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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
-0.9%
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
$391M
AUM Growth
-$52.6M
Cap. Flow
-$48.1M
Cap. Flow %
-12.3%
Top 10 Hldgs %
54.05%
Holding
97
New
15
Increased
23
Reduced
11
Closed
17

Top Buys

Rank Stock Value
1
JOF
Japan Smaller Capitalization Fund
JOF
+$7.48M
2
CET
Central Securities Corp
CET
+$5.67M
3
GECC icon
Great Elm Capital Corp
GECC
+$5.1M
4
PCF
High Income Securities Fund
PCF
+$5.07M
5
DSU icon
BlackRock Debt Strategies Fund
DSU
+$3.68M

Top Sells

Rank Stock Value
1
JGV
NUVEEN GLOBAL EQUITY INCOME FUND
JGV
+$32.9M
2
FAV
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
+$20M
3
CTF
Nuveen Long/Short Commodity Fd
CTF
+$19.4M
4
CFD
Nuveen Diversified Commodity Fnd
CFD
+$5.64M
5
KHI
Deutsche High Income Trust
KHI
+$4.82M

Sector Composition

Rank Sector Weight
1 Financials 16.03%
2 Real Estate 8.05%
3 Industrials 4.44%
4 Technology 0.88%
5 Consumer Staples 0.64%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CIK
26
Credit Suisse Asset Management Income Fund
CIK
$134M
$4.23M 1.08%
1,339,089
+669,947
+100% +$2.07M
MACQU
27
DELISTED
M I Acquisitions, Inc. Unit
MACQU
$3.96M 1.01%
390,000
– –
DSU icon
28
BlackRock Debt Strategies Fund
DSU
$601M
$3.82M 0.98%
+336,619
New +$3.68M
STEW
29
SRH Total Return Fund
STEW
$1.82B
$3.81M 0.98%
426,605
– –
DEX
30
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
$3.12M 0.8%
+308,956
New +$3.01M
BRQS
31
DELISTED
Borqs Technologies, Inc. Ordinary Shares
BRQS
$3.1M 0.79%
1,563
– –
SGF
32
DELISTED
Aberdeen Singapore Fund
SGF
$2.64M 0.68%
305,070
+211,691
+227% +$1.91M
MIIIU
33
DELISTED
M III Acquisition Corp
MIIIU
$2.62M 0.67%
265,200
+100,200
+61% +$984K
AHPAU
34
DELISTED
Avista Healthcare Public Acquisition Corp.Units
AHPAU
$2.53M 0.65%
+250,000
New +$2.51M
XRDC
35
DELISTED
Crossroads Capital, Inc
XRDC
$2.39M 0.61%
1,121,332
+300
+0% +$535
IRL
36
DELISTED
NEW IRELAND FUND INC
IRL
$2.25M 0.58%
188,323
+174,338
+1,247% +$2.09M
APF
37
DELISTED
Morgan Stanley Asia Pacific Fund
APF
$2.24M 0.57%
105,971
+56,528
+114% +$799K
SVVC
38
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
$2.14M 0.55%
278,489
-36,552
-12% -$292K
ADX icon
39
Adams Diversified Equity Fund
ADX
$3.21B
$2.12M 0.54%
166,914
– –
SNAX
40
DELISTED
Stryve Foods, Inc. Class A Common Stock
SNAX
$2M 0.51%
13,419
– –
DDF
41
DELISTED
Delaware Investments Dividend & Income Fund, Inc.
DDF
$1.93M 0.49%
193,447
+179,398
+1,277% +$1.74M
HUNTU
42
DELISTED
Hunter Maritime Acquisition Corp. Unit
HUNTU
$1.92M 0.49%
+189,400
New +$1.89M
RVT icon
43
Royce Value Trust
RVT
$2.29B
$1.58M 0.41%
118,300
+30,000
+34% +$385K
GAM
44
General American Investors Company
GAM
$1.62B
$1.52M 0.39%
48,808
-140,451
-74% -$4.41M
GRR
45
DELISTED
Asia Tigers Fund
GRR
$1.32M 0.34%
144,450
+61,610
+74% +$586K
ECAC
46
DELISTED
E-compass Acquisition Corp. Ordinary Shares
ECAC
$1.02M 0.26%
100,000
– –
EQS icon
47
Equus Total Return
EQS
$16.1M
$999K 0.26%
497,162
– –
TGLS icon
48
Tecnoglass Holdings Inc.
TGLS
$1.84B
$891K 0.23%
72,748
– –
KMM
49
DELISTED
Deutsche Multi-Market Incm Trust
KMM
$855K 0.22%
100,341
+29,122
+41% +$246K
MSF
50
DELISTED
Morgan Stanley Emerging Mkts Fd
MSF
$739K 0.19%
+56,083
New +$770K
1
2
3 4

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SGCM
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WCP
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FWSM
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HBT
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Bulldog Investors's Q4 2016 Portfolio in Review

As of Q4 2016, Bulldog Investors held 97 positions worth $391M, down 12% from $444M the previous quarter. Its ten largest holdings account for 54% of the portfolio.

Bulldog Investors withdrew a net $48.1M in Q4 2016, closing 17 positions and reducing 11 holdings. Its most notable exit was NUVEEN GLOBAL EQUITY INCOME FUND, an estimated $32.9M position sold in full.

By sector, the portfolio is most concentrated in Financials at 16% of assets, down from 19% a quarter earlier, followed by Real Estate and Industrials.

Against the trend, Bulldog Investors opened a new position in Great Elm Capital Corp worth $5.49M.

  • Bulldog Investors's largest Q4 2016 buy was Great Elm Capital Corp: 78,343 shares worth $5.49M.
  • Bulldog Investors added most to Japan Smaller Capitalization Fund in Q4 2016, an estimated $7.48M increase.
  • Bulldog Investors's biggest Q4 2016 reduction was General American Investors Company, cutting an estimated $4.41M.
  • Bulldog Investors fully exited NUVEEN GLOBAL EQUITY INCOME FUND in Q4 2016, selling an estimated $32.9M.
  • Bulldog Investors's ten largest holdings make up 54% of its $391M portfolio in Q4 2016.
  • Bulldog Investors opened 15 new positions and closed 17 in Q4 2016.
  • Bulldog Investors's portfolio value fell 12% quarter-over-quarter to $391M.

Based on Bulldog Investors's 13F filing for Q4 2016, filed 14 Feb 2017.