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TJHA

Thomas J. Herzfeld Advisors Portfolio holdings

AUM $294M
1-Year Est. Return 2.62%
This Fund
S&P 500
This Quarter Est. Return
+1.29%
1 Year Est. Return
-2.62%
3 Year Est. Return
+17.9%
5 Year Est. Return
+9.72%
10 Year Est. Return
+46.96%
AUM
$216M
AUM Growth
+$28.4M
Cap. Flow
+$27.7M
Cap. Flow %
12.82%
Top 10 Hldgs %
39.27%
Holding
324
New
30
Increased
103
Reduced
43
Closed
18

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$5.41M
2
NXDT
NexPoint Diversified Real Estate Trust
NXDT
+$4.16M
3
CET
Central Securities Corp
CET
+$3.21M
4
SOR
Source Capital
SOR
+$1.8M
5
HERZ
Herzfeld Credit Income Fund
HERZ
+$1.56M

Top Sells

Rank Stock Value
1
MTZ icon
MasTec
MTZ
+$1.12M
2
CPA icon
Copa Holdings
CPA
+$932K
3
KOF icon
Coca-Cola Femsa
KOF
+$660K
4
SPE.PRB
Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B
SPE.PRB
+$599K
5
FIF
FIRST TRUST ENERGY INFRASTRUCTURE FUND
FIF
+$527K

Sector Composition

Rank Sector Weight
1 Financials 6.11%
2 Consumer Discretionary 5.29%
3 Industrials 5.17%
4 Consumer Staples 1.89%
5 Materials 1.83%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ERC
301
Allspring Multi-Sector Income Fund
ERC
$254M
$3K ﹤0.01%
234
– –
HNW
302
DELISTED
Pioneer Diversified High Income Fund
HNW
$3K ﹤0.01%
200
– –
NDP
303
DELISTED
TORTOISE ENERGY INDEPENDENCE FUND, INC.
NDP
$3K ﹤0.01%
23
– –
HQL
304
abrdn Life Sciences Investors
HQL
$586M
$1K ﹤0.01%
66
+1
+2% +$18
MNKD icon
305
MannKind Corp
MNKD
$1.2B
$1K ﹤0.01%
200
– –
WEN icon
306
Wendy's
WEN
$1.44B
$1K ﹤0.01%
+42
New +$507
APTV icon
307
Aptiv
APTV
$12.5B
– –
-279
Closed -$20K
ARMP icon
308
Armata Pharmaceuticals
ARMP
$172M
– –
-7
Closed -$2K
BNS icon
309
Scotiabank
BNS
$108B
– –
-6,000
Closed -$318K
CHKP icon
310
Check Point Software Technologies
CHKP
$14.1B
– –
-202
Closed -$16K
CXE
311
DELISTED
MFS High Income Municipal Trust
CXE
– –
-4,687
Closed -$25K
DXJ icon
312
WisdomTree Japan Hedged Equity Fund
DXJ
$7.12B
– –
-143
Closed -$6K
EWW icon
313
iShares MSCI Mexico ETF
EWW
$1.93B
– –
-10,800
Closed -$524K
HDB icon
314
HDFC Bank
HDB
$122B
– –
-1,948
Closed -$35K
KOF icon
315
Coca-Cola Femsa
KOF
$22.6B
– –
-8,799
Closed -$660K
LBTYA icon
316
Liberty Global Class A
LBTYA
$3.48B
– –
-545
Closed -$19K
MSD
317
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
– –
-19,899
Closed -$192K
SKYY icon
318
First Trust Cloud Computing ETF
SKYY
$2.81B
– –
-209
Closed -$7K
VGT icon
319
Vanguard Information Technology ETF
VGT
$136B
– –
-800
Closed -$12K
XLV icon
320
State Street Health Care Select Sector SPDR ETF
XLV
$43.2B
– –
-111
Closed -$8K
INF
321
DELISTED
BROOKFIELD GLOBAL LISTED INFRASTRUCTURE INCOME FUND INC.
INF
– –
-4,561
Closed -$63K
ULTR
322
DELISTED
ULTRAPETROL (BAHAMAS) LTD COM STK
ULTR
– –
-36,000
Closed -$11K
HHY
323
DELISTED
Brookfield High Income Fund Inc.
HHY
– –
-2,931
Closed -$21K
BOI
324
DELISTED
Brookfield Mtge Opportunity Fd
BOI
– –
-1,835
Closed -$28K
9 10 11 12
13

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BIC
B&I Capital Zurich, Switzerland $294M AUM 3.09% 1-Year Est. Return
SM
Selkirk Management Chatham, New Jersey $294M AUM 26.84% 1-Year Est. Return
PCI
Pacifica Capital Investments Leander, Texas $294M AUM 45.89% 1-Year Est. Return
PC
Permit Capital West Conshohocken, Pennsylvania $294M AUM 27.9% 1-Year Est. Return
DMBA
Deseret Mutual Benefit Administrators Salt Lake City, Utah $294M AUM 19.14% 1-Year Est. Return
MFC
Morris Financial Concepts Mount Pleasant, South Carolina $295M AUM 17.25% 1-Year Est. Return
MEPT
Missouri Education Pension Trust Jefferson City, Missouri $294M AUM
ECM
Engle Capital Management Greenwich, Connecticut $293M AUM 68.31% 1-Year Est. Return

Thomas J. Herzfeld Advisors's Q4 2016 Portfolio in Review

As of Q4 2016, Thomas J. Herzfeld Advisors held 324 positions worth $216M, up 15% from $188M the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Thomas J. Herzfeld Advisors deployed $27.7M of net new capital in Q4 2016, opening 30 new positions and adding to 103 existing holdings. Its largest new stake was Source Capital: 50,048 shares worth $1.8M.

By sector, the portfolio is most concentrated in Financials at 6.1% of assets, up from 6.1% a quarter earlier, followed by Consumer Discretionary and Industrials.

On the sell side, the largest reduction was MasTec, an estimated $1.12M trimmed.

  • Thomas J. Herzfeld Advisors's largest Q4 2016 buy was Source Capital: 50,048 shares worth $1.8M.
  • Thomas J. Herzfeld Advisors added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2016, an estimated $5.41M increase.
  • Thomas J. Herzfeld Advisors's biggest Q4 2016 reduction was MasTec, cutting an estimated $1.12M.
  • Thomas J. Herzfeld Advisors fully exited Coca-Cola Femsa in Q4 2016, selling an estimated $660K.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 39% of its $216M portfolio in Q4 2016.
  • Thomas J. Herzfeld Advisors opened 30 new positions and closed 18 in Q4 2016.
  • Thomas J. Herzfeld Advisors's portfolio value rose 15% quarter-over-quarter to $216M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q4 2016, filed 14 Feb 2017.