The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 3,853 | 770,653 | SH | SOLE | 770,653 | 0 | 0 | ||
ABERDEEN EMERGING MKTS SMALL | COM | 00301T102 | 404 | 29,261 | SH | SOLE | 29,261 | 0 | 0 | ||
ABERDEEN INDONESIA FD INC | COM | 00305P106 | 664 | 87,325 | SH | SOLE | 87,325 | 0 | 0 | ||
ABERDEEN LATIN AMER EQTY FD | COM | 00306K106 | 692 | 29,892 | SH | SOLE | 29,892 | 0 | 0 | ||
ABERDEEN SINGAPORE FD INC | COM | 003244100 | 1,195 | 107,904 | SH | SOLE | 107,904 | 0 | 0 | ||
ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 | 14,486 | 1,013,686 | SH | SOLE | 1,013,686 | 0 | 0 | ||
ADVENT CLAY CONV SEC INC FD | COM | 007639107 | 7,706 | 1,236,956 | SH | SOLE | 1,236,956 | 0 | 0 | ||
ADVENT CLAYMORE CV SECS & IN | COM | 00764C109 | 16,812 | 1,040,963 | SH | SOLE | 1,040,963 | 0 | 0 | ||
ADVENT CLAYMORE ENH GRW & IN | COM | 00765E104 | 11,253 | 1,286,024 | SH | SOLE | 1,286,024 | 0 | 0 | ||
ALLIANCEBERNSTEIN GBL HGH IN | COM | 01879R106 | 3,392 | 262,115 | SH | SOLE | 262,115 | 0 | 0 | ||
ALLIANCEBERNSTEIN NATL MUNI | COM | 01864U106 | 6,641 | 485,104 | SH | SOLE | 485,104 | 0 | 0 | ||
ALLIANZGI DIVERS INC & CNV F | COM | 01883J108 | 3,455 | 164,857 | SH | SOLE | 164,857 | 0 | 0 | ||
ALLIANZGI EQUITY & CONV INCO | COM | 018829101 | 6,731 | 340,810 | SH | SOLE | 340,810 | 0 | 0 | ||
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 9,519 | 726,655 | SH | SOLE | 726,655 | 0 | 0 | ||
ALPINE GLOBAL DYNAMIC DIVD F | COM NEW | 02082E205 | 1,294 | 126,490 | SH | SOLE | 126,490 | 0 | 0 | ||
ALPINE TOTAL DYNAMIC DIVID F | COM SH BEN INT N | 021060207 | 10,521 | 1,210,750 | SH | SOLE | 1,210,750 | 0 | 0 | ||
ARES CAP CORP | COM | 04010L103 | 31,467 | 1,921,053 | SH | SOLE | 1,921,053 | 0 | 0 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 12,999 | 795,057 | SH | SOLE | 795,057 | 0 | 0 | ||
BARINGTON HILCO ACQUISITION | COM | 06759V101 | 6,421 | 622,740 | SH | SOLE | 622,740 | 0 | 0 | ||
BISON CAP ACQUISITION CORP | UNIT 99/99/9999T | G1142P120 | 1,275 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 34,733 | 3,169,057 | SH | SOLE | 3,169,057 | 0 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 38,524 | 2,864,244 | SH | SOLE | 2,864,244 | 0 | 0 | ||
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 21,209 | 1,837,897 | SH | SOLE | 1,837,897 | 0 | 0 | ||
BLACKROCK ENHANCED GBL DIV T | COM | 092501105 | 17,227 | 1,300,166 | SH | SOLE | 1,300,166 | 0 | 0 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 7,524 | 476,819 | SH | SOLE | 476,819 | 0 | 0 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 14,114 | 778,502 | SH | SOLE | 778,502 | 0 | 0 | ||
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 8,469 | 603,195 | SH | SOLE | 603,195 | 0 | 0 | ||
BLACKROCK RES & COMM STRAT T | SHS | 09257A108 | 4,479 | 559,225 | SH | SOLE | 559,225 | 0 | 0 | ||
BLACKSTONE GSO LNG SHRT CR I | COM SHS BN INT | 09257D102 | 2,164 | 134,093 | SH | SOLE | 134,093 | 0 | 0 | ||
BLACKSTONE GSO STRATEGIC CR | COM SHS BEN IN | 09257R101 | 12,312 | 773,372 | SH | SOLE | 773,372 | 0 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 8,466 | 871,929 | SH | SOLE | 871,929 | 0 | 0 | ||
BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 112830104 | 49,655 | 2,142,156 | SH | SOLE | 2,142,156 | 0 | 0 | ||
CAPITALA FIN CORP | 5.75% NT CV 22 | 14054R403 | 2,487 | 98,300 | SH | SOLE | 98,300 | 0 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 3,813 | 492,901 | SH | SOLE | 492,901 | 0 | 0 | ||
CENTRAL FD CDA LTD | CL A | 153501101 | 8,793 | 713,165 | SH | SOLE | 713,165 | 0 | 0 | ||
CLOUGH GLOBAL DIVND AND INC | COM | 18913Y103 | 1,073 | 80,273 | SH | SOLE | 80,273 | 0 | 0 | ||
CLOUGH GLOBAL EQUITY FD | COM | 18914C100 | 23,874 | 1,893,279 | SH | SOLE | 1,893,279 | 0 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 46,056 | 4,344,939 | SH | SOLE | 4,344,939 | 0 | 0 | ||
CONSTELLATION ALPHA CAPITAL | UNIT 99/99/9999 | G2379F124 | 1,217 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 6,650 | 583,340 | SH | SOLE | 583,340 | 0 | 0 | ||
DELAWARE INVTS DIV & INCOME | COM | 245915103 | 334 | 31,905 | SH | SOLE | 31,905 | 0 | 0 | ||
DEUTSCHE GLOBAL HIGH INCOME | COM | 25158V108 | 1,227 | 140,895 | SH | SOLE | 140,895 | 0 | 0 | ||
DEUTSCHE HIGH INCOME OPPORT | COM | 25158Y102 | 8,451 | 567,923 | SH | SOLE | 567,923 | 0 | 0 | ||
DEUTSCHE MULTI-MKT INCOME TR | SHS | 25160E102 | 5,340 | 606,777 | SH | SOLE | 606,777 | 0 | 0 | ||
EASTERLY ACQUISITION CORP | COM | 27616L102 | 212 | 21,058 | SH | SOLE | 21,058 | 0 | 0 | ||
EASTERLY ACQUISITION CORP | *W EXP 07/29/202 | 27616L110 | 31 | 36,529 | SH | SOLE | 36,529 | 0 | 0 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 45,237 | 3,208,298 | SH | SOLE | 3,208,298 | 0 | 0 | ||
EATON VANCE MUN BD FD | COM | 27827X101 | 2,494 | 196,503 | SH | SOLE | 196,503 | 0 | 0 | ||
EATON VANCE SH TM DR DIVR IN | COM | 27828V104 | 3,761 | 267,675 | SH | SOLE | 267,675 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 6,558 | 986,170 | SH | SOLE | 986,170 | 0 | 0 | ||
FEDERATED PREM INTR MUN INC | COM | 31423M105 | 597 | 43,699 | SH | SOLE | 43,699 | 0 | 0 | ||
FIFTH STR ASSET MGMT INC | CL A COM | 31679P109 | 3,522 | 726,266 | SH | SOLE | 726,266 | 0 | 0 | ||
FINTECH ACQUISITION CORP II | *W EXP 01/19/202 | 31810G117 | 75 | 62,501 | SH | SOLE | 62,501 | 0 | 0 | ||
FINTECH ACQUISITION CORP II | COM | 31810G109 | 1,225 | 125,002 | SH | SOLE | 125,002 | 0 | 0 | ||
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 4,649 | 399,086 | SH | SOLE | 399,086 | 0 | 0 | ||
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 2,962 | 171,784 | SH | SOLE | 171,784 | 0 | 0 | ||
FIRST TR STRATEGIC HIGH INC | COM SHS NEW | 337353304 | 1,176 | 86,179 | SH | SOLE | 86,179 | 0 | 0 | ||
FORUM MERGER CORP | *W EXP 06/01/202 | 34985B111 | 34 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
FORUM MERGER CORP | COM CL A | 34985B103 | 1,942 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
FORUM MERGER CORP | RIGHT 06/01/2019 | 34985B129 | 70 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
GARRISON CAP INC | COM | 366554103 | 7,211 | 873,045 | SH | SOLE | 873,045 | 0 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 1,388 | 135,242 | SH | SOLE | 135,242 | 0 | 0 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 8,998 | 261,955 | SH | SOLE | 261,955 | 0 | 0 | ||
GREAT ELM CAP CORP | COM | 390320109 | 4,233 | 166,870 | SH | SOLE | 166,870 | 0 | 0 | ||
GTY TECHNOLOGY HOLDINGS INC | *W EXP 99/99/999 | G4182A128 | 48 | 26,667 | SH | SOLE | 26,667 | 0 | 0 | ||
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 808 | 80,001 | SH | SOLE | 80,001 | 0 | 0 | ||
HENNESSY CAP ACQUSTON CORP I | UNIT 06/15/2024 | 42588L204 | 2,262 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
HUNTER MARITIME ACQUISITION | *W EXP 99/99/999 | Y37828129 | 23 | 75,001 | SH | SOLE | 75,001 | 0 | 0 | ||
HUNTER MARITIME ACQUISITION | UNIT 99/99/9999 | Y37828103 | 1,484 | 150,002 | SH | SOLE | 150,002 | 0 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 24,460 | 2,039,998 | SH | SOLE | 2,039,998 | 0 | 0 | ||
INVESCO HIGH INCOME TR II | COM | 46131F101 | 5,302 | 355,355 | SH | SOLE | 355,355 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 18,926 | 4,150,385 | SH | SOLE | 4,150,385 | 0 | 0 | ||
KBL MERGER CORP IV | UNIT 01/15/2024 | 48242A203 | 2,346 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
KOREA EQUITY FD INC | COM | 50063B104 | 344 | 48,903 | SH | SOLE | 48,903 | 0 | 0 | ||
LAZARD GLB TTL RET&INCM FD I | COM | 52106W103 | 3,123 | 190,947 | SH | SOLE | 190,947 | 0 | 0 | ||
LAZARD WORLD DIVID & INCOME | COM | 521076109 | 2,446 | 221,974 | SH | SOLE | 221,974 | 0 | 0 | ||
LEGG MASON BW GLB INC OPP FD | COM | 52469B100 | 25,517 | 1,928,716 | SH | SOLE | 1,928,716 | 0 | 0 | ||
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 29,471 | 5,206,962 | SH | SOLE | 5,206,962 | 0 | 0 | ||
LMP CAP & INCOME FD INC | COM | 50208A102 | 3,825 | 269,021 | SH | SOLE | 269,021 | 0 | 0 | ||
MADISON CVRED CALL & EQ STR | COM | 557437100 | 1,776 | 226,829 | SH | SOLE | 226,829 | 0 | 0 | ||
MADISON STRTG SECTOR PREM FD | COM | 558268108 | 722 | 59,946 | SH | SOLE | 59,946 | 0 | 0 | ||
MANAGED DURATION INVT GRD FU | COM | 56165R103 | 9,088 | 658,527 | SH | SOLE | 658,527 | 0 | 0 | ||
MATLIN & PARTNERS ACQUISITIO | CL A | 57682V106 | 1,448 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
MATLIN & PARTNERS ACQUISITIO | *W EXP 03/15/202 | 57682V114 | 75 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 7,014 | 811,837 | SH | SOLE | 811,837 | 0 | 0 | ||
MFS INVT GRADE MUN TR | SH BEN INT | 59318B108 | 1,183 | 116,646 | SH | SOLE | 116,646 | 0 | 0 | ||
MFS MULTIMARKET INCOME TR | SH BEN INT | 552737108 | 6,423 | 1,035,979 | SH | SOLE | 1,035,979 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | UNIT 99/99/9999 | 60765P202 | 2,360 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 13,107 | 1,652,807 | SH | SOLE | 1,652,807 | 0 | 0 | ||
MORGAN STANLEY EMER MKTS DEB | COM | 61744H105 | 6,453 | 652,520 | SH | SOLE | 652,520 | 0 | 0 | ||
MORGAN STANLEY TRUSTS | INCOME SECS INC | 61745P874 | 4,198 | 230,385 | SH | SOLE | 230,385 | 0 | 0 | ||
MVC CAPITAL INC | COM | 553829102 | 533 | 54,023 | SH | SOLE | 54,023 | 0 | 0 | ||
NATIONAL ENERGY SERVICES REU | SHS | G6375R107 | 2,197 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
NATIONAL ENERGY SERVICES REU | *W EXP 05/05/202 | G6375R115 | 92 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
NEUBERGER BERMAN HGH YLD FD | COM | 64128C106 | 6,098 | 512,883 | SH | SOLE | 512,883 | 0 | 0 | ||
NEXPOINT CR STRATEGIES FD | COM NEW | 65340G205 | 11,197 | 514,095 | SH | SOLE | 514,095 | 0 | 0 | ||
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 4,650 | 306,942 | SH | SOLE | 306,942 | 0 | 0 | ||
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 51,694 | 3,776,010 | SH | SOLE | 3,776,010 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 32,894 | 3,820,388 | SH | SOLE | 3,820,388 | 0 | 0 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 9,832 | 582,784 | SH | SOLE | 582,784 | 0 | 0 | ||
NUVEEN INT DUR QUAL MUN TRM | COM | 670677103 | 5,267 | 406,390 | SH | SOLE | 406,390 | 0 | 0 | ||
NUVEEN MTG OPPORTUNITY TERM | COM | 670735109 | 12,267 | 478,974 | SH | SOLE | 478,974 | 0 | 0 | ||
NUVEEN MTG OPPTY TERM FD 2 | COM | 67074R100 | 7,869 | 320,135 | SH | SOLE | 320,135 | 0 | 0 | ||
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 3,017 | 290,354 | SH | SOLE | 290,354 | 0 | 0 | ||
NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 | 28,904 | 2,058,689 | SH | SOLE | 2,058,689 | 0 | 0 | ||
OHA INVT CORP | COM | 67091U102 | 2,900 | 2,283,394 | SH | SOLE | 2,283,394 | 0 | 0 | ||
PACHOLDER HIGH YIELD FD INC | COM | 693742108 | 2,791 | 350,628 | SH | SOLE | 350,628 | 0 | 0 | ||
PACIFIC SPL ACQUISITION CORP | SHS | G68588105 | 4,993 | 487,131 | SH | SOLE | 487,131 | 0 | 0 | ||
POWERSHARES ETF TR II | EMER MRKT PORT | 73936T763 | 6,105 | 307,565 | SH | SOLE | 307,565 | 0 | 0 | ||
POWERSHARES ETF TRUST | FTSE RAFI 1000 | 73935X583 | 10,402 | 100,632 | SH | SOLE | 100,632 | 0 | 0 | ||
PRUDENTIAL GLB SHT DUR HG YL | COM | 74433A109 | 24,112 | 1,622,642 | SH | SOLE | 1,622,642 | 0 | 0 | ||
PRUDENTIAL SHT DURATION HG Y | COM | 74442F107 | 1,646 | 107,810 | SH | SOLE | 107,810 | 0 | 0 | ||
ROSEHILL RES INC | *W EXP 09/16/202 | 777385113 | 132 | 119,700 | SH | SOLE | 119,700 | 0 | 0 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 6,635 | 767,098 | SH | SOLE | 767,098 | 0 | 0 | ||
ROYCE VALUE TR INC | COM | 780910105 | 18,854 | 1,292,289 | SH | SOLE | 1,292,289 | 0 | 0 | ||
SOURCE CAP INC | COM | 836144105 | 683 | 17,663 | SH | SOLE | 17,663 | 0 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 2,798 | 184,110 | SH | SOLE | 184,110 | 0 | 0 | ||
SPECIAL OPPORTUNITIES FD INC | PFD CONV SE B | 84741T302 | 4,878 | 191,280 | SH | SOLE | 191,280 | 0 | 0 | ||
SPROTT FOCUS TR INC | COM | 85208J109 | 9,353 | 1,269,066 | SH | SOLE | 1,269,066 | 0 | 0 | ||
STELLAR ACQUISITION III INC | COM | Y8172W107 | 2,009 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
STELLAR ACQUISITION III INC | *W EXP 03/22/202 | Y8172W115 | 64 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
SWISS HELVETIA FD INC | COM | 870875101 | 6,338 | 499,070 | SH | SOLE | 499,070 | 0 | 0 | ||
TCG BDC INC | COM | 872280102 | 5,676 | 315,143 | SH | SOLE | 315,143 | 0 | 0 | ||
TEMPLETON EMERG MKTS INCOME | COM | 880192109 | 15,812 | 1,409,308 | SH | SOLE | 1,409,308 | 0 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 24,898 | 3,705,081 | SH | SOLE | 3,705,081 | 0 | 0 | ||
TRI CONTL CORP | COM | 895436103 | 10,305 | 423,202 | SH | SOLE | 423,202 | 0 | 0 | ||
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 2,994 | 135,594 | SH | SOLE | 135,594 | 0 | 0 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 11,917 | 291,859 | SH | SOLE | 291,859 | 0 | 0 | ||
VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 5,217 | 126,277 | SH | SOLE | 126,277 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 13,718 | 2,549,841 | SH | SOLE | 2,549,841 | 0 | 0 | ||
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 5,330 | 622,705 | SH | SOLE | 622,705 | 0 | 0 | ||
WELLS FARGO MULTI SECTOR INC | COM | 94987D101 | 2,558 | 191,588 | SH | SOLE | 191,588 | 0 | 0 | ||
WESTERN ASSET CLYM INFL OPP | COM | 95766R104 | 20,655 | 1,874,312 | SH | SOLE | 1,874,312 | 0 | 0 | ||
WESTERN ASSET CLYM INFL SEC | COM SH BEN INT | 95766Q106 | 5,783 | 511,801 | SH | SOLE | 511,801 | 0 | 0 | ||
WESTERN ASSET EMRG MKT DEBT | COM | 95766A101 | 65,705 | 4,219,986 | SH | SOLE | 4,219,986 | 0 | 0 | ||
WESTERN ASSET GLB HI INCOME | COM | 95766B109 | 21,760 | 2,162,978 | SH | SOLE | 2,162,978 | 0 | 0 | ||
WESTERN ASSET GLOBAL CP DEFI | COM | 95790C107 | 2,900 | 162,856 | SH | SOLE | 162,856 | 0 | 0 | ||
WESTERN ASSET HGH YLD DFNDFD | COM | 95768B107 | 12,448 | 814,688 | SH | SOLE | 814,688 | 0 | 0 | ||
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 40,051 | 7,899,617 | SH | SOLE | 7,899,617 | 0 | 0 | ||
ZWEIG FD | COM NEW | 989834205 | 8,072 | 659,493 | SH | SOLE | 659,493 | 0 | 0 |