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Bulldog Investors Portfolio holdings

AUM $445M
1-Year Est. Return 2.55%
This Fund
S&P 500
This Quarter Est. Return
-0.9%
1 Year Est. Return
+2.55%
3 Year Est. Return
+20.9%
5 Year Est. Return
+21%
10 Year Est. Return
+76.48%
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
STC icon
1
Stewart Information Services
STC
$2.06B
$47M 12.01%
1,019,318
– –
NRO
2
Neuberger Real Estate Securities Income Fund Inc
NRO
$191M
$29.5M 7.55%
5,758,673
-212,896
-4% -$1.08M
NYRT
3
DELISTED
New York REIT, Inc.
NYRT
$27.1M 6.93%
267,808
+21,479
+9% +$2.06M
DCA
4
DELISTED
Virtus Total Return Fund
DCA
$22.4M 5.73%
5,016,152
– –
SWZ
5
Swiss Helvetia Fund
SWZ
$76.4M
$18.2M 4.65%
1,781,230
+80,479
+5% +$826K
HIL
6
DELISTED
Hill International, Inc. Common Stock
HIL
$16.9M 4.31%
3,875,519
– –
DHG
7
DELISTED
Deutsche High Incm Opportunities
DHG
$14.6M 3.73%
1,012,392
– –
LCM
8
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$12.1M 3.1%
1,461,794
– –
MVC
9
DELISTED
MVC Capital, Inc.
MVC
$11.8M 3.03%
1,378,812
– –
GLQ
10
Clough Global Equity Fund
GLQ
$152M
$11.8M 3.01%
1,056,831
+283,413
+37% +$3.08M
JOF
11
Japan Smaller Capitalization Fund
JOF
$322M
$11.3M 2.9%
1,164,976
+720,350
+162% +$7.48M
LGI
12
Lazard Global Total Return & Income Fund
LGI
$235M
$11.2M 2.87%
816,828
-70,813
-8% -$968K
NXG
13
NXG NextGen Infrastructure Income Fund
NXG
$327M
$10.4M 2.66%
149,707
-9,224
-6% -$625K
PHF
14
DELISTED
Pacholder High Yield
PHF
$10.3M 2.63%
1,429,253
+116,552
+9% +$821K
PCF
15
High Income Securities Fund
PCF
$98.8M
$9.9M 2.53%
1,207,014
+640,019
+113% +$5.07M
FAM
16
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$8.88M 2.27%
795,281
+26,977
+4% +$300K
TY icon
17
TRI-Continental Corp
TY
$1.86B
$6.92M 1.77%
313,691
– –
STLRU
18
DELISTED
Stellar Acquisition III Inc. Units
STLRU
$6.73M 1.72%
653,000
– –
CET
19
Central Securities Corp
CET
$1.58B
$5.58M 1.43%
405,221
+267,576
+194% +$5.67M
GECC icon
20
Great Elm Capital Corp
GECC
$71.1M
$5.49M 1.4%
+78,343
New +$5.1M
USA icon
21
Liberty All-Star Equity Fund
USA
$1.79B
$5.47M 1.4%
1,059,826
+208,597
+25% +$1.06M
JFC
22
DELISTED
JPMorgan China Region Fund, Inc.
JFC
$5.27M 1.35%
338,204
+205,420
+155% +$3.35M
KEF
23
DELISTED
Korea Equity Fund
KEF
$5M 1.28%
674,051
+118,884
+21% +$928K
EMG
24
DELISTED
Emergent Capital, Inc.
EMG
$4.88M 1.25%
4,032,377
– –
WHLR
25
Wheeler Real Estate Investment Trust
WHLR
$553K
– –
0
– –
1
2 3 4

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MLIC
Mandatum Life Insurance Company Helsinki, Finland $445M AUM 26.43% 1-Year Est. Return
RWM
Rialto Wealth Management Syracuse, New York $445M AUM 15.58% 1-Year Est. Return
WC
Weil Company San Diego, California $445M AUM 14.95% 1-Year Est. Return
AFA
Abacus FCF Advisors Orlando, Florida $444M AUM 44.44% 1-Year Est. Return
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
ACA
Aspire Capital Advisors Seattle, Washington $444M AUM 16.47% 1-Year Est. Return
FWSM
First Wilshire Securities Management Pasadena, California $444M AUM 42.88% 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.