0001398344-13-002392.txt : 20130513 0001398344-13-002392.hdr.sgml : 20130513 20130513090302 ACCESSION NUMBER: 0001398344-13-002392 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130513 DATE AS OF CHANGE: 20130513 EFFECTIVENESS DATE: 20130513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Thomas J. Herzfeld Advisors, Inc. CENTRAL INDEX KEY: 0001509510 IRS NUMBER: 592414380 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14375 FILM NUMBER: 13835482 BUSINESS ADDRESS: STREET 1: PO BOX 161465 CITY: MIAMI STATE: FL ZIP: 33116 BUSINESS PHONE: 305-271-1900 MAIL ADDRESS: STREET 1: PO BOX 161465 CITY: MIAMI STATE: FL ZIP: 33116 13F-HR 1 fp0007234_13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 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: Thomas J. Herzfeld Advisors, Inc. Address: 119 Washington Ave, Suite 504 Miami Beach, FL 33139 Form 13F File Number: 028-14375 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: Thomas J. Herzfeld Title: President Phone: (305) 271-1900 Signature, Place, and Date of Signing: /s/ Thomas J. Herzfeld Miami Beach, FL May 13, 2013 ---------------------- --------------- ------------ [Signature] [City, State] [Date] 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 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 229 ----------- Form 13F Information Table Value Total: $ 134,894 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(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.] NONE

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------- --------------- --------- ----------- -------------------- ---------- -------- --------------------- VOTING AUTHORITY TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------- NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------- --------------- --------- ----------- ----------- --- ---- ---------- -------- --------- ------ ---- Aberdeen Emerging Markets Smaller Companies Opportunity Fund common stock 00301T102 72 3,400 SH SOLE 3,400 Aberdeen Indonesia Fund common stock 00305P106 329 25,858 SH SOLE 25,858 Aberdeen Israel Fund common stock 00301L109 40 2,750 SH SOLE 2,750 Aberdeen Latin America Equity Fund common stock 00306K106 3 88 SH SOLE 88 Adams Express Company common stock 006212104 3,406 290,085 SH SOLE 290,085 Advent/Claymore Enhanced Growth & Income Fund common stock 00765E104 133 13,708 SH SOLE 13,708 AllianceBernstein Income Fund common stock 01881E101 1,862 227,853 SH SOLE 227,853 AllianzGI Equity & Convertible Income Fund common stock 018829101 378 21,000 SH SOLE 21,000 AllianzGI Global Equity & Convertible Income Fund common stock 01882W100 17 1,200 SH SOLE 1,200 AllianzGI International & Premium Strategy Fund common stock 01882X108 168 16,700 SH SOLE 16,700 Alpine Global Dynamic Dividend Fund common stock 02082E106 955 198,913 SH SOLE 198,913 Alpine Total Dynamic Dividend Fund common stock 021060108 3,198 781,859 SH SOLE 781,859 AMERICA MOVIL ADR SERIES L common stock 02364W105 937 44,690 SH SOLE 44,690 AMERICA MOVIL SAB DE C SER A common stock 264997909 75 71,200 SH SOLE 71,200 AMERICA MOVIL SAB DE C SER L common stock 266747906 222 209,144 SH SOLE 209,144 American Select Portfolio common stock 029570108 1,632 152,962 SH SOLE 152,962 American Strategic Income Portfolio II common stock 030099105 724 81,420 SH SOLE 81,420 ASA Gold and Precious Metals Limited common stock G3156P103 96 5,000 SH SOLE 5,000 Asia Pacific Fund common stock 044901106 65 6,000 SH SOLE 6,000 Asia Tigers Fund common stock 04516T105 14 1,144 SH SOLE 1,144 ATLANTIC TELE NETWORK INC common stock 049079205 689 14,198 SH SOLE 14,198 BANCO LATINOAMERICANO COME E common stock P16994132 1,039 42,000 SH SOLE 42,000 BANCOLOMBIA S.A. SPONS ADR common stock 05968L102 1,156 18,280 SH SOLE 18,280 Bancroft Fund common stock 059695106 505 28,834 SH SOLE 28,834 BCB HOLDINGS LTD common stock 072536907 20 70,348 SH SOLE 70,348 Blackrock Build America Bond Trust common stock 09248X100 90 4,001 SH SOLE 4,001 BlackRock Credit Allocation Income Trust IV common stock 092508100 2,238 159,867 SH SOLE 159,867 BlackRock Enhanced Capital and Income Fund common stock 09256A109 507 39,000 SH SOLE 39,000 BlackRock Enhanced Dividend Achievers Trust common stock 09251A104 922 117,869 SH SOLE 117,869 BlackRock Global Opportunties Equity Trust common stock 092501105 1,388 99,999 SH SOLE 99,999 BlackRock International Growth and Income Trust common stock 092524107 670 87,750 SH SOLE 87,750 BlackRock MuniHoldings New Jersey Insured Fund common stock 09254X101 32 2,000 SH SOLE 2,000 Blackrock Muniyield Michigan Quality Fund common stock 09254V105 29 1,900 SH SOLE 1,900 BlackRock Resources & Commodities Strategy Trust common stock 09257A108 216 16,756 SH SOLE 16,756 BlackRock S&P Quality Rankings Global Equity Managed Trust common stock 09250D109 32 2,500 SH SOLE 2,500 Boulder Growth and Income Fund common stock 101507101 700 95,490 SH SOLE 95,490 Boulder Total Return Fund common stock 101541100 539 25,766 SH SOLE 25,766 Brookfield Total Return Fund common stock 11283U108 3,470 137,792 SH SOLE 137,792 Calamos Global Dynamic Income Fund common stock 12811L107 143 15,944 SH SOLE 15,944 CARIBBEAN UTILITIES CO LTD A common stock G1899E146 121 12,000 SH SOLE 12,000 CARNIVAL CORP common stock 143658300 1,235 36,000 SH SOLE 36,000 CEMEX SAB CPO common stock 240645903 71 58,021 SH SOLE 58,021 CEMEX SAB SPONS ADR PART CER common stock 151290889 582 47,655 SH SOLE 47,655 Central Europe & Russia Fund common stock 153436100 226 6,906 SH SOLE 6,906 Central Securities common stock 155123102 1,093 52,609 SH SOLE 52,609 China Fund common stock 169373107 126 6,000 SH SOLE 6,000 CHIQUITA BRANDS INTL common stock 170032809 466 60,000 SH SOLE 60,000 Clough Global Allocation Fund common stock 18913Y103 422 28,034 SH SOLE 28,034 Clough Global Equity Fund common stock 18914C100 973 66,208 SH SOLE 66,208 Clough Global Opportunities Fund common stock 18914E106 2,100 163,137 SH SOLE 163,137 COCA COLA FEMSA SAB SP ADR common stock 191241108 1,638 10,000 SH SOLE 10,000 Cohen & Steers Infrastructure Fund common stock 19248A109 1,696 81,969 SH SOLE 81,969 Cohen & Steers REIT & Preferred Income Fund common stock 19247X100 245 13,000 SH SOLE 13,000 CONSOLIDATED WATER CO ORD SH common stock G23773107 662 66,841 SH SOLE 66,841 COPA HOLDINGS SA CLASS A common stock P31076105 1,914 16,000 SH SOLE 16,000 CorEnergy Infrastructure Trust common stock 21870U205 3 510 SH SOLE 510 Cornerstone Strategic Value Fund common stock 21924B203 11 1,587 SH SOLE 1,587 Delaware Enhanced Global Dividend & Income Fund common stock 246060107 452 37,107 SH SOLE 37,107 Delaware Investments Dividend & Income Fund common stock 245915103 125 13,846 SH SOLE 13,846 DESARROLLADORA HOMEX ADR common stock 25030W100 55 6,100 SH SOLE 6,100 Dividend and Income Fund common stock 25538A204 54 3,512 SH SOLE 3,512 DWS Global High Income Fund common stock 23338W104 16 1,802 SH SOLE 1,802 Eagle Capital Growth Fund common stock 269451100 28 3,770 SH SOLE 3,770 Eaton Vance California Municipal Bond Fund common stock 27828A100 83 6,749 SH SOLE 6,749 Eaton Vance Enhanced Equity Income Fund common stock 278274105 12 1,000 SH SOLE 1,000 Eaton Vance Enhanced Equity Income Fund II common stock 278277108 170 15,000 SH SOLE 15,000 Eaton Vance Michigan Municipal Income Trust common stock 27826D106 81 6,000 SH SOLE 6,000 Eaton Vance Risk-Managed Diversified Equity Income Fund common stock 27829G106 3,631 330,378 SH SOLE 330,378 Eaton Vance Tax-Managed Diversified Equity Income Fund common stock 27828N102 1,582 155,700 SH SOLE 155,700 Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund common stock 27829C105 190 16,994 SH SOLE 16,994 Eaton Vance Tax-Mgd. Global Diversified Equity Income Fund common stock 27829F108 3,236 347,228 SH SOLE 347,228 Engex common stock 292851102 49 17,702 SH SOLE 17,702 Enzo Biochem, Inc common stock 294100102 8 3,000 SH SOLE 3,000 Equus Total Return common stock 294766100 203 94,045 SH SOLE 94,045 ERA GROUP INC common stock 26885G109 42 2,000 SH SOLE 2,000 eUNITs 2 Year U.S. International Equity Market Participation Trust common stock 29841R102 123 11,501 SH SOLE 11,501 European Equity Fund common stock 298768102 120 16,906 SH SOLE 16,906 Federated Enhanced Treasury Income Fund common stock 314162108 3,930 287,081 SH SOLE 287,081 First Opportunity Fund common stock 33587T108 5,359 659,936 SH SOLE 659,936 First Trust Enhanced Equity Income Fund common stock 337318109 124 9,700 SH SOLE 9,700 First Trust High Income Long/Short Fund common stock 33738E109 178 9,401 SH SOLE 9,401 First Trust Mortgage Income Fund common stock 33734E103 1,031 62,738 SH SOLE 62,738 FOMENTO ECONOMICO MEX SP ADR common stock 344419106 454 4,000 SH SOLE 4,000 FOMENTO ECONOMICO MEXICA UBD common stock 224205906 213 18,900 SH SOLE 18,900 Foxby Corp. common stock 351645106 131 82,338 SH SOLE 82,338 FREEPORT MCMORAN COPPER common stock 35671D857 662 20,000 SH SOLE 20,000 FRESH DEL MONTE PRODUCE INC common stock G36738105 369 13,690 SH SOLE 13,690 FUEGO ENTERPRISES INC common stock 35953E201 5 12,565 SH SOLE 12,565 Gabelli Convertible & Income Securities Fund Preferred Series B preferred stock 36240B307 78 3,054 SH SOLE 3,054 Gabelli Dividend & Income Trust common stock 36242H104 57 3,000 SH SOLE 3,000 Gabelli Dividend & Income Trust Preferred Series A preferred stock 36242H203 26 1,000 SH SOLE 1,000 Gabelli Equity Trust common stock 362397101 18 2,821 SH SOLE 2,821 Gabelli Equity Trust Preferred Series D preferred stock 362397705 223 8,672 SH SOLE 8,672 Gabelli Equity Trust Preferred Series G preferred stock 362397176 2,140 81,601 SH SOLE 81,601 Gabelli Healthcare & Wellness (Rx) Trust common stock 36246K103 448 45,047 SH SOLE 45,047 Gabelli Multimedia Trust Preferred Series B preferred stock 36239Q307 204 7,934 SH SOLE 7,934 GDL Fund common stock 361570104 129 10,962 SH SOLE 10,962 GDL Fund Preferred Series B preferred stock 361570302 652 12,967 SH SOLE 12,967 GELTECH SOLUTIONS INC common stock 368537106 30 25,000 SH SOLE 25,000 General American Investors common stock 368802104 1,979 63,370 SH SOLE 63,370 General American Investors Preferred Series B preferred stock 368802401 194 7,600 SH SOLE 7,600 GRUPO AEROPORTUARIO DE SUR B common stock 263934903 10 700 SH SOLE 700 GRUPO CASA SABA SAB DE CV common stock 239869902 202 327,290 SH SOLE 327,290 GRUPO ELEKTRA SAB DE CV common stock 296708902 50 1,270 SH SOLE 1,270 GRUPO MEXICO SAB DE CV SER B common stock 264367905 16 3,872 SH SOLE 3,872 GRUPO MODELO S.A.B. SER C common stock 238053904 136 15,000 SH SOLE 15,000 GRUPO RADIO CENTRO SER A common stock P4983X160 274 212,994 SH SOLE 212,994 GRUPO TELEVISA SA SPON ADR common stock 40049J206 756 28,400 SH SOLE 28,400 GRUPO TMM SA SP ADR A common stock 40051D303 13 12,280 SH SOLE 12,280 Guggenheim Build America Bonds common stock 401664107 229 10,138 SH SOLE 10,138 Guggenheim Equal Weight Enhanced Equity Income Fund common stock 40167M106 29 1,563 SH SOLE 1,563 Helios Strategic Income Fund common stock 42328A203 1 166 SH SOLE 166 IMPELLAM GROUP PLC common stock B8HWGJ906 81 13,000 SH SOLE 13,000 ING Risk Managed Natural Resources common stock 449810100 114 10,250 SH SOLE 10,250 Japan Equity Fund common stock 471057109 986 157,537 SH SOLE 157,537 Japan Smaller Capitalization Fund common stock 47109U104 356 41,313 SH SOLE 41,313 JF China Region Fund common stock 46614T107 195 13,567 SH SOLE 13,567 John Hancock Hedged Equity & Income Fund common stock 47804L102 218 13,001 SH SOLE 13,001 John Hancock Patriot Premium Dividend Fund II common stock 41013T105 60 4,215 SH SOLE 4,215 John Hancock Tax-Advantaged Dividend Income Fund common stock 41013V100 120 6,003 SH SOLE 6,003 JZ Capital Partners Ltd Ord common stock G5216J134 485 60,000 SH SOLE 60,000 KIMBERLY CLARK DE MEXICO A common stock 249191008 64 18,300 SH SOLE 18,300 Knight Capital Group, Inc. common stock 499005106 19 5,000 SH SOLE 5,000 Korea Fund common stock 500634209 1,262 32,256 SH SOLE 32,256 Ladenburg Thalmann Financial Services common stock 50575Q102 12 7,423 SH SOLE 7,423 Legg Mason BW Global Income Opportunities Fund common stock 52469B100 127 6,314 SH SOLE 6,314 LENNAR CORP A common stock 526057104 1,390 33,500 SH SOLE 33,500 Liberty All-Star Equity Fund common stock 530158104 2,066 399,544 SH SOLE 399,544 Liberty All-Star Growth Fund common stock 529900102 35 7,945 SH SOLE 7,945 Macquarie Global Infrastructure Total Return Fund common stock 55608D101 453 21,395 SH SOLE 21,395 Madison Strategic Sector Premium Fund common stock 558268108 66 5,643 SH SOLE 5,643 Madison/Claymore Covered Call & Equity Strategy Fund common stock 557437100 8 1,000 SH SOLE 1,000 MARGO CARIBE INC common stock 566605101 321 64,239 SH SOLE 64,239 MARTIN MARIETTA MATERIALS common stock 573284106 194 1,900 SH SOLE 1,900 MASTEC INC common stock 576323109 1,539 52,800 SH SOLE 52,800 Mexico Equity & Income Fund common stock 592834105 248 14,796 SH SOLE 14,796 MFS Intermarket Income Trust I common stock 59318R103 228 26,556 SH SOLE 26,556 Montgomery Street Income Securities common stock 614115103 1,202 69,639 SH SOLE 69,639 Morgan Stanley Asia Pacific Fund common stock 61744U106 428 26,484 SH SOLE 26,484 Morgan Stanley Eastern Europe Fund common stock 616988101 27 1,615 SH SOLE 1,615 Morgan Stanley Emerging Market Debt Fund common stock 61744H105 371 31,377 SH SOLE 31,377 Morgan Stanley Emerging Markets Domestic Debt Fund common stock 617477104 1,270 76,260 SH SOLE 76,260 Morgan Stanley Emerging Markets Fund common stock 61744G107 36 2,264 SH SOLE 2,264 Morgan Stanley India Investment Fund common stock 61745C105 163 9,188 SH SOLE 9,188 MVC Capital common stock 553829102 43 3,318 SH SOLE 3,318 Nasdaq Premium Income & Growth Fund common stock 63110R105 18 1,102 SH SOLE 1,102 Neuberger Berman Real Estate Securities Income Fund common stock 64190A103 67 12,979 SH SOLE 12,979 New Germany Fund common stock 644465106 680 40,385 SH SOLE 40,385 New Ireland Fund common stock 645673104 120 11,597 SH SOLE 11,597 NexPoint Credit Strategies Fund common stock 65340G106 642 83,625 SH SOLE 83,625 NORFOLK SOUTHERN CORP common stock 655844108 1,195 15,500 SH SOLE 15,500 Nuveen Build America Bond Fund common stock 67074C103 384 18,304 SH SOLE 18,304 Nuveen Build America Bond Opportunity Fund common stock 67074Q102 296 13,399 SH SOLE 13,399 Nuveen California Dividend Advantage Municipal Fund 3 common stock 67070Y109 28 2,000 SH SOLE 2,000 Nuveen California Dividend Advantage Municipal Fund 3, 2.95% MTP Pfd 1/1/2015 preferred stock 67066Y501 85 8,360 SH SOLE 8,360 Nuveen California Premium Income Municipal Fund, 2.00% MTP Pfd 10/1/2015 preferred stock 6706L0300 10 1,000 SH SOLE 1,000 Nuveen Core Equity Alpha Fund common stock 67090X107 18 1,201 SH SOLE 1,201 Nuveen CT Premium Income Municipal Fund common stock 67060D107 202 14,133 SH SOLE 14,133 Nuveen Dividend Advantage Municipal Fund 3 common stock 67070X101 344 22,988 SH SOLE 22,988 Nuveen Dividend Advantage Municipal Income Fund common stock 67071L106 266 17,833 SH SOLE 17,833 Nuveen Diviersified Currency Opportunities Fund common stock 67090N109 2,574 198,626 SH SOLE 198,626 Nuveen Equity Premium Advantage Fund common stock 6706ET107 124 10,001 SH SOLE 10,001 Nuveen Equity Premium and Growth Fund common stock 6706EW100 82 6,001 SH SOLE 6,001 Nuveen Georgia Dividend Advantage Municipal Fund 2, 2.65% MTP Pfd 2/1/2015 preferred stock 67072B305 25 2,500 SH SOLE 2,500 Nuveen Georgia Dividend Advantage Municipal Fund, 2.65% Pfd, Series 2015 #1 preferred stock 67072B404 10 1,000 SH SOLE 1,000 Nuveen Georgia Dividend Advantage Municipal Fund, 2.65% Pfd, Series 2015 #2 preferred stock 67072B503 20 2,000 SH SOLE 2,000 Nuveen Maryland Premium Income Municipal Fund, 2.65% MTP Pfd 2/1/2015 preferred stock 67061Q404 20 2,000 SH SOLE 2,000 Nuveen Michigan Quality Income Municipal Fund common stock 670979103 79 5,196 SH SOLE 5,196 Nuveen Municipal Opportunity Fund common stock 670984103 24 1,587 SH SOLE 1,587 Nuveen New York Dividend Advantage Municipal Fund 2 common stock 67070A101 29 2,000 SH SOLE 2,000 Nuveen North Carolina Premium Income Municipal Fund common stock 67060P100 14 1,000 SH SOLE 1,000 Nuveen PA Dividend Advantage Municipal Fund 2, MTP Preferred preferred stock 67071W300 10 1,000 SH SOLE 1,000 Nuveen Performance Plus Municipal Fund common stock 67062P108 112 7,000 SH SOLE 7,000 Nuveen Quality Income Municipal Fund common stock 670977107 122 8,000 SH SOLE 8,000 Nuveen Quality Preferred Income Fund 3 common stock 67072W101 952 105,030 SH SOLE 105,030 Nuveen Real Asset Income & Growth Fund common stock 67074Y105 1,144 56,900 SH SOLE 56,900 Nuveen Select Quality Municipal Fund common stock 670973106 110 7,300 SH SOLE 7,300 Nuveen Virginia Premium Income Municipal Fund, 2.65% MTP Pfd 2/1/2015 preferred stock 67064R409 25 2,500 SH SOLE 2,500 Oxford Lane Capital, 8.50% Pfd Series 2017 preferred stock 691543201 521 20,056 SH SOLE 20,056 Petroleum & Resources Corp. common stock 716549100 3,771 144,903 SH SOLE 144,903 POPULAR INC common stock 733174700 166 6,000 SH SOLE 6,000 PRICESMART INC common stock 741511109 1,230 15,800 SH SOLE 15,800 Putnam High Income Securities Fund common stock 746779107 173 21,142 SH SOLE 21,142 Putnam Master Intermediate Income Trust common stock 746909100 24 4,600 SH SOLE 4,600 Putnam Premier Income Trust common stock 746853100 798 144,014 SH SOLE 144,014 Rand Capital Corp. common stock 752185108 6 2,000 SH SOLE 2,000 RENN Global Entrepreneurs Fund common stock 759720105 173 104,488 SH SOLE 104,488 RMR Real Estate Income Fund common stock 76970B101 2,472 118,157 SH SOLE 118,157 ROYAL CARIBBEAN CRUISES LTD common stock V7780T103 1,561 47,000 SH SOLE 47,000 Royce Focus Trust common stock 78080N108 291 41,715 SH SOLE 41,715 Royce Micro-Cap Trust, Inc. common stock 780915104 568 53,115 SH SOLE 53,115 Royce Value Trust common stock 780910105 1,832 121,618 SH SOLE 121,618 SEABOARD CORP common stock 811543107 3,058 1,092 SH SOLE 1,092 SEACOR HOLDINGS INC common stock 811904101 147 2,000 SH SOLE 2,000 SHELLPROOF PLC common stock B8TS4M908 3 4,420 SH SOLE 4,420 SHELLSHOCK LTD common stock B27W7V903 2 3,250 SH SOLE 3,250 Singapore Fund common stock 82929L109 456 32,134 SH SOLE 32,134 Source Capital common stock 836144105 141 2,402 SH SOLE 2,402 SPANISH BROADCASTING SYS A common stock 846425833 21 8,030 SH SOLE 8,030 Special Opportunities Fund common stock 84741T104 249 14,987 SH SOLE 14,987 Sprint Nextel Corporation common stock 852061100 1 126 SH SOLE 126 Starbucks Corporation common stock 855244109 34 600 SH SOLE 600 STEINER LEISURE LTD common stock P8744Y102 751 15,527 SH SOLE 15,527 Swiss Helvetia Fund common stock 870875101 29 2,402 SH SOLE 2,402 TAHOE RESOURCES INC common stock 873868103 350 19,900 SH SOLE 19,900 Taiwan Fund common stock 874036106 47 2,859 SH SOLE 2,859 TECO ENERGY INC common stock 872375100 722 40,500 SH SOLE 40,500 TEEKAY LNG PARTNERS LP common stock Y8564M105 346 8,361 SH SOLE 8,361 Templeton Dragon Fund common stock 88018T101 403 14,433 SH SOLE 14,433 Templeton Emerging Markets Fund common stock 880191101 92 4,500 SH SOLE 4,500 Thai Fund, Inc. common stock 882904105 311 12,998 SH SOLE 12,998 The Herzfeld Caribbean Basin Fund common stock 42804T106 2,444 270,109 SH SHARED 216,222 53,887 Tim Hortons, Inc. common stock 88706M103 1 13 SH SOLE 13 Tortoise Energy Infrastructure, 3.75% Preferred Series B preferred stock 89147L704 33 3,300 SH SOLE 3,300 Tri-Continental Corp. common stock 895436103 3,918 223,274 SH SOLE 223,274 Tri-Continental Corp., $2.50 Cumulative Preferred Stock preferred stock 895436202 25 500 SH SOLE 500 Turkish Investment Fund common stock 900145103 106 5,813 SH SOLE 5,813 ULTRAPETROL (BAHAMAS) LTD common stock P94398107 75 28,000 SH SOLE 28,000 Virtus Total Return Fund common stock 92829A103 4,406 1,071,908 SH SOLE 1,071,908 VULCAN MATERIALS CO common stock 929160109 414 8,000 SH SOLE 8,000 WALMART DE MEXICO SER V common stock B02YZ0905 621 190,222 SH SOLE 190,222 WATSCO INC common stock 942622200 1,599 19,000 SH SOLE 19,000 Western Asset High Yield Defined Opportunity Fund common stock 95768B107 698 36,748 SH SOLE 36,748 Western Asset Inflation Management Fund common stock 95766U107 199 10,800 SH SOLE 10,800 Western Asset/Claymore Inflation-Linked Opportunities & Inc. common stock 95766R104 620 46,781 SH SOLE 46,781 Western Asset/Claymore Inflation-Linked Securities & Income common stock 95766Q106 99 7,324 SH SOLE 7,324 WESTERN UNION CO common stock 959802109 466 31,000 SH SOLE 31,000 Zweig Fund common stock 989834205 223 17,173 SH SOLE 17,173 Zweig Total Return Fund common stock 989837208 1,275 97,873 SH SOLE 97,873