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Bulldog Investors Portfolio holdings

AUM $445M
1-Year Est. Return 2.14%
This Fund
S&P 500
This Quarter Est. Return
-6.39%
1 Year Est. Return
+2.14%
3 Year Est. Return
+20.34%
5 Year Est. Return
+20.45%
10 Year Est. Return
+75.67%
AUM
$158M
AUM Growth
-$38.3M
Cap. Flow
-$45.8M
Cap. Flow %
-28.96%
Top 10 Hldgs %
72.6%
Holding
77
New
20
Increased
4
Reduced
13
Closed
19

Top Buys

Rank Stock Value
1
SWZ
Swiss Helvetia Fund
SWZ
+$10.9M
2
LCM
Advent/Claymore Enhanced Gth & F
LCM
+$7.62M
3
GDEF
GLOBAL DEFENSE & NATIONAL SECURITY SYSTEMS INC COM
GDEF
+$3.71M
4
HYF
MANAGED HIGH YLD PLUS FD INC
HYF
+$2.6M
5
GYRO icon
Gyrodyne
GYRO
+$2.2M

Top Sells

Rank Stock Value
1
CTF
Nuveen Long/Short Commodity Fd
CTF
+$12.3M
2
GAM
General American Investors Company
GAM
+$9.27M
3
GHI
GLOBAL HIGH INCOME FUND INC.
GHI
+$8.36M
4
TSRE
TRADE STREET RESIDENTIAL, INC. COMMON STOCK
TSRE
+$6.51M
5
USA icon
Liberty All-Star Equity Fund
USA
+$5.05M

Sector Composition

Rank Sector Weight
1 Real Estate 6.87%
2 Financials 6.09%
3 Energy 1.26%
4 Industrials 0.35%
5 Consumer Discretionary 0.22%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GDL
26
GDL Fund
GDL
$91.9M
$639K 0.4%
65,202
+1,951
+3% +$19.7K
ECF
27
Ellsworth Growth & Income Fund
ECF
$173M
$516K 0.33%
65,922
-4,600
-7% -$39.1K
RVT icon
28
Royce Value Trust
RVT
$2.29B
$392K 0.25%
+34,100
New +$433K
XELA
29
DELISTED
Exela Technologies, Inc. Common Stock
XELA
$389K 0.25%
+3
New +$356K
SBY
30
DELISTED
Silver Bay Realty Trust Corp.
SBY
$383K 0.24%
+23,931
New +$389K
CACQ
31
DELISTED
Caesars Acquisition Company
CACQ
$351K 0.22%
+49,458
New +$352K
AOD
32
abrdn Total Dynamic Dividend Fund
AOD
$1.14B
$274K 0.17%
36,500
– –
QPACU
33
DELISTED
Quinpario Acquisition Corp. 2 Unit
QPACU
$263K 0.17%
25,611
-39,389
-61% -$407K
JGH icon
34
Nuveen Global High Income Fund
JGH
$356M
$230K 0.15%
+15,975
New +$250K
JTPY
35
DELISTED
JetPay Corporation
JTPY
$215K 0.14%
77,698
-4,541
-6% -$13.2K
PANL icon
36
Pangaea Logistics
PANL
$479M
$168K 0.11%
54,345
-13,549
-20% -$44.1K
CMK
37
DELISTED
MFS HIGH INCOME MUNI TR I
CMK
$78K 0.05%
+9,046
New +$77.8K
RSO
38
DELISTED
Resource Capital Corp.
RSO
$56K 0.04%
5,000
– –
DDF
39
DELISTED
Delaware Investments Dividend & Income Fund, Inc.
DDF
$36K 0.02%
4,317
-57,669
-93% -$529K
DELTW
40
DELISTED
Delta Technology Holdings Ltd.
DELTW
$8K 0.01%
120,231
– –
WHLRW
41
DELISTED
Wheeler Real Estate Investment Trust, Inc. Warrants
WHLRW
$2K ﹤0.01%
23,000
-25,000
-52% -$1.64K
CIF
42
DELISTED
MFS Intermediate High Income Fund
CIF
– –
-92,276
Closed -$245K
IRT icon
43
Independence Realty Trust
IRT
$3.94B
– –
-100,000
Closed -$753K
KRNY icon
44
Kearny Financial
KRNY
$595M
– –
-60,000
Closed -$670K
NRO
45
Neuberger Real Estate Securities Income Fund Inc
NRO
$189M
– –
-983,214
Closed -$4.45M
WHLR
46
Wheeler Real Estate Investment Trust
WHLR
$390K
– –
0
– -$4.47M
MSP
47
DELISTED
Madison Strategic Sector
MSP
– –
-48,074
Closed -$562K
OAKS
48
DELISTED
Five Oaks Investment Corp.
OAKS
– –
-50,107
Closed -$418K
CTF
49
DELISTED
Nuveen Long/Short Commodity Fd
CTF
– –
-745,451
Closed -$12.3M
CADT
50
DELISTED
DT ASIA INVESTMENTS LIMITED ORDINARY SHARES
CADT
– –
-270,000
Closed -$2.67M
1
2
3

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RWM
Rialto Wealth Management Syracuse, New York $445M AUM 15.58% 1-Year Est. Return
SGCM
Sand Grove Capital Management London, United Kingdom $444M AUM 131.11% 1-Year Est. Return
WCP
Welch Capital Partners Harrison, New York $444M AUM 21.45% 1-Year Est. Return
FWSM
First Wilshire Securities Management Pasadena, California $444M AUM 42.88% 1-Year Est. Return
TC
TownSquare Capital Provo, Utah $444M AUM 24.03% 1-Year Est. Return
CMP
Coston McIsaac & Partners Bar Harbor, Maine $443M AUM 6.68% 1-Year Est. Return
AC
Almitas Capital Santa Monica, California $443M AUM 42.36% 1-Year Est. Return
HBT
Heartland Bank & Trust Bloomington, Illinois $442M AUM 28.29% 1-Year Est. Return

Bulldog Investors's Q3 2015 Portfolio in Review

As of Q3 2015, Bulldog Investors held 77 positions worth $158M, down 20% from $196M the previous quarter. Its ten largest holdings account for 73% of the portfolio.

Bulldog Investors withdrew a net $45.8M in Q3 2015, closing 19 positions and reducing 13 holdings. Its most notable exit was Nuveen Long/Short Commodity Fd, an estimated $12.3M position sold in full.

By sector, the portfolio is most concentrated in Real Estate at 6.9% of assets, up from 6.5% a quarter earlier, followed by Financials and Energy.

Against the trend, Bulldog Investors opened a new position in Swiss Helvetia Fund worth $10.4M.

  • Bulldog Investors's largest Q3 2015 buy was Swiss Helvetia Fund: 957,239 shares worth $10.4M.
  • Bulldog Investors added most to Advent/Claymore Enhanced Gth & F in Q3 2015, an estimated $7.62M increase.
  • Bulldog Investors's biggest Q3 2015 reduction was General American Investors Company, cutting an estimated $9.27M.
  • Bulldog Investors fully exited Nuveen Long/Short Commodity Fd in Q3 2015, selling an estimated $12.3M.
  • Bulldog Investors's ten largest holdings make up 73% of its $158M portfolio in Q3 2015.
  • Bulldog Investors opened 20 new positions and closed 19 in Q3 2015.
  • Bulldog Investors's portfolio value fell 20% quarter-over-quarter to $158M.

Based on Bulldog Investors's 13F filing for Q3 2015, filed 12 Nov 2015.