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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
+6.77%
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
$188M
AUM Growth
-$838K
Cap. Flow
-$11.5M
Cap. Flow %
-6.14%
Top 10 Hldgs %
38.04%
Holding
322
New
15
Increased
71
Reduced
88
Closed
28

Top Buys

Rank Stock Value
1
SPE.PRB
Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B
SPE.PRB
+$725K
2
ESRT icon
Empire State Realty Trust
ESRT
+$701K
3
MIE
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
+$649K
4
CET
Central Securities Corp
CET
+$553K
5
STEW
SRH Total Return Fund
STEW
+$549K

Top Sells

Rank Stock Value
1
CAF
Morgan Stanley China A Share Fund
CAF
+$2.02M
2
FOF icon
Cohen & Steers Closed End Opportunity Fund
FOF
+$1.5M
3
GDV icon
Gabelli Dividend & Income Trust
GDV
+$1.27M
4
NDP
TORTOISE ENERGY INDEPENDENCE FUND, INC.
NDP
+$1.05M
5
NTG
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
+$973K

Sector Composition

Rank Sector Weight
1 Industrials 6.09%
2 Financials 6.06%
3 Consumer Discretionary 5.58%
4 Consumer Staples 2.58%
5 Materials 1.87%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KF
51
Korea Fund
KF
$247M
$830K 0.44%
23,056
-7,579
-25% -$260K
TPZ
52
Tortoise Electrification Infrastructure ETF
TPZ
$132M
$815K 0.43%
36,487
-175
-0.5% -$3.63K
VAC icon
53
Marriott Vacations Worldwide
VAC
$3.24B
$788K 0.42%
10,745
-145
-1% -$10.8K
NFJ
54
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.41B
$781K 0.42%
61,787
-980
-2% -$12.4K
MIE
55
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
$781K 0.42%
72,621
+61,670
+563% +$649K
ATNI icon
56
ATN International
ATNI
$361M
$780K 0.42%
11,988
– –
CIB icon
57
Grupo Cibest SA
CIB
$20.4B
$772K 0.41%
19,780
– –
GLO
58
Clough Global Opportunities Fund
GLO
$249M
$749K 0.4%
77,490
– –
TV icon
59
Televisa
TV
$1.45B
$730K 0.39%
28,400
– –
SPE.PRB
60
DELISTED
Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B
SPE.PRB
$728K 0.39%
+28,218
New +$725K
ESRT icon
61
Empire State Realty Trust
ESRT
$976M
$710K 0.38%
+33,894
New +$701K
FSD
62
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$698K 0.37%
44,775
-50
-0.1% -$771
KOF icon
63
Coca-Cola Femsa
KOF
$21.6B
$660K 0.35%
8,799
– –
ASG
64
Liberty All-Star Growth Fund
ASG
$323M
$622K 0.33%
144,302
+3,058
+2% +$13K
CAF
65
Morgan Stanley China A Share Fund
CAF
$334M
$600K 0.32%
32,081
-108,383
-77% -$2.02M
MLM icon
66
Martin Marietta Materials
MLM
$33.6B
$537K 0.29%
3,000
– –
EWW icon
67
iShares MSCI Mexico ETF
EWW
$1.89B
$524K 0.28%
10,800
– –
JMM icon
68
Nuveen Multi-Market Income Fund
JMM
$54.2M
$521K 0.28%
69,474
-13,921
-17% -$104K
AMX icon
69
America Movil
AMX
$78.1B
$511K 0.27%
44,690
– –
LIVN icon
70
LivaNova
LIVN
$4.3B
$501K 0.27%
8,330
– –
NSC icon
71
Norfolk Southern
NSC
$78.8B
$461K 0.25%
4,750
-1,000
-17% -$91K
VMC icon
72
Vulcan Materials
VMC
$36.3B
$455K 0.24%
4,000
– –
LCM
73
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$444K 0.24%
53,177
-2,187
-4% -$18.4K
SCD
74
LMP Capital and Income Fund
SCD
$353M
$420K 0.22%
30,797
-1,515
-5% -$20.7K
TAHO
75
DELISTED
Tahoe Resources Inc
TAHO
$409K 0.22%
31,900
– –
1 2
3
4 5

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Thomas J. Herzfeld Advisors's Q3 2016 Portfolio in Review

As of Q3 2016, Thomas J. Herzfeld Advisors held 322 positions worth $188M, down 0.44% from $189M the previous quarter. Its ten largest holdings account for 38% of the portfolio.

Thomas J. Herzfeld Advisors withdrew a net $11.5M in Q3 2016, closing 28 positions and reducing 88 holdings. Its most notable exit was Tortoise Midstream Energy Fund, Inc. Common Stock, an estimated $973K position sold in full.

By sector, the portfolio is most concentrated in Industrials at 6.1% of assets, up from 5% a quarter earlier, followed by Financials and Consumer Discretionary.

Against the trend, Thomas J. Herzfeld Advisors opened a new position in Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B worth $728K.

  • Thomas J. Herzfeld Advisors's largest Q3 2016 buy was Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B: 28,218 shares worth $728K.
  • Thomas J. Herzfeld Advisors added most to COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC. in Q3 2016, an estimated $649K increase.
  • Thomas J. Herzfeld Advisors's biggest Q3 2016 reduction was Morgan Stanley China A Share Fund, cutting an estimated $2.02M.
  • Thomas J. Herzfeld Advisors fully exited Tortoise Midstream Energy Fund, Inc. Common Stock in Q3 2016, selling an estimated $973K.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 38% of its $188M portfolio in Q3 2016.
  • Thomas J. Herzfeld Advisors opened 15 new positions and closed 28 in Q3 2016.
  • Thomas J. Herzfeld Advisors's portfolio value fell 0.44% quarter-over-quarter to $188M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q3 2016, filed 14 Nov 2016.