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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
NXJ
151
DELISTED
Nuveen New Jersey Quality Municipal Income Fund
NXJ
$85K 0.05%
5,702
– –
PSMT icon
152
Pricesmart
PSMT
$5.75B
$84K 0.04%
1,000
– –
DD
153
DELISTED
Du Pont De Nemours E I
DD
$84K 0.04%
1,249
+4
+0.3% +$272
CELG
154
DELISTED
Celgene Corp
CELG
$84K 0.04%
800
– –
TRV icon
155
Travelers Companies
TRV
$80.8B
$79K 0.04%
689
– –
AAPL icon
156
Apple
AAPL
$4.89T
$78K 0.04%
2,756
+12
+0.4% +$318
MSFT icon
157
Microsoft
MSFT
$2.84T
$78K 0.04%
1,353
+5
+0.4% +$282
EEA
158
European Equity Fund
EEA
$73.9M
$74K 0.04%
9,358
-5,090
-35% -$40.1K
VZ icon
159
Verizon
VZ
$194B
$74K 0.04%
1,419
+7
+0.5% +$376
CVX icon
160
Chevron
CVX
$388B
$72K 0.04%
700
+7
+1% +$715
INTC icon
161
Intel
INTC
$466B
$71K 0.04%
1,886
+4
+0.2% +$142
GE icon
162
GE Aerospace
GE
$367B
$70K 0.04%
493
+1
+0.2% +$149
PFE icon
163
Pfizer
PFE
$140B
$67K 0.04%
2,092
+6
+0.3% +$201
KO icon
164
Coca-Cola
KO
$354B
$65K 0.03%
1,527
+5
+0.3% +$219
PFN
165
PIMCO Income Strategy Fund II
PFN
$695M
$65K 0.03%
6,823
-5,750
-46% -$54K
JCE icon
166
Nuveen Core Equity Alpha Fund
JCE
$279M
$64K 0.03%
4,693
+39
+0.8% +$556
INF
167
DELISTED
BROOKFIELD GLOBAL LISTED INFRASTRUCTURE INCOME FUND INC.
INF
$63K 0.03%
4,561
-12,140
-73% -$164K
CAT icon
168
Caterpillar
CAT
$409B
$61K 0.03%
692
+6
+0.9% +$491
CHN
169
DELISTED
China Fund
CHN
$58K 0.03%
3,500
– –
V icon
170
Visa
V
$677B
$57K 0.03%
688
+1
+0.1% +$80
CTR
171
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
$57K 0.03%
865
-3,213
-79% -$208K
ING icon
172
ING
ING
$93.8B
$55K 0.03%
4,473
-427
-9% -$4.96K
VOD icon
173
Vodafone
VOD
$34.9B
$55K 0.03%
1,888
+184
+11% +$5.61K
KHC icon
174
Kraft Heinz
KHC
$30.4B
$54K 0.03%
608
– –
APB
175
DELISTED
Asia Pacific Fund
APB
$54K 0.03%
5,150
– –
5 6
7
8 9

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DMBA
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MEPT
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ECM
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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.