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Bulldog Investors Portfolio holdings

AUM $455M
1-Year Est. Return 2.3%
This Fund
S&P 500
This Quarter Est. Return
-0.17%
1 Year Est. Return
+2.3%
3 Year Est. Return
+22.5%
5 Year Est. Return
+20.98%
10 Year Est. Return
+76.6%
AUM
$427M
AUM Growth
-$47.4M
Cap. Flow
-$38.8M
Cap. Flow %
-9.08%
Top 10 Hldgs %
57.52%
Holding
115
New
24
Increased
33
Reduced
23
Closed
25

Top Buys

Rank Stock Value
1
DCA
Virtus Total Return Fund
DCA
+$9.3M
2
JGV
NUVEEN GLOBAL EQUITY INCOME FUND
JGV
+$5.86M
3
FAV
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
+$4.92M
4
CTF
Nuveen Long/Short Commodity Fd
CTF
+$4.64M
5
ARWA
Arowana Inc.
ARWA
+$3.95M

Top Sells

Rank Stock Value
1
RIT
LMP REAL ESTATE INCOME FUND INC. COM
RIT
+$29.5M
2
SOR
Source Capital
SOR
+$7.73M
3
USA icon
Liberty All-Star Equity Fund
USA
+$6.42M
4
DRA
Diversified Real Asset Income Fd
DRA
+$4.93M
5
STEW
SRH Total Return Fund
STEW
+$4.16M

Sector Composition

Rank Sector Weight
1 Financials 45.67%
2 Miscellaneous 39.81%
3 Real Estate 9.2%
4 Industrials 3.75%
5 Consumer Staples 0.8%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FULL
26
DELISTED
Full Circle Capital Corporation
FULL
$4.22M 0.99%
1,650,429
-27,756
-2% -$64.8K
ARWA
27
DELISTED
Arowana Inc.
ARWA
$3.99M 0.93%
+400,000
New +$3.95M
SVVC
28
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
$3.45M 0.81%
459,400
-262,010
-36% -$1.89M
STEW
29
SRH Total Return Fund
STEW
$1.74B
$3.38M 0.79%
426,605
-575,327
-57% -$4.16M
BRQS
30
DELISTED
Borqs Technologies, Inc. Ordinary Shares
BRQS
$3M 0.7%
+1,563
New +$2.98M
SOR
31
Source Capital
SOR
$376M
$2.94M 0.69%
82,562
-129,271
-61% -$7.73M
NXG
32
NXG NextGen Infrastructure Income Fund
NXG
$401M
$2.94M 0.69%
52,534
+40,613
+341% +$2.1M
XRDC
33
DELISTED
Crossroads Capital, Inc
XRDC
$2.93M 0.69%
1,121,332
-5,009
-0.4% -$12.6K
CET
34
Central Securities Corp
CET
$1.65B
$2.64M 0.62%
+137,645
New +$2.48M
LMB icon
35
Limbach Holdings
LMB
$597M
$2.5M 0.58%
252,484
+175,884
+230% +$1.74M
FAM
36
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$2.2M 0.52%
201,338
+56,558
+39% +$574K
ADX icon
37
Adams Diversified Equity Fund
ADX
$3.21B
$2.12M 0.5%
166,914
-122
-0.1% -$1.47K
TRTL
38
DELISTED
Terrapin 3 Acquisition Corporation Class A
TRTL
$1.98M 0.46%
200,000
– –
SNAX
39
DELISTED
Stryve Foods, Inc. Class A Common Stock
SNAX
$1.98M 0.46%
+13,619
New +$1.96M
NYRT
40
DELISTED
New York REIT, Inc.
NYRT
$1.7M 0.4%
16,796
+4,500
+37% +$452K
CCN
41
DELISTED
CardConnect Corp.
CCN
$1.54M 0.36%
+153,399
New +$1.53M
TWNK
42
DELISTED
Hostess Brands, Inc. Class A Common Stock
TWNK
$1.45M 0.34%
+150,000
New +$1.45M
SGL
43
DELISTED
STRATEGIC GLOBAL INCOME FUND
SGL
$1.34M 0.31%
150,680
-1,967
-1% -$17.1K
BCV
44
Bancroft Fund
BCV
$134M
$1.26M 0.29%
69,976
-5,158
-7% -$88.6K
PCF
45
High Income Securities Fund
PCF
$99.8M
$1.14M 0.27%
156,060
+51,883
+50% +$363K
ECAC
46
DELISTED
E-compass Acquisition Corp. Ordinary Shares
ECAC
$1M 0.24%
+100,000
New +$998K
KEF
47
DELISTED
Korea Equity Fund
KEF
$897K 0.21%
+112,973
New +$797K
EQS icon
48
Equus Total Return
EQS
$13.1M
$794K 0.19%
497,162
-14,466
-3% -$22.9K
JFC
49
DELISTED
JPMorgan China Region Fund, Inc.
JFC
$787K 0.18%
+53,388
New +$714K
KRNY icon
50
Kearny Financial
KRNY
$610M
$741K 0.17%
60,000
– –
1
2
3 4

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LCG
Lisanti Capital Growth New York $455M AUM 218.66% 1-Year Est. Return
HFA
Highland Financial Advisors Wayne, New Jersey $455M AUM 22.51% 1-Year Est. Return
MC
Miramar Capital Northbrook, Illinois $455M AUM 15.58% 1-Year Est. Return
CFO
Colony Family Offices Charlotte, North Carolina $455M AUM 21.83% 1-Year Est. Return
PIM
Progressive Investment Management Lake Oswego, Oregon $454M AUM 46.56% 1-Year Est. Return
GA
GSG Advisors Mount Laurel, New Jersey $454M AUM 28.38% 1-Year Est. Return
MI
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NI
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Bulldog Investors's Q1 2016 Portfolio in Review

As of Q1 2016, Bulldog Investors held 115 positions worth $427M, down 10% from $474M the previous quarter. Its ten largest holdings account for 58% of the portfolio.

Bulldog Investors withdrew a net $38.8M in Q1 2016, closing 25 positions and reducing 23 holdings. Its most notable exit was LMP REAL ESTATE INCOME FUND INC. COM, an estimated $29.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 46% of assets, up from 37% a quarter earlier, followed by Miscellaneous and Real Estate.

Against the trend, Bulldog Investors opened a new position in Arowana Inc. worth $3.99M.

  • Bulldog Investors's largest Q1 2016 buy was Arowana Inc.: 400,000 shares worth $3.99M.
  • Bulldog Investors added most to Virtus Total Return Fund in Q1 2016, an estimated $9.3M increase.
  • Bulldog Investors's biggest Q1 2016 reduction was Source Capital, cutting an estimated $7.73M.
  • Bulldog Investors fully exited LMP REAL ESTATE INCOME FUND INC. COM in Q1 2016, selling an estimated $29.5M.
  • Bulldog Investors's ten largest holdings make up 58% of its $427M portfolio in Q1 2016.
  • Bulldog Investors opened 24 new positions and closed 25 in Q1 2016.
  • Bulldog Investors's portfolio value fell 10% quarter-over-quarter to $427M.

Based on Bulldog Investors's 13F filing for Q1 2016, filed 13 May 2016.