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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
-0.34%
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
$193M
AUM Growth
-$55.8M
Cap. Flow
-$51.9M
Cap. Flow %
-26.87%
Top 10 Hldgs %
32.22%
Holding
371
New
47
Increased
61
Reduced
94
Closed
39

Top Buys

Rank Stock Value
1
THQ
abrdn Healthcare Opportunities Fund
THQ
+$416K
2
THW
abrdn World Healthcare Fund
THW
+$410K
3
DCA
Virtus Total Return Fund
DCA
+$396K
4
RCL icon
Royal Caribbean
RCL
+$359K
5
TTP
TORTOISE PIPELINE & ENERGY FUND, INC.
TTP
+$348K

Top Sells

Rank Stock Value
1
OXLCO
Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023
OXLCO
+$19.4M
2
OXLCN
Oxford Lane Capital Corp. 8.125% Series 2024 Term Preferred Stock
OXLCN
+$12.2M
3
SOR
Source Capital
SOR
+$7.92M
4
MVCB.CL
MVC Capital, Inc.
MVCB.CL
+$3.95M
5
PCEF icon
Invesco CEF Income Composite ETF
PCEF
+$2.36M

Sector Composition

Rank Sector Weight
1 Financials 5.64%
2 Consumer Discretionary 5.24%
3 Industrials 4.96%
4 Consumer Staples 2.29%
5 Utilities 1.62%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PCN
351
PIMCO Corporate & Income Strategy Fund
PCN
$869M
– –
-54,972
Closed -$737K
PML
352
PIMCO Municipal Income Fund II
PML
$487M
– –
-2,000
Closed -$25K
PNF
353
DELISTED
PIMCO New York Municipal Income Fund
PNF
– –
-2,000
Closed -$24K
TY.PR icon
354
Tri-Continental Corporation $2.50 Cumulative Preferred
TY.PR
$31.6M
– –
-500
Closed -$25K
XLY icon
355
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$21.8B
– –
-130
Closed -$5K
FPRX
356
DELISTED
Five Prime Therapeutics, Inc.
FPRX
– –
-50
Closed -$2K
OXLCO
357
DELISTED
Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023
OXLCO
– –
-804,614
Closed -$19.4M
TLI
358
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
– –
-600
Closed -$6K
MNTA
359
DELISTED
Momenta Pharmaceuticals, Inc.
MNTA
– –
-100
Closed -$1K
GAB.PRD.CL
360
DELISTED
The Gabelli Equity Trust Inc. 5.875% Ser D Cumulative Pfd Called
GAB.PRD.CL
– –
-848
Closed -$22K
GDL.PRB.CL
361
DELISTED
The GDL Fund
GDL.PRB.CL
– –
-12,800
Closed -$643K
MVCB.CL
362
DELISTED
MVC Capital, Inc.
MVCB.CL
– –
-160,695
Closed -$3.95M
OXLCN
363
DELISTED
Oxford Lane Capital Corp. 8.125% Series 2024 Term Preferred Stock
OXLCN
– –
-482,700
Closed -$12.2M
NZH
364
DELISTED
Nuveen Calif Div
NZH
– –
-1,000
Closed -$14K
BIE
365
DELISTED
BLACKROCK MUNICIPAL BOND INVESTMENT TRUST
BIE
– –
-2,000
Closed -$30K
JHP
366
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
– –
-3,084
Closed -$26K
TYG.PRB
367
DELISTED
TORTOISE ENERGY INFRASTRUCTURE CORPORATION MANDATORY RED PFD
TYG.PRB
– –
-2,800
Closed -$28K
QTWW
368
DELISTED
QUANTUM FUEL SYS TECHNOLOGIES WORLDWIDE INC COM STK (DE)
QTWW
– –
-1,000
Closed -$1K
HTR
369
DELISTED
Brookfield Total Return Fund Inc
HTR
– –
-19,468
Closed -$427K
BBK
370
DELISTED
Blackrock Municipal Bond Trust
BBK
– –
-200
Closed -$3K
11 12 13 14
15

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SM
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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 Q1 2016 Portfolio in Review

As of Q1 2016, Thomas J. Herzfeld Advisors held 371 positions worth $193M, down 22% from $249M the previous quarter. Its ten largest holdings account for 32% of the portfolio.

Thomas J. Herzfeld Advisors withdrew a net $51.9M in Q1 2016, closing 39 positions and reducing 94 holdings. Its most notable exit was Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023, an estimated $19.4M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.6% of assets, up from 4.3% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Thomas J. Herzfeld Advisors opened a new position in Eaton Vance Municipal Income 2028 Term Trust worth $102K.

  • Thomas J. Herzfeld Advisors's largest Q1 2016 buy was Eaton Vance Municipal Income 2028 Term Trust: 5,186 shares worth $102K.
  • Thomas J. Herzfeld Advisors added most to abrdn Healthcare Opportunities Fund in Q1 2016, an estimated $416K increase.
  • Thomas J. Herzfeld Advisors's biggest Q1 2016 reduction was Source Capital, cutting an estimated $7.92M.
  • Thomas J. Herzfeld Advisors fully exited Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023 in Q1 2016, selling an estimated $19.4M.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 32% of its $193M portfolio in Q1 2016.
  • Thomas J. Herzfeld Advisors opened 47 new positions and closed 39 in Q1 2016.
  • Thomas J. Herzfeld Advisors's portfolio value fell 22% quarter-over-quarter to $193M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q1 2016, filed 13 May 2016.