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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
ECF
51
Ellsworth Growth & Income Fund
ECF
$173M
$637K 0.16%
77,045
+42,922
+126% +$348K
COTY icon
52
Coty
COTY
$2.51B
$521K 0.13%
28,474
+3,474
+14% +$71.8K
BHAC
53
DELISTED
Barington/Hilco Acquisition Corp.
BHAC
$516K 0.13%
50,823
– –
XELA
54
DELISTED
Exela Technologies, Inc. Common Stock
XELA
$508K 0.13%
4
– –
HERZ
55
Herzfeld Credit Income Fund
HERZ
$32.3M
$440K 0.11%
+8,447
New +$422K
FFA
56
First Trust Enhanced Equity Income Fund
FFA
$472M
$427K 0.11%
+31,633
New +$424K
VIVO
57
VivoPower PLC
VIVO
$121M
$330K 0.08%
+5,999
New +$385K
NSLR
58
Neostellar Capital Corp
NSLR
$273M
$318K 0.08%
75,319
-20,822
-22% -$84.5K
GDL
59
GDL Fund
GDL
$91.9M
$261K 0.07%
26,554
-2,044
-7% -$20K
FT
60
Franklin Universal Trust
FT
$197M
$246K 0.06%
+36,790
New +$242K
JTPY
61
DELISTED
JetPay Corporation
JTPY
$227K 0.06%
100,877
-43,330
-30% -$112K
OACQ
62
DELISTED
Origo Acquisition Corporation
OACQ
$209K 0.05%
+20,085
New +$208K
FTF
63
Franklin Limited Duration Income Trust
FTF
$233M
$203K 0.05%
+16,860
New +$202K
PAACR
64
DELISTED
Pacific Special Acquisition Corp. Rights
PAACR
$159K 0.04%
+300,000
New +$74.8K
ECACR
65
DELISTED
E-compass Acquisition Corp. Rights
ECACR
$98K 0.03%
100,000
– –
PAACW
66
DELISTED
Pacific Special Acquisition Corp. Warrants
PAACW
$84K 0.02%
300,000
– –
ANDAR
67
DELISTED
Andina Acquisition Corp. II Right
ANDAR
$79K 0.02%
201,285
– –
HRMNW
68
DELISTED
Harmony Merger Corp. Warrant
HRMNW
$70K 0.02%
+200,000
New +$73.7K
ANDAW
69
DELISTED
Andina Acquisition Corp. II Warrant
ANDAW
$54K 0.01%
201,285
– –
ELECW
70
DELISTED
Electrum Special Acquisition Corporation
ELECW
$42K 0.01%
151,020
– –
OACQR
71
DELISTED
Origo Acquisition Corporation Right Expiring 3/12/2018
OACQR
$32K 0.01%
+75,000
New +$17.9K
MFIN icon
72
Medallion Financial
MFIN
$249M
$30K 0.01%
10,000
– –
OACQW
73
DELISTED
Origo Acquisition Corporation Warrants
OACQW
$23K 0.01%
75,000
– –
BHACR
74
DELISTED
Barington/Hilco Acquisition Corp. Rights
BHACR
$13K ﹤0.01%
50,823
– –
QPACW
75
DELISTED
Quinpario Acquisition Corp. 2 Warrant
QPACW
$10K ﹤0.01%
51,097
– –
1 2
3
4

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RWM
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SGCM
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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
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HBT
Heartland Bank & Trust Bloomington, Illinois $442M AUM 28.29% 1-Year Est. Return

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.