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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
BHACW
76
DELISTED
Barington/Hilco Acquisition Corp. Warrants
BHACW
$7K ﹤0.01%
50,823
– –
COYN
77
DELISTED
COPsync, Inc.
COYN
$7K ﹤0.01%
10,794
-19,206
-64% -$16.6K
OEF icon
78
iShares S&P 100 ETF
OEF
$20.4B
$6K ﹤0.01%
11,900
-13,100
-52% -$1.27M
COYNW
79
DELISTED
COPsync, Inc. Warrant
COYNW
$1K ﹤0.01%
10,794
-19,206
-64% -$3.14K
AAPC
80
DELISTED
Atlantic Alliance Partnership Corp
AAPC
– –
-20,000
Closed -$210K
CLDCW
81
DELISTED
China Lending Corporation Warrant
CLDCW
– –
-251,050
Closed -$50K
ARWA
82
DELISTED
Arowana Inc.
ARWA
– –
-400,000
Closed -$4.08M
ARWAW
83
DELISTED
Arowana Inc
ARWAW
– –
-400,000
Closed -$39K
ARWAR
84
DELISTED
Arowana Inc
ARWAR
– –
-400,000
Closed -$74K
CTF
85
DELISTED
Nuveen Long/Short Commodity Fd
CTF
– –
-1,468,743
Closed -$19.4M
TRTLW
86
DELISTED
Terrapin 3 Acquisition Corporation
TRTLW
– –
-200,000
Closed -$36K
GRSHW
87
DELISTED
Gores Holdings, Inc. Warrants
GRSHW
– –
-21,500
Closed -$19K
FULL
88
DELISTED
Full Circle Capital Corporation
FULL
– –
-1,752,062
Closed -$4.63M
FAV
89
DELISTED
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
– –
-2,190,168
Closed -$20M
KHI
90
DELISTED
Deutsche High Income Trust
KHI
– –
-496,077
Closed -$4.82M
JGV
91
DELISTED
NUVEEN GLOBAL EQUITY INCOME FUND
JGV
– –
-2,753,299
Closed -$32.9M
CFD
92
DELISTED
Nuveen Diversified Commodity Fnd
CFD
– –
-621,807
Closed -$5.64M
1 2 3
4

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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
EFMC
Empire Financial Management Company New York $442M AUM 24.42% 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.