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Bulldog Investors Portfolio holdings

AUM $455M
1-Year Est. Return 2.3%
This Fund
S&P 500
This Quarter Est. Return
+2.22%
1 Year Est. Return
+2.3%
3 Year Est. Return
+22.5%
5 Year Est. Return
+20.98%
10 Year Est. Return
+76.6%
AUM
$444M
AUM Growth
-$13.4M
Cap. Flow
-$16.3M
Cap. Flow %
-3.66%
Top 10 Hldgs %
55.12%
Holding
107
New
34
Increased
8
Reduced
37
Closed
18

Top Buys

Rank Stock Value
1
SWZ
Swiss Helvetia Fund
SWZ
+$7.32M
2
JACQ
COLLABRIUM JAPAN ACQUISITION CORP
JACQ
+$6.07M
3
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
+$5.27M
4
LIND icon
Lindblad Expeditions
LIND
+$4.88M
5
ACG
AllianceBernstein Income Fund Inc
ACG
+$4.58M

Top Sells

Rank Stock Value
1
TF
THAI CAP FD INC COM NEW
TF
+$13.4M
2
USA icon
Liberty All-Star Equity Fund
USA
+$10.4M
3
LEN.B icon
Lennar Class B
LEN.B
+$7.37M
4
JACQU
COLLABRIUM JAPAN ACQUISITIONCO UNIT 1 SHS & 1 WT EXP
JACQU
+$6.06M
5
CEE
Central and Eastern Europe Fund
CEE
+$4.58M

Sector Composition

Rank Sector Weight
1 Miscellaneous 66.09%
2 Financials 25.09%
3 Real Estate 5.7%
4 Consumer Discretionary 1.16%
5 Materials 0.93%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ETJ
1
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$551M
$57.9M 13.03%
4,616,182
-366,744
-7% -$4.02M
USA icon
2
Liberty All-Star Equity Fund
USA
$1.81B
$38.4M 8.64%
7,093,756
-1,884,237
-21% -$10.4M
ZTR
3
Virtus Total Return Fund
ZTR
$317M
$24.8M 5.58%
1,891,824
-178,225
-9% -$2.32M
SWZ
4
Swiss Helvetia Fund
SWZ
$76.7M
$23.6M 5.32%
1,661,787
+550,181
+49% +$7.32M
GAM
5
General American Investors Company
GAM
$1.55B
$21.4M 4.81%
626,090
-8,823
-1% -$295K
MVC
6
DELISTED
MVC Capital, Inc.
MVC
$17.7M 3.98%
1,353,534
+267,213
+25% +$3.4M
SVVC
7
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
$17.4M 3.91%
709,629
-124,253
-15% -$2.76M
CSP
8
DELISTED
AMER STRATEGIC INCM PTFL-III
CSP
$15.4M 3.47%
2,226,702
-47,258
-2% -$323K
IFT
9
DELISTED
IMPERIAL HLDGS INC COM STK (FL)
IFT
$15.2M 3.42%
2,403,293
-25,200
-1% -$173K
ZAIS
10
DELISTED
ZAIS Group Holdings, Inc.
ZAIS
$13.1M 2.95%
1,296,394
-53,606
-4% -$544K
TTF
11
DELISTED
Thai Fund
TTF
$11.6M 2.61%
583,031
-94,335
-14% -$1.96M
JMI
12
DELISTED
JAVELIN MTG INVESTMENT CORP COM
JMI
$11.3M 2.55%
956,281
+360,095
+60% +$4.58M
GYRO icon
13
Gyrodyne
GYRO
$10.8M 2.43%
12,995
+705
+6% +$561K
GLQ
14
Clough Global Equity Fund
GLQ
$145M
$10.2M 2.31%
682,053
+206,689
+43% +$3.09M
AQU
15
DELISTED
AQUASITION CORP COM STK
AQU
$9.18M 2.07%
915,522
+39,932
+5% +$400K
ADX icon
16
Adams Diversified Equity Fund
ADX
$3.21B
$8.56M 1.93%
691,138
– –
AOD
17
abrdn Total Dynamic Dividend Fund
AOD
$1.1B
$8.38M 1.89%
1,042,941
-44,708
-4% -$358K
TY icon
18
TRI-Continental Corp
TY
$1.85B
$7.12M 1.6%
388,619
-3,000
-0.8% -$55.4K
GAIN icon
19
Gladstone Investment Corp
GAIN
$642M
$6.72M 1.51%
953,917
-10,800
-1% -$77.9K
STEW
20
SRH Total Return Fund
STEW
$1.74B
$6.16M 1.39%
807,226
-13,100
-2% -$100K
JACQ
21
DELISTED
COLLABRIUM JAPAN ACQUISITION CORP
JACQ
$6.11M 1.38%
+600,000
New +$6.07M
BSP
22
DELISTED
AMERN STRATEGIC INCM PORTF II
BSP
$5.97M 1.34%
736,620
+80,468
+12% +$645K
RMT
23
Royce Micro-Cap Trust
RMT
$726M
$5.42M 1.22%
462,764
-13,338
-3% -$152K
BGSC
24
DELISTED
BGS ACQUISITION CORP ORD SHS (VGB)
BGSC
$5.24M 1.18%
525,300
– –
JGT
25
DELISTED
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
$5.1M 1.15%
+486,732
New +$5.27M
1
2 3 4

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LCG
Lisanti Capital Growth New York $455M AUM 218.66% 1-Year Est. Return
HFA
Highland Financial Advisors Wayne, New Jersey $455M AUM 22.51% 1-Year Est. Return
MC
Miramar Capital Northbrook, Illinois $455M AUM 15.58% 1-Year Est. Return
CFO
Colony Family Offices Charlotte, North Carolina $455M AUM 21.83% 1-Year Est. Return
PIM
Progressive Investment Management Lake Oswego, Oregon $454M AUM 46.56% 1-Year Est. Return
GA
GSG Advisors Mount Laurel, New Jersey $454M AUM 28.38% 1-Year Est. Return
MI
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NI
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Bulldog Investors's Q3 2013 Portfolio in Review

As of Q3 2013, Bulldog Investors held 107 positions worth $444M, down 2.9% from $458M the previous quarter. Its ten largest holdings account for 55% of the portfolio.

Bulldog Investors withdrew a net $16.3M in Q3 2013, closing 18 positions and reducing 37 holdings. Its most notable exit was COLLABRIUM JAPAN ACQUISITIONCO UNIT 1 SHS & 1 WT EXP, an estimated $6.06M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 66% of assets, down from 70% a quarter earlier, followed by Financials and Real Estate.

Against the trend, Bulldog Investors opened a new position in COLLABRIUM JAPAN ACQUISITION CORP worth $6.11M.

  • Bulldog Investors's largest Q3 2013 buy was COLLABRIUM JAPAN ACQUISITION CORP: 600,000 shares worth $6.11M.
  • Bulldog Investors added most to Swiss Helvetia Fund in Q3 2013, an estimated $7.32M increase.
  • Bulldog Investors's biggest Q3 2013 reduction was THAI CAP FD INC COM NEW, cutting an estimated $13.4M.
  • Bulldog Investors fully exited COLLABRIUM JAPAN ACQUISITIONCO UNIT 1 SHS & 1 WT EXP in Q3 2013, selling an estimated $6.06M.
  • Bulldog Investors's ten largest holdings make up 55% of its $444M portfolio in Q3 2013.
  • Bulldog Investors opened 34 new positions and closed 18 in Q3 2013.
  • Bulldog Investors's portfolio value fell 2.9% quarter-over-quarter to $444M.

Based on Bulldog Investors's 13F filing for Q3 2013, filed 12 Nov 2013.