13F-HR filed by RIVERNORTH CAPITAL MANAGEMENT, LLC
RIVERNORTH CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 188 holding rows worth $950,374,000.
- Accession
- 0000913849-13-000316
- Filer
- CIK 1447578
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 188 entries on the cover page, a total value of $950,374,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $950,372,000 with VALUE read as thousands by filing date, 13F file number 028-13256. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 3,204,313 | $41,784,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 1,199,590 | $34,416,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 374,942 | $28,061,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 1,688,887 | $27,208,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 1,159,268 | $25,794,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 336,568 | $25,408,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 3,411,821 | $24,019,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 1,806,571 | $22,383,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 2,066,792 | $22,342,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 3,732,791 | $20,194,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,070,482 | $19,611,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908413 | S&P 500 ETF SH | 252,763 | $19,463,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 1,486,045 | $19,125,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 1,855,179 | $18,700,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 2,744,144 | $16,630,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 1,127,468 | $15,897,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 1,120,255 | $15,672,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 376,375 | $15,106,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 1,417,093 | $14,851,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 809,368 | $14,609,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 3,453,483 | $13,883,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 1,015,666 | $13,305,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 788,757 | $13,149,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 1,714,410 | $13,115,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 983,161 | $12,830,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 1,245,405 | $12,703,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 328,604 | $11,219,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 2,093,256 | $11,011,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 631,506 | $10,565,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 89,963 | $10,543,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 774,794 | $10,467,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 724,406 | $9,439,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 803,027 | $9,219,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 581,847 | $8,553,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 535,437 | $8,045,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 659,336 | $7,952,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 417,817 | $7,759,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 407,622 | $7,252,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 431,822 | $7,211,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 634,890 | $7,200,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 605,036 | $7,000,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 331,670 | $6,594,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 464,860 | $6,578,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 262,817 | $6,576,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 513,869 | $6,567,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 774,512 | $6,320,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 488,052 | $6,115,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 280,071 | $6,106,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 525,157 | $6,092,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 875,525 | $6,085,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 742,362 | $5,664,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 311,980 | $5,637,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 171,648 | $5,565,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 136,978 | $5,422,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 369,613 | $5,226,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,288,657 | $5,077,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 583,932 | $5,069,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 183,632 | $5,048,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 247,540 | $5,025,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 111,000 | $5,017,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 289,657 | $4,924,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 296,684 | $4,661,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 228,770 | $4,546,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 614,038 | $4,436,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 822,469 | $4,219,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 354,632 | $4,149,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 213,822 | $4,022,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 363,431 | $4,009,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 406,996 | $3,980,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 212,626 | $3,942,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 159,146 | $3,651,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 469,405 | $3,614,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 197,229 | $3,538,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 148,541 | $3,391,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 442,824 | $3,330,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 141,885 | $3,070,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 182,928 | $3,053,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 123,415 | $2,932,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 213,125 | $2,741,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 213,138 | $2,698,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 213,513 | $2,684,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 150,872 | $2,646,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 224,288 | $2,631,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 105,453 | $2,581,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 324,718 | $2,562,000 | thousands by filing date | |
| WESTERN ASSET INFL MGMT FD I | 95766U107 | COM | 155,798 | $2,558,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 217,672 | $2,516,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 190,082 | $2,471,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 606,171 | $2,437,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 213,128 | $2,308,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 12,100 | $2,210,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 167,375 | $2,089,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 231,546 | $2,072,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 63,650 | $2,039,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 339,689 | $2,028,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 105,933 | $1,886,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 106,187 | $1,870,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 246,569 | $1,864,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 380,809 | $1,858,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 135,677 | $1,772,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 98,882 | $1,739,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 382,067 | $1,727,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 108,545 | $1,727,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 131,325 | $1,707,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 109,526 | $1,699,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 69,682 | $1,673,000 | thousands by filing date | |
| DWS | 23338W104 | EXCHANGE TRADED | 205,534 | $1,646,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 244,694 | $1,554,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 182,081 | $1,550,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 84,176 | $1,489,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 76,239 | $1,484,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 77,812 | $1,454,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 114,705 | $1,420,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 135,034 | $1,337,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 116,238 | $1,336,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 133,359 | $1,334,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 137,633 | $1,279,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 7,500 | $1,260,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 184,506 | $1,220,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550309 | CORPORATE OBLIG | 18,900 | $1,204,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 91,400 | $1,179,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 93,295 | $1,157,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 177,271 | $1,126,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 47,050 | $1,059,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 132,648 | $1,044,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 182,654 | $1,039,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 148,674 | $1,017,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 81,575 | $1,007,000 | thousands by filing date | |
| BLACKROCK SR HIGH INCOME FD | 09255T109 | COM | 243,706 | $960,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 174,144 | $939,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 89,961 | $926,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 60,150 | $917,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 72,602 | $910,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 93,512 | $889,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 71,932 | $888,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 71,707 | $886,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 77,973 | $880,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 74,738 | $872,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 48,304 | $803,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 52,860 | $783,000 | thousands by filing date | |
| BLACKROCK HIGH YIELD TR | 09248N102 | SHS | 109,655 | $759,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 22,827 | $730,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 52,800 | $730,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 51,000 | $701,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 341,936 | $684,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 42,477 | $601,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 33,907 | $591,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 53,850 | $577,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 33,713 | $561,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 295,005 | $558,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 120,141 | $557,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 27,100 | $539,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD FD V | 09255N102 | COM | 40,433 | $490,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 54,302 | $489,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 34,167 | $448,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 21,000 | $441,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 45,015 | $403,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 35,027 | $401,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 28,400 | $385,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 31,700 | $377,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 26,647 | $368,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 30,470 | $359,000 | thousands by filing date | |
| BLACKROCK DEFINED OPPRTY CR | 09255Q105 | COM | 25,086 | $351,000 | thousands by filing date | |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 40,911 | $349,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 82,979 | $344,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 23,125 | $330,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 8,100 | $322,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 35,528 | $322,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 17,711 | $320,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 28,891 | $302,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 20,745 | $282,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 19,899 | $281,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 19,338 | $274,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 17,516 | $271,000 | thousands by filing date | |
| BLACKROCK STRTGC BOND TR | 09249G106 | COM | 20,233 | $262,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 12,403 | $248,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 24,739 | $226,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 7,400 | $208,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 17,600 | $194,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 27,650 | $184,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 10,000 | $181,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 12,121 | $171,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 11,800 | $151,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 25,875 | $150,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 20,000 | $106,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 23,304 | $86,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 17,600 | $72,000 | thousands by filing date | |
| BLACKROCK | 09250E107 | EXCHANGE TRADED | 25,000 | $52,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000913849-13-000316 | this filing | 2013-11-14 | acceptance time not in the bulk data set |