0001048703-12-000109.txt : 20120802
0001048703-12-000109.hdr.sgml : 20120802
20120802113438
ACCESSION NUMBER: 0001048703-12-000109
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120630
FILED AS OF DATE: 20120802
DATE AS OF CHANGE: 20120802
EFFECTIVENESS DATE: 20120802
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: 121002360
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
form13f06302012.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, 2012
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:
May 15, 2012 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: $1,249,405.53 (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 $2,340.53 124,430 SH n/a sole n/a sole 0 0
ABERDEEN ISRAEL FUND, INC Common 00301L109 $380.41 30,457 SH n/a sole n/a sole 0 0
ABERDEEN LATIN AMERICA EQUI Common 00306K106 $630.93 19,698 SH n/a sole n/a sole 0 0
ADAMS EXPRESS COMPANY Common 006212104 $23,310.86 2,209,560 SH n/a sole n/a sole 0 0
ALLIANCEBERNSTEIN INC FUND Common 01881E101 $72,890.75 8,760,908 SH n/a sole n/a sole 0 0
AMERICAN STRATEGIC INC III Common 03009T101 $156.51 22,232 SH n/a sole n/a sole 0 0
ASIA PACIFIC FUND INC Common 044901106 $4,265.36 447,103 SH n/a sole n/a sole 0 0
BANCROFT FUND LTD Common 059695106 $199.43 12,502 SH n/a sole n/a sole 0 0
BLACKROCK CREDIT ALLOC IV Common 092508100 $2,325.36 175,499 SH n/a sole n/a sole 0 0
BLACKROCK ENHANCED DIVIDEND Common 09251A104 $5,788.71 799,545 SH n/a sole n/a sole 0 0
BLACKROCK INCOME OPPTY TRST Common 092475102 $768.98 70,484 SH n/a sole n/a sole 0 0
BLACKROCK INCOME TRUST Common 09247F100 $13,005.62 1,738,719 SH n/a sole n/a sole 0 0
BLACKROCK INTERNATIONAL GRO Common 092524107 $7,002.33 983,473 SH n/a sole n/a sole 0 0
BLACKROCK MUNIYIELD CA INSU Common 09254N103 $225.77 14,500 SH n/a sole n/a sole 0 0
BLACKROCK NEW YORK INVT QUA Common 09247E103 $158.51 10,246 SH n/a sole n/a sole 0 0
BLACKROCK PRFD OPPRTY TRUST Common 09249V103 $1,218.32 106,870 SH n/a sole n/a sole 0 0
CALAMOS GLOBAL DYNAMIC INCO Common 12811L107 $511.38 60,806 SH n/a sole n/a sole 0 0
CENTRAL EUROPE & RUSSIA FUN Common 153436100 $344.62 11,400 SH n/a sole n/a sole 0 0
CHINA FUND INC Common 169373107 $2,180.78 99,443 SH n/a sole n/a sole 0 0
CLOUGH GLBL OPPORTUNITIES F Common 18914E106 $161.25 15,000 SH n/a sole n/a sole 0 0
COHEN & STEERS GLOBAL INCOM Common 19248M103 $4,187.68 417,100 SH n/a sole n/a sole 0 0
CORNING INC COM Common 219350105 $258.60 20,000 SH n/a sole n/a sole 0 0
DELAWARE INV FL INSD MUNI I Common 24610T108 $1,077.04 79,078 SH n/a sole n/a sole 0 0
DTF TAX-FREE INCOME INC Common 23334J107 $7,879.07 468,992 SH n/a sole n/a sole 0 0
EATON VANCE ENH EQT INC II Common 278277108 $16,474.60 1,551,281 SH n/a sole n/a sole 0 0
EATON VANCE ENHANCED EQ INC Common 278274105 $20,465.56 1,930,713 SH n/a sole n/a sole 0 0
EATON VANCE MI MUNICIPAL IN Common 27826D106 $1,456.84 107,828 SH n/a sole n/a sole 0 0
EATON VANCE RISK-MANAGED DI Common 27829G106 $30,461.88 2,971,891 SH n/a sole n/a sole 0 0
EATON VANCE TAX-MANAGED DIV Common 27828N102 $22,152.97 2,442,444 SH n/a sole n/a sole 0 0
EATON VANCE TAX-MANAGED GLO Common 27829F108 $7,825.62 942,846 SH n/a sole n/a sole 0 0
ETF POWERSHARES INSURED Common 73936T474 $37,851.76 1,501,458 SH n/a sole n/a sole 0 0
EXXON MOBIL CORPORATION Common 30231G102 $658.38 7,694 SH n/a sole n/a sole 0 0
FEDERATED ENHANCED TREASURY Common 314162108 $12,406.88 859,202 SH n/a sole n/a sole 0 0
FORT DEARBORN INCOME SEC Common 347200107 $5,315.08 324,090 SH n/a sole n/a sole 0 0
FRANKLIN STREET PROPERTIES Common 35471R106 $672.88 63,599 SH n/a sole n/a sole 0 0
GABELLI DIVIDEND & INCOME T Common 36242H104 $14,069.04 907,095 SH n/a sole n/a sole 0 0
GENERAL AMERICAN INVESTORS Common 368802104 $17,972.49 658,333 SH n/a sole n/a sole 0 0
GREATER CHINA FUND Common 39167B102 $2,333.80 217,669 SH n/a sole n/a sole 0 0
GSI GROUP, INC. Common 36191C205 $191.00 16,667 SH n/a sole n/a sole 0 0
INDIA FUND INC Common 454089103 $1,030.35 50,557 SH n/a sole n/a sole 0 0
INTERNATIONAL BUSINESS MACH Common 459200101 $714.65 3,654 SH n/a sole n/a sole 0 0
INVESCO CA QUAL MUNI SEC Common 46130M107 $1,593.91 109,698 SH n/a sole n/a sole 0 0
INVESCO CALIFORNIA INSURED Common 46130L109 $804.51 50,726 SH n/a sole n/a sole 0 0
INVESCO INSURED CALIFORNIA Common 46130W105 $1,532.65 100,436 SH n/a sole n/a sole 0 0
INVESCO NY QUAL MUNI SEC Common 46133F109 $6,871.90 418,508 SH n/a sole n/a sole 0 0
ISHARES 2012 S&P AMT-FREE M Common 464289412 $551.58 10,900 SH n/a sole n/a sole 0 0
ISHARES BARCLAYS 1-3 YEAR C Common 464288646 $11,441.77 109,271 SH n/a sole n/a sole 0 0
ISHARES BARCLAYS MBS BOND F Common 464288588 $9,690.20 89,360 SH n/a sole n/a sole 0 0
ISHARES IBOXX INV GR CORP B Common 464287242 $17,196.95 146,245 SH n/a sole n/a sole 0 0
ISHARES LEHMAN TRES INF PR Common 464287176 $4,087.28 34,146 SH n/a sole n/a sole 0 0
ISHARES MSCI AUSTRALIA INDE Common 464286103 $3,828.29 175,208 SH n/a sole n/a sole 0 0
ISHARES MSCI BRAZIL INDEX F Common 464286400 $3,072.49 59,435 SH n/a sole n/a sole 0 0
ISHARES MSCI CANADA Common 464286509 $19,563.95 757,119 SH n/a sole n/a sole 0 0
ISHARES MSCI EAFE INDEX FUN Common 464287465 $1,205.29 24,125 SH n/a sole n/a sole 0 0
ISHARES MSCI EMU Common 464286608 $5,519.65 201,080 SH n/a sole n/a sole 0 0
ISHARES MSCI FRANCE INDEX F Common 464286707 $6,595.72 336,860 SH n/a sole n/a sole 0 0
ISHARES MSCI HONG KONG INDE Common 464286871 $2,021.33 123,252 SH n/a sole n/a sole 0 0
ISHARES MSCI JAPAN INDEX FD Common 464286848 $4,203.17 446,671 SH n/a sole n/a sole 0 0
ISHARES MSCI PACIFIC EX JPN Common 464286665 $8,865.53 217,559 SH n/a sole n/a sole 0 0
ISHARES MSCI UNITED KINGDOM Common 464286699 $10,710.35 657,480 SH n/a sole n/a sole 0 0
ISHARES S&P EUROPE 350 Common 464287861 $694.39 20,605 SH n/a sole n/a sole 0 0
JAPAN EQUITY FUND Common 471057109 $3,348.09 646,349 SH n/a sole n/a sole 0 0
JAPAN SMALLER CAPITALIZATIO Common 47109U104 $6,131.45 829,695 SH n/a sole n/a sole 0 0
JF CHINA REGION FUND INC Common 46614T107 $2,420.16 199,848 SH n/a sole n/a sole 0 0
KIMBERLY-CLARK CORPORATION Common 494368103 $420.44 5,019 SH n/a sole n/a sole 0 0
KOREA EQUITY FUND Common 50063B104 $1,291.78 142,738 SH n/a sole n/a sole 0 0
LAZARD GLOBAL TOT RT & INC Common 52106W103 $3,721.61 263,197 SH n/a sole n/a sole 0 0
LAZARD WORLD DIVIDEND & INC Common 521076109 $206.49 18,404 SH n/a sole n/a sole 0 0
LENNOX INTERNATIONAL INC. Common 526107107 $4,751.13 101,890 SH n/a sole n/a sole 0 0
LIBERTY ALL STAR EQUITY FUN Common 530158104 $21,959.86 4,869,149 SH n/a sole n/a sole 0 0
LIBERTY ALL-STAR GROWTH FD Common 529900102 $6,873.86 1,722,772 SH n/a sole n/a sole 0 0
LMP CAPITAL AND INCOME FUND Common 50208A102 $3,601.34 280,260 SH n/a sole n/a sole 0 0
LMP REAL ESTATE INCOME FUND Common 50208C108 $3,466.25 333,293 SH n/a sole n/a sole 0 0
MACQUARIE GLOBAL INFR TOT R Common 55608D101 $10,656.35 613,845 SH n/a sole n/a sole 0 0
MARKET VECTORS INTERMEDIATE Common 57060U845 $835.63 35,910 SH n/a sole n/a sole 0 0
MEXICO EQUITY AND INCOME FD Common 592834105 $540.10 46,044 SH n/a sole n/a sole 0 0
MEXICO FUND INC Common 592835102 $414.83 16,633 SH n/a sole n/a sole 0 0
MFS INTERMARKET INC TRUST I Common 59318R103 $98.51 11,700 SH n/a sole n/a sole 0 0
MONTGOMERY ST INCOME SEC IN Common 614115103 $2,118.88 132,298 SH n/a sole n/a sole 0 0
MORGAN STANLEY ASIA PACIFIC Common 61744U106 $5,866.06 428,492 SH n/a sole n/a sole 0 0
MORGAN STANLEY EAST EUROPE Common 616988101 $228.19 15,460 SH n/a sole n/a sole 0 0
MORGAN STANLEY EMRG MARKETS Common 61744G107 $2,007.01 143,460 SH n/a sole n/a sole 0 0
MORGAN STANLEY INDIA INVEST Common 61745C105 $710.76 45,826 SH n/a sole n/a sole 0 0
NEW GERMANY FUND Common 644465106 $9,597.94 714,079 SH n/a sole n/a sole 0 0
NEW IRELAND FUND INC Common 645673104 $206.27 28,218 SH n/a sole n/a sole 0 0
NUVEEN ARIZONA DVD ADV MUN Common 67072E101 $379.84 26,378 SH n/a sole n/a sole 0 0
NUVEEN BUILD AMERICAN BOND Common 67074C103 $329.58 15,583 SH n/a sole n/a sole 0 0
NUVEEN CONNECTICUT DVD ADV Common 67071Y108 $296.10 20,750 SH n/a sole n/a sole 0 0
NUVEEN DVD ADVANTAGE MUNI F Common 67066V101 $286.15 18,900 SH n/a sole n/a sole 0 0
NUVEEN EQUITY PREMIUM INCOM Common 6706ER101 $5,135.07 424,386 SH n/a sole n/a sole 0 0
NUVEEN INSD DVD ADV MUNI FD Common 67071L106 $152.70 10,000 SH n/a sole n/a sole 0 0
NUVEEN INSD MUNI OPPORTUNIT Common 670984103 $397.94 26,600 SH n/a sole n/a sole 0 0
NUVEEN MICHIGAN DIVIDEND AD Common 67070W103 $416.75 28,352 SH n/a sole n/a sole 0 0
NUVEEN MICHIGAN PREMIUM INC Common 67101Q109 $207.10 13,816 SH n/a sole n/a sole 0 0
NUVEEN NY DIVIDEND ADV MUNI Common 67066X107 $336.02 22,300 SH n/a sole n/a sole 0 0
NUVEEN TAX ADVANTAGED FLOAT Common 6706EV102 $49.22 19,153 SH n/a sole n/a sole 0 0
PAYCHEX CORPORATION Common 704326107 $240.88 7,669 SH n/a sole n/a sole 0 0
POWERSHARES BUILD AMERICA P Common 73937B407 $39,855.17 1,341,925 SH n/a sole n/a sole 0 0
PUTNAM MUNI OPPORTUNITIES T Common 746922103 $49,431.43 3,828,926 SH n/a sole n/a sole 0 0
ROYCE VALUE TRUST Common 780910105 $18,681.37 1,499,307 SH n/a sole n/a sole 0 0
RYDEX S&P EQUAL WEIGHT ETF Common 78355W106 $33,455.41 675,594 SH n/a sole n/a sole 0 0
SINGAPORE FUND INC Common 82929L109 $2,444.69 194,486 SH n/a sole n/a sole 0 0
SPDR BARCLAYS CAPITAL INTL Common 78464A516 $8,784.83 148,568 SH n/a sole n/a sole 0 0
SPDR BARCLAYS CAPITAL MUNIC Common 78464A458 $94,973.40 3,935,889 SH n/a sole n/a sole 0 0
SPDR DOW JONES INDUSTRIAL A Common 78467X109 $44,440.87 345,978 SH n/a sole n/a sole 0 0
SPDR GOLD TRUST Common 78463V107 $21,727.07 140,003 SH n/a sole n/a sole 0 0
SPDR LEHMAN SHORT TERM MUNI Common 78464A425 $40,023.38 1,638,288 SH n/a sole n/a sole 0 0
SPDR TRUST SERIES 1 Common 78462F103 $59,862.93 439,829 SH n/a sole n/a sole 0 0
SPECIAL OPPORTUNITIES FUND Common 84741T104 $19,853.20 1,313,911 SH n/a sole n/a sole 0 0
SWISS HELVETIA FUND Common 870875101 $7,366.23 727,170 SH n/a sole n/a sole 0 0
TEMPLETON DRAGON FUND INC Common 88018T101 $356.03 13,435 SH n/a sole n/a sole 0 0
TEMPLETON RUSSIA & EAST EUR Common 88022F105 $293.60 21,229 SH n/a sole n/a sole 0 0
THAI FUND INC Common 882904105 $315.59 19,675 SH n/a sole n/a sole 0 0
THE EUROPEAN EQUITY FUND, I Common 298768102 $5,493.20 900,524 SH n/a sole n/a sole 0 0
TRI-CONTINENTAL CORPORATION Common 895436103 $20,131.39 1,301,318 SH n/a sole n/a sole 0 0
VANGUARD EMERGING MARKET ET Common 922042858 $12,971.66 324,860 SH n/a sole n/a sole 0 0
VANGUARD EUROPE PACIFIC ETF Common 921943858 $23,563.78 746,398 SH n/a sole n/a sole 0 0
VANGUARD EUROPEAN ETF Common 922042874 $20,569.02 480,248 SH n/a sole n/a sole 0 0
VANGUARD LARGE-CAP ETF Common 922908637 $22,272.29 358,652 SH n/a sole n/a sole 0 0
VANGUARD MID-CAP ETF Common 922908629 $21,845.98 282,979 SH n/a sole n/a sole 0 0
VANGUARD PACIFIC ETF Common 922042866 $14,709.37 293,483 SH n/a sole n/a sole 0 0
VANGUARD SMALL-CAP ETF Common 922908751 $24,118.60 317,183 SH n/a sole n/a sole 0 0
WA/CLAY US INFL-LKD OPP&INC Common 95766R104 $14,656.31 1,123,089 SH n/a sole n/a sole 0 0
WA/CLAY US INFL-LKD SEC&INC Common 95766Q106 $2,749.11 211,470 SH n/a sole n/a sole 0 0
WESTERN ASSET INFLATION MAN Common 95766U107 $27,670.66 1,523,715 SH n/a sole n/a sole 0 0
WESTERN ASSET VARIABLE RATE Common 957667108 $4,603.29 275,152 SH n/a sole n/a sole 0 0
ZWEIG FUND INC Common 989834205 $10,726.18 894,594 SH n/a sole n/a sole 0 0
ZWEIG TOTAL RETURN FUND INC Common 989837208 $18,385.69 1,495,988 SH n/a sole n/a sole 0 0
Total Securities: 128 $1,249,405.53