Horizon Kinetics’s Duff & Phelps Utility & Corporate Bond Trust DUC Stock Holding History

Horizon Kinetics’s Portfolio DUC Stock Details DUC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q4	$110K	Sell	13,375 -950	-7%	-$7.78K	﹤0.01%	453
2018 Q3	$120K	Hold	14,325	–	–	﹤0.01%	485
2018 Q2	$125K	Hold	14,325	–	–	﹤0.01%	489
2018 Q1	$123K	Sell	14,325 -6,200	-30%	-$54K	﹤0.01%	488
2017 Q4	$182K	Hold	20,525	–	–	0.01%	470
2017 Q3	$190K	Hold	20,525	–	–	0.01%	468
2017 Q2	$189K	Sell	20,525 -175	-0.8%	-$1.62K	0.01%	488
2017 Q1	$191K	Hold	20,700	–	–	0.01%	479
2016 Q4	$195K	Sell	20,700 -150	-0.7%	-$1.4K	0.01%	477
2016 Q3	$204K	Hold	20,850	–	–	0.01%	477
2016 Q2	$203K	Hold	20,850	–	–	0.01%	489
2016 Q1	$201K	Buy	20,850 +1,350	+7%	+$12.5K	0.01%	486
2015 Q4	$179K	Buy	+19,500	New	+$182K	﹤0.01%	476

Other funds holding DUC

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

KIM

Karpus Investment Management Pittsford, New York $3.21B AUM 6.83% 1-Year Est. Return

SIA

Sit Investment Associates Minneapolis, Minnesota $4.93B AUM 12.22% 1-Year Est. Return

1CP

1607 Capital Partners Richmond, Virginia $1.39B AUM 8.35% 1-Year Est. Return

Bulldog Investors Saddle Brook, New Jersey $445M AUM 2.55% 1-Year Est. Return

Icon Advisers Greenwood Village, Colorado $433M AUM 40.01% 1-Year Est. Return

Susquehanna International Group Bala Cynwyd, Pennsylvania $893B AUM 36.07% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

DWM

Dakota Wealth Management Palm Beach Gardens, Florida $4.62B AUM 33.09% 1-Year Est. Return

Lido Advisors Los Angeles, California $32.7B AUM 19.2% 1-Year Est. Return

Horizon Kinetics's DUC Position: Q4 2018 in Review

Horizon Kinetics reduced its Duff & Phelps Utility & Corporate Bond Trust (DUC) stake by 6.6% in Q4 2018, selling an estimated $7.78K and leaving 13,375 shares worth $110K. The position accounts for ﹤0.01% of the portfolio, ranked #453.

Horizon Kinetics first reported a position in DUC in Q4 2015 and has held it in 13 quarters since. The position peaked at $204K in Q3 2016. 41 funds tracked by Wall St. Rank hold DUC as of Q4 2018.

Horizon Kinetics held 13,375 shares of Duff & Phelps Utility & Corporate Bond Trust worth $110K as of Q4 2018.
Horizon Kinetics sold 950 Duff & Phelps Utility & Corporate Bond Trust shares in Q4 2018, an estimated $7.78K.
Duff & Phelps Utility & Corporate Bond Trust made up ﹤0.01% of Horizon Kinetics's portfolio in Q4 2018, its #453 holding.
Horizon Kinetics first reported a position in Duff & Phelps Utility & Corporate Bond Trust in Q4 2015 and has held it in 13 quarters since.
Horizon Kinetics's Duff & Phelps Utility & Corporate Bond Trust position peaked at $204K in Q3 2016.
41 funds tracked by Wall St. Rank held Duff & Phelps Utility & Corporate Bond Trust as of Q4 2018.

Based on Horizon Kinetics's 13F filing for Q4 2018, filed 14 Feb 2019.