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 | 444 | 104,972 | SH | SOLE | 102,881 | 0 | 2,091 | ||
ABERDEEN GLOBAL DYNAMIC DIVI | COM | 00302M106 | 2,481 | 262,008 | SH | SOLE | 248,354 | 0 | 13,654 | ||
ABERDEEN GLOBAL INCOME FD IN | COM | 003013109 | 784 | 96,471 | SH | SOLE | 86,740 | 0 | 9,731 | ||
ABERDEEN INCOME CR STRATEGIE | COM | 003057106 | 1,434 | 118,288 | SH | SOLE | 97,352 | 0 | 20,936 | ||
ABERDEEN TOTAL DYNAMIC DIVD | COM SH BEN INT | 00326L100 | 602 | 72,957 | SH | SOLE | 72,957 | 0 | 0 | ||
ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 | 2,575 | 178,326 | SH | SOLE | 159,359 | 0 | 18,967 | ||
ALLIANZGI CON INCM 2024 TARG | COM | 01883H102 | 2,731 | 303,399 | SH | SOLE | 256,720 | 0 | 46,679 | ||
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 1,780 | 147,612 | SH | SOLE | 143,585 | 0 | 4,027 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 696 | 46,922 | SH | SOLE | 42,379 | 0 | 4,543 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 4,112 | 279,887 | SH | SOLE | 250,808 | 0 | 29,079 | ||
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 3,580 | 241,270 | SH | SOLE | 218,933 | 0 | 22,337 | ||
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 800 | 78,000 | SH | SOLE | 65,184 | 0 | 12,816 | ||
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 1,851 | 172,685 | SH | SOLE | 167,078 | 0 | 5,607 | ||
BLACKROCK ENH CAP & INC FD I | COM | 09256A109 | 3,166 | 200,770 | SH | SOLE | 180,602 | 0 | 20,168 | ||
BLACKROCK ENHANCED EQT DIV T | COM | 09251A104 | 5,310 | 621,058 | SH | SOLE | 561,255 | 0 | 59,803 | ||
BLACKROCK ENHANCED GBL DIV T | COM | 092501105 | 1,437 | 134,329 | SH | SOLE | 128,776 | 0 | 5,553 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 2,172 | 173,736 | SH | SOLE | 151,208 | 0 | 22,528 | ||
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 1,539 | 126,028 | SH | SOLE | 119,870 | 0 | 6,158 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 1,147 | 78,057 | SH | SOLE | 75,507 | 0 | 2,550 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 3,434 | 207,005 | SH | SOLE | 191,442 | 0 | 15,563 | ||
BLACKSTONE GSO FLTING RTE FU | COM | 09256U105 | 959 | 58,416 | SH | SOLE | 40,996 | 0 | 17,420 | ||
BLACKSTONE GSO STRATEGIC CR | COM SHS BEN IN | 09257R101 | 1,800 | 126,347 | SH | SOLE | 117,902 | 0 | 8,445 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 2,362 | 219,150 | SH | SOLE | 212,897 | 0 | 6,253 | ||
BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 112830104 | 4,210 | 194,711 | SH | SOLE | 173,271 | 0 | 21,440 | ||
CALAMOS CONV & HIGH INCOME F | COM SHS | 12811P108 | 1,612 | 148,571 | SH | SOLE | 141,687 | 0 | 6,884 | ||
CALAMOS CONV OPP AND INC FD | SH BEN INT | 128117108 | 1,791 | 176,526 | SH | SOLE | 167,325 | 0 | 9,201 | ||
CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 128125101 | 1,662 | 134,103 | SH | SOLE | 127,471 | 0 | 6,632 | ||
CENTRAL SECS CORP | COM | 155123102 | 7,515 | 262,309 | SH | SOLE | 249,582 | 0 | 12,727 | ||
CHINA FD INC | COM | 169373107 | 873 | 42,857 | SH | SOLE | 36,965 | 0 | 5,892 | ||
CLOUGH GLOBAL DIVND AND INC | COM | 18913Y103 | 2,627 | 236,637 | SH | SOLE | 227,888 | 0 | 8,749 | ||
COHEN & STEERS CLOSED END OP | COM | 19248P106 | 2,043 | 165,313 | SH | SOLE | 148,908 | 0 | 16,405 | ||
COHEN & STEERS GLOBAL INC BL | COM | 19248M103 | 175 | 20,498 | SH | SOLE | 17,509 | 0 | 2,989 | ||
COLUMBIA SELIGM PREM TECH GR | COM | 19842X109 | 314 | 15,614 | SH | SOLE | 15,173 | 0 | 441 | ||
CREDIT SUISSE ASSET MGMT INC | COM | 224916106 | 170 | 54,793 | SH | SOLE | 47,363 | 0 | 7,430 | ||
DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 551 | 57,000 | SH | SOLE | 44,038 | 0 | 12,962 | ||
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 245 | 12,281 | SH | SOLE | 11,795 | 0 | 486 | ||
DOUBLELINE OPPORTUNISTIC CR | COM | 258623107 | 2,712 | 134,233 | SH | SOLE | 113,446 | 0 | 20,787 | ||
DREYFUS ALCENTRA GBL CR INCO | COM | 26189A105 | 2,408 | 273,230 | SH | SOLE | 227,007 | 0 | 46,223 | ||
DREYFUS HIGH YIELD STRATEGIE | SH BEN INT | 26200S101 | 481 | 156,622 | SH | SOLE | 139,846 | 0 | 16,776 | ||
EATON VANCE ENHANCED EQ INC | COM | 278274105 | 920 | 64,058 | SH | SOLE | 63,119 | 0 | 939 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 305 | 20,622 | SH | SOLE | 18,376 | 0 | 2,246 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 268 | 20,310 | SH | SOLE | 20,310 | 0 | 0 | ||
EATON VANCE HIGH INCOME 2021 | COM SH BEN INT | 27829W101 | 391 | 40,234 | SH | SOLE | 40,234 | 0 | 0 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 1,422 | 112,419 | SH | SOLE | 95,196 | 0 | 17,223 | ||
EATON VANCE SH TM DR DIVR IN | COM | 27828V104 | 1,028 | 79,282 | SH | SOLE | 75,786 | 0 | 3,496 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 666 | 51,167 | SH | SOLE | 48,877 | 0 | 2,290 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 248 | 40,280 | SH | SOLE | 35,821 | 0 | 4,459 | ||
EATON VANCE TAX ADVT DIV INC | COM | 27828G107 | 5,870 | 263,351 | SH | SOLE | 245,144 | 0 | 18,207 | ||
EATON VANCE TAX MNGD GBL DV | COM | 27829F108 | 1,705 | 209,485 | SH | SOLE | 209,485 | 0 | 0 | ||
EATON VANCE TX ADV GLBL DIV | COM | 27828S101 | 6,537 | 420,635 | SH | SOLE | 373,307 | 0 | 47,328 | ||
EATON VANCE TX MGD DIV EQ IN | COM | 27828N102 | 580 | 51,290 | SH | SOLE | 44,237 | 0 | 7,053 | ||
EATON VANCE TXMGD GL BUYWR O | COM | 27829C105 | 3,225 | 330,058 | SH | SOLE | 302,311 | 0 | 27,747 | ||
ELLSWORTH GRWTH AND INCOME L | COM | 289074106 | 551 | 57,375 | SH | SOLE | 49,226 | 0 | 8,149 | ||
EUROPEAN EQUITY FUND | COM | 298768102 | 2,792 | 320,697 | SH | SOLE | 303,828 | 0 | 16,869 | ||
FIRST TR ABERDEEN GLBL OPP F | COM SHS | 337319107 | 254 | 25,322 | SH | SOLE | 25,322 | 0 | 0 | ||
FIRST TR ENHANCED EQTY INC F | COM | 337318109 | 2,425 | 161,342 | SH | SOLE | 153,078 | 0 | 8,264 | ||
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 526 | 36,021 | SH | SOLE | 34,375 | 0 | 1,646 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 1,989 | 168,305 | SH | SOLE | 141,126 | 0 | 27,179 | ||
FIRST TR SR FLOATING RATE 20 | COM SHS | 33740K101 | 673 | 76,991 | SH | SOLE | 75,993 | 0 | 998 | ||
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 1,164 | 120,865 | SH | SOLE | 113,666 | 0 | 7,199 | ||
FRANKLIN UNVL TR | SH BEN INT | 355145103 | 321 | 45,577 | SH | SOLE | 42,818 | 0 | 2,759 | ||
GABELLI CONV&INCOM SECS FD I | COM | 36240B109 | 670 | 128,757 | SH | SOLE | 128,757 | 0 | 0 | ||
GABELLI DIVD & INCOME TR | COM | 36242H104 | 7,319 | 343,923 | SH | SOLE | 320,852 | 0 | 23,071 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 2,711 | 81,392 | SH | SOLE | 78,327 | 0 | 3,065 | ||
GUGGENHEIM ENHNCD EQTY INCM | COM | 40167B100 | 1,598 | 203,271 | SH | SOLE | 187,503 | 0 | 15,768 | ||
HANCOCK JOHN INV TRUST | TAX ADV GLB SH | 41013P749 | 864 | 126,141 | SH | SOLE | 112,566 | 0 | 13,575 | ||
HANCOCK JOHN INVS TR | COM | 410142103 | 3,128 | 198,354 | SH | SOLE | 184,304 | 0 | 14,050 | ||
HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 878 | 150,081 | SH | SOLE | 144,770 | 0 | 5,311 | ||
IVY HIGH INC OPPORTUNITIES F | COM | 465893105 | 1,764 | 130,473 | SH | SOLE | 124,835 | 0 | 5,638 | ||
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 2,117 | 136,760 | SH | SOLE | 122,944 | 0 | 13,816 | ||
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 5,089 | 832,875 | SH | SOLE | 766,732 | 0 | 66,143 | ||
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 1,464 | 185,348 | SH | SOLE | 170,500 | 0 | 14,848 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 731 | 192,497 | SH | SOLE | 182,550 | 0 | 9,947 | ||
MFS INTERMEDIATE HIGH INC FD | SH BEN INT | 59318T109 | 624 | 244,719 | SH | SOLE | 233,040 | 0 | 11,679 | ||
MFS MULTIMARKET INCOME TR | SH BEN INT | 552737108 | 711 | 125,210 | SH | SOLE | 115,328 | 0 | 9,882 | ||
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 601 | 25,758 | SH | SOLE | 24,236 | 0 | 1,522 | ||
NEW GERMANY FD INC | COM | 644465106 | 2,097 | 149,981 | SH | SOLE | 144,418 | 0 | 5,563 | ||
NEW IRELAND FUND INC | COM | 645673104 | 986 | 109,392 | SH | SOLE | 86,907 | 0 | 22,485 | ||
NUVEEN CORE EQUITY ALPHA FUN | COM | 67090X107 | 6,335 | 450,562 | SH | SOLE | 429,414 | 0 | 21,148 | ||
NUVEEN DIVERSIFIED DIV INCM | COM | 6706EP105 | 1,189 | 114,742 | SH | SOLE | 114,742 | 0 | 0 | ||
NUVEEN DOW 30 DYN OVERWRITE | SHS | 67075F105 | 185 | 10,253 | SH | SOLE | 9,938 | 0 | 315 | ||
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 486 | 50,465 | SH | SOLE | 44,653 | 0 | 5,812 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 823 | 85,773 | SH | SOLE | 82,366 | 0 | 3,407 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 419 | 27,631 | SH | SOLE | 25,917 | 0 | 1,714 | ||
NUVEEN REAL ASSET INM AND GW | COM | 67074Y105 | 297 | 18,500 | SH | SOLE | 16,186 | 0 | 2,314 | ||
NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 877 | 66,433 | SH | SOLE | 65,614 | 0 | 819 | ||
NUVEEN TAX ADVANTAGED DIV GR | COM | 67073G105 | 4,509 | 280,734 | SH | SOLE | 252,429 | 0 | 28,305 | ||
NUVEEN TX ADV TOTAL RET STRG | COM | 67090H102 | 6,037 | 524,926 | SH | SOLE | 493,263 | 0 | 31,663 | ||
PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 193 | 13,620 | SH | SOLE | 13,620 | 0 | 0 | ||
PIMCO INCOME STRATEGY FUND | COM | 72201H108 | 898 | 78,296 | SH | SOLE | 74,701 | 0 | 3,595 | ||
PIMCO INCOME STRATEGY FUND I | COM | 72201J104 | 2,343 | 227,736 | SH | SOLE | 199,887 | 0 | 27,849 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 1,566 | 150,537 | SH | SOLE | 119,161 | 0 | 31,376 | ||
PIONEER HIGH INCOME TR | COM | 72369H106 | 183 | 20,447 | SH | SOLE | 20,447 | 0 | 0 | ||
PUTNAM PREMIER INCOME TR | SH BEN INT | 746853100 | 184 | 35,719 | SH | SOLE | 35,719 | 0 | 0 | ||
RIVERNORTH DOUBLELINE STRATE | COM | 76882G107 | 315 | 19,235 | SH | SOLE | 12,924 | 0 | 6,311 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 2,335 | 280,270 | SH | SOLE | 258,192 | 0 | 22,078 | ||
ROYCE VALUE TR INC | COM | 780910105 | 3,820 | 277,644 | SH | SOLE | 249,854 | 0 | 27,790 | ||
SOURCE CAP INC | COM | 836144105 | 4,184 | 116,209 | SH | SOLE | 109,203 | 0 | 7,006 | ||
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 5,244 | 390,154 | SH | SOLE | 374,473 | 0 | 15,681 | ||
SPECIAL OPPORTUNITIES FD INC | PFD CONV SE B | 84741T302 | 839 | 33,482 | SH | SOLE | 30,473 | 0 | 3,009 | ||
SPROTT FOCUS TR INC | COM | 85208J109 | 752 | 109,849 | SH | SOLE | 108,211 | 0 | 1,638 | ||
TAIWAN FD INC | COM | 874036106 | 224 | 12,500 | SH | SOLE | 12,500 | 0 | 0 | ||
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 422 | 20,529 | SH | SOLE | 19,477 | 0 | 1,052 | ||
TEMPLETON DRAGON FD INC | COM | 88018T101 | 736 | 37,014 | SH | SOLE | 37,014 | 0 | 0 | ||
THL CR SR LN FD | COM | 87244R103 | 293 | 19,058 | SH | SOLE | 19,058 | 0 | 0 | ||
VIRTUS GLOBAL MULTI-SEC INC | COM | 92829B101 | 1,138 | 92,880 | SH | SOLE | 79,093 | 0 | 13,787 | ||
VOYA ASIA PAC DIVID EQUITY I | COM | 92912J102 | 341 | 36,400 | SH | SOLE | 22,423 | 0 | 13,977 | ||
VOYA EMERGING MKTS HIGH DIVI | COM | 92912P108 | 399 | 50,136 | SH | SOLE | 50,136 | 0 | 0 | ||
VOYA GLBL ADV & PREM OPP FD | COM | 92912R104 | 2,004 | 185,697 | SH | SOLE | 183,273 | 0 | 2,424 | ||
VOYA GLBL EQTY DIV & PREM OP | COM | 92912T100 | 175 | 27,000 | SH | SOLE | 10,557 | 0 | 16,443 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 229 | 48,000 | SH | SOLE | 48,000 | 0 | 0 | ||
WELLS FARGO GLOBAL DIVIDEND | COM | 94987C103 | 381 | 72,765 | SH | SOLE | 72,765 | 0 | 0 | ||
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 1,197 | 151,891 | SH | SOLE | 132,019 | 0 | 19,872 | ||
WELLS FARGO MULTI SECTOR INC | COM | 94987D101 | 578 | 47,806 | SH | SOLE | 36,302 | 0 | 11,504 | ||
WESTERN ASSET HGH YLD DFNDFD | COM | 95768B107 | 512 | 34,687 | SH | SOLE | 34,687 | 0 | 0 | ||
WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | 182 | 37,761 | SH | SOLE | 25,811 | 0 | 11,950 | ||
WESTERN ASSET VAR RT STRG FD | COM | 957667108 | 339 | 21,263 | SH | SOLE | 19,323 | 0 | 1,940 | ||
XAI OCTAGON FLOATNG RATE ALT | COM | 98400T106 | 448 | 51,588 | SH | SOLE | 48,568 | 0 | 3,020 |