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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
+1.99%
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
$223M
AUM Growth
+$222M
Cap. Flow
+$48.4M
Cap. Flow %
21.74%
Top 10 Hldgs %
39.74%
Holding
201
New
34
Increased
34
Reduced
49
Closed
45

Top Buys

Rank Stock Value
1
CCIF
Carlyle Credit Income Fund
CCIF
+$5.41M
2
TLI
Western Asset Corporate Loan Fund Inc.
TLI
+$5.27M
3
BWG
BrandywineGLOBAL Global Income Opportunities Fund
BWG
+$4.13M
4
THCA
Tuscan Holdings Corp. II Common Stock
THCA
+$3.52M
5
DTF
DTF Tax-Free Income 2028 Term Fund
DTF
+$3.37M

Top Sells

Rank Stock Value
1
HPK icon
HighPeak Energy
HPK
+$5.51M
2
NUO
Nuveen Ohio Quality Municipal Income Fund
NUO
+$3.03M
3
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$1.38M
4
VLT icon
Invesco High Income Trust II
VLT
+$945K
5
MNCLU
Monocle Acquisition Corporation Units
MNCLU
+$904K

Sector Composition

Rank Sector Weight
1 Financials 5.92%
2 Industrials 3.64%
3 Real Estate 2.76%
4 Consumer Staples 2.74%
5 Healthcare 2.14%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HYMC icon
76
Hycroft Mining Holding Corp
HYMC
$2.57B
$578K 0.26%
5,668
– –
RVPH
77
DELISTED
REVIVA PHARMA HLDGS INC
RVPH
$562K 0.25%
2,715
– –
JQC icon
78
Nuveen Credit Strategies Income Fund
JQC
$717M
$512K 0.23%
68,461
-180,500
-73% -$1.38M
NKLA
79
DELISTED
Nikola Corporation Common Stock
NKLA
$493K 0.22%
1,611
– –
WHF icon
80
WhiteHorse Finance
WHF
$154M
$482K 0.22%
34,630
-17,870
-34% -$244K
GRAF.U
81
DELISTED
Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant
GRAF.U
$482K 0.22%
46,756
-4,247
-8% -$44.1K
ALAC
82
DELISTED
Alberton Acquisition Corp
ALAC
$467K 0.21%
141,911
+19,819
+16% +$201K
FAM
83
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$451K 0.2%
42,670
+5,092
+14% +$54.1K
FSD
84
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$428K 0.19%
28,248
– –
CLNN icon
85
Clene
CLNN
$55.8M
$368K 0.17%
1,790
-304
-15% -$62.5K
PAACU
86
DELISTED
Proficient Alpha Acquisition Corp. Unit
PAACU
$361K 0.16%
36,100
-8,900
-20% -$90.1K
HCCH
87
DELISTED
HL Acquisitions Corp. Ordinary Shares
HCCH
$357K 0.16%
35,081
– –
MNCLU
88
DELISTED
Monocle Acquisition Corporation Units
MNCLU
$316K 0.14%
30,263
-87,237
-74% -$904K
PACQW
89
DELISTED
Pure Acquisition Corp. Warrant
PACQW
$301K 0.14%
286,902
– –
ANDAU
90
DELISTED
Andina Acquisition Corp. III Unit
ANDAU
$289K 0.13%
27,500
– –
LFACU
91
DELISTED
LF Capital Acquistion Corp. Unit
LFACU
$275K 0.12%
26,000
– –
DPHCU
92
DELISTED
DiamondPeak Holdings Corp. Units
DPHCU
$233K 0.1%
+22,811
New +$231K
GARS
93
DELISTED
Garrison Capital Inc.
GARS
$229K 0.1%
33,076
– –
RWGE
94
DELISTED
Regalwood Global Energy Ltd. Class A Ordinary Shares
RWGE
$193K 0.09%
18,696
– –
BRPM.U
95
DELISTED
B. Riley Principal Merger Corp.
BRPM.U
$182K 0.08%
+18,003
New +$181K
TMCXW
96
DELISTED
Trinity Merger Corp. Warrant
TMCXW
$179K 0.08%
140,567
-103,927
-43% -$59.2K
EQS icon
97
Equus Total Return
EQS
$16.1M
$172K 0.08%
106,919
– –
HCCHU
98
DELISTED
HL Acquisitions Corp. Unit
HCCHU
$148K 0.07%
13,950
– –
ALGR
99
DELISTED
Allegro Merger Corp
ALGR
$130K 0.06%
217,841
– –
LVOX
100
DELISTED
LiveVox Holding, Inc. Class A Common Stock
LVOX
$123K 0.06%
+12,500
New +$123K
2 3
4
5 6

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WCP
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FWSM
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TC
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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
EFMC
Empire Financial Management Company New York $442M AUM 24.42% 1-Year Est. Return

Bulldog Investors's Q3 2019 Portfolio in Review

As of Q3 2019, Bulldog Investors held 201 positions worth $223M, up 69,600% from $320K the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Bulldog Investors deployed $48.4M of net new capital in Q3 2019, opening 34 new positions and adding to 34 existing holdings. Its largest new stake was Tuscan Holdings Corp. II Common Stock: 360,509 shares worth $3.54M.

By sector, the portfolio is most concentrated in Financials at 5.9% of assets, up from 2.8% a quarter earlier, followed by Industrials and Real Estate.

On the sell side, the largest reduction was HighPeak Energy, an estimated $5.51M trimmed.

  • Bulldog Investors's largest Q3 2019 buy was Tuscan Holdings Corp. II Common Stock: 360,509 shares worth $3.54M.
  • Bulldog Investors added most to Carlyle Credit Income Fund in Q3 2019, an estimated $5.41M increase.
  • Bulldog Investors's biggest Q3 2019 reduction was HighPeak Energy, cutting an estimated $5.51M.
  • Bulldog Investors fully exited Neuberger High Yield Strategies Fund Inc in Q3 2019, selling an estimated $6.28K.
  • Bulldog Investors's ten largest holdings make up 40% of its $223M portfolio in Q3 2019.
  • Bulldog Investors opened 34 new positions and closed 45 in Q3 2019.
  • Bulldog Investors's portfolio value rose 69,600% quarter-over-quarter to $223M.

Based on Bulldog Investors's 13F filing for Q3 2019, filed 14 Nov 2019.