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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
JFKKR
176
DELISTED
8i Enterprises Acquisition Corp Right
JFKKR
– –
-77,000
Closed -$29
DDMX
177
DELISTED
DD3 Acquisition Corp. S A de CV
DDMX
– –
-37,400
Closed -$373
CTACU
178
DELISTED
ChaSerg Technology Acquisition Corp. Unit
CTACU
– –
-10,300
Closed -$105
BROGU
179
DELISTED
Twelve Seas Investment Company Units
BROGU
– –
-81,000
Closed -$859
PVT.WS
180
DELISTED
Pivotal Acquisition Corp. Redeemable Warrants, exercisable for shares of Class A Common Stock at an
PVT.WS
– –
-39,287
Closed -$53
PVT
181
DELISTED
Pivotal Acquisition Corp.
PVT
– –
-38,787
Closed -$394
LOR
182
DELISTED
Lazard World Dividend & Income Fund, Inc.
LOR
– –
-239,689
Closed -$2.38K
GIG.WS
183
DELISTED
GigCapital, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exerci
GIG.WS
– –
-85,838
Closed -$26
GIG.RT
184
DELISTED
GigCapital, Inc. Rights, each exchangeable into one-tenth of one share of Common Stock
GIG.RT
– –
-110,734
Closed -$58
DFBHU
185
DELISTED
DFB Healthcare Acquisitions Corp. Unit
DFBHU
– –
-50,000
Closed -$519
MMDMW
186
DELISTED
Modern Media Acquisition Corp. Warrant
MMDMW
– –
-134,856
Closed -$30
MMDM
187
DELISTED
Modern Media Acquisition Corp. Common Stock
MMDM
– –
-68,200
Closed -$713
MMDMR
188
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
– –
-248,930
Closed -$72
CCA
189
DELISTED
MFS California Municipal Fund
CCA
– –
-79,506
Closed -$949
CNACR
190
DELISTED
Constellation Alpha Capital Corp. Right
CNACR
– –
-31,001
Closed -$6
CNACW
191
DELISTED
Constellation Alpha Capital Corp. Warrant
CNACW
– –
-25,001
Closed -$2
BRACR
192
DELISTED
Black Ridge Acquisition Corp. Right
BRACR
– –
-180,820
Closed -$76
BRACW
193
DELISTED
Black Ridge Acquisition Corp. Warrant
BRACW
– –
-167,145
Closed -$69
XYN
194
DELISTED
Xynomic Pharmaceuticals Holdings, Inc. Common Stock
XYN
– –
-10,000
Closed -$34
XYNPW
195
DELISTED
Xynomic Pharmaceuticals Holdings, Inc. Warrant
XYNPW
– –
-50,000
Closed -$11
NBO
196
DELISTED
Neuberger Berman New York Municipal Fund Inc.
NBO
– –
-120,134
Closed -$1.47K
BSE
197
DELISTED
BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST
BSE
– –
-385,740
Closed -$5.12K
4 5 6 7
8

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WCP
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FWSM
First Wilshire Securities Management Pasadena, California $444M AUM 42.88% 1-Year Est. Return
TC
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CMP
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AC
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HBT
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EFMC
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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.