHINA FUND Common 823014105 $1,572.15 207,135 SH n/a sole n/a sole 0 0
SINGAPORE FUND INC Common 82929L109 $3,470.26 239,163 SH n/a sole n/a sole 0 0
SPDR BARCLAYS CAPITAL INTL Common 78464A516 $9,177.72 148,579 SH n/a sole n/a sole 0 0
SPDR BARCLAYS CAPITAL MUNIC Common 78464A458 $2,737.18 120,900 SH n/a sole n/a sole 0 0
SPDR DOW JONES INDUSTRIAL A Common 78467X109 $49,276.91 397,940 SH n/a sole n/a sole 0 0
SPDR LEHMAN SHORT TERM MUNI Common 78464A425 $30,835.51 1,272,092 SH n/a sole n/a sole 0 0
SPDR TRUST SERIES 1 Common 78462F103 $72,079.64 546,182 SH n/a sole n/a sole 0 0
SPECIAL OPPORTUNITIES FUND Common 84741T104 $7,648.85 489,060 SH n/a sole n/a sole 0 0
SUNAMERICA FOCUSED ALPHA GR Common 867037103 $45,773.18 2,203,812 SH n/a sole n/a sole 0 0
SUNAMERICA FOCUSED ALPHA L/ Common 867038101 $30,768.69 1,610,926 SH n/a sole n/a sole 0 0
SWISS HELVETIA FUND Common 870875101 $10,735.79 716,197 SH n/a sole n/a sole 0 0
TAIWAN FUND INC Common 874036106 $252.88 13,205 SH n/a sole n/a sole 0 0
TEXTRON INC Common 883203101 $280.30 11,872 SH n/a sole n/a sole 0 0
THAI FUND INC Common 882904105 $254.67 19,990 SH n/a sole n/a sole 0 0
THE EUROPEAN EQUITY FUND, I Common 298768102 $7,460.33 898,835 SH n/a sole n/a sole 0 0
TRI-CONTINENTAL CORPORATION Common 895436103 $19,160.80 1,283,376 SH n/a sole n/a sole 0 0
TS&W/CLAYMORE T/A BALANCED Common 87280R108 $4,056.25 356,750 SH n/a sole n/a sole 0 0
VANGUARD EMERGING MARKET ET Common 922042858 $12,244.41 251,839 SH n/a sole n/a sole 0 0
VANGUARD EUROPE PACIFIC ETF Common 921943858 $29,654.57 778,744 SH n/a sole n/a sole 0 0
VANGUARD EUROPEAN ETF Common 922042874 $25,168.31 470,172 SH n/a sole n/a sole 0 0
VANGUARD LARGE-CAP ETF Common 922908637 $34,929.77 576,494 SH n/a sole n/a sole 0 0
VANGUARD MID-CAP ETF Common 922908629 $23,414.12 291,148 SH n/a sole n/a sole 0 0
VANGUARD PACIFIC ETF Common 922042866 $16,014.56 283,243 SH n/a sole n/a sole 0 0
VANGUARD SMALL-CAP ETF Common 922908751 $25,921.81 332,118 SH n/a sole n/a sole 0 0
WA/CLAY US INFL-LKD OPP&INC Common 95766R104 $10,146.22 810,401 SH n/a sole n/a sole 0 0
WESTERN ASSET INFLATION MAN Common 95766U107 $19,934.17 1,145,642 SH n/a sole n/a sole 0 0
WESTERN ASSET MUNICIPAL PAR Common 95766P108 $16,411.08 1,173,897 SH n/a sole n/a sole 0 0
WESTERN ASSET VARIABLE RATE Common 957667108 $4,682.25 282,063 SH n/a sole n/a sole 0 0
Total Securities: 128 $1,195,758.59