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HERZ

Herzfeld Credit Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
TJHA
1
Thomas J. Herzfeld Advisors
Florida
$3.6M +$949K +15,794 +43%
VKH
2
Virtu KCG Holdings
New York
$542K +$472K +7,853 New
AFM
3
Anson Funds Management
Texas
$455K +$397K +6,600 New
SGH
4
Schonfeld Group Holdings
New York
$247K +$215K +3,582 New
Goldman Sachs
5
Goldman Sachs
New York
$125K +$109K +1,817 New
PRC
6
Platte River Capital
Colorado
$116K +$101K +1,675 New
Morgan Stanley
7
Morgan Stanley
New York
$65K +$48K +799 +563%
Bank of America
8
Bank of America
North Carolina
$57K -$2.34K -39 -5%
UBS Group
9
UBS Group
Switzerland
$41K +$35.5K +590 New
BBPWM
10
Blue Bell Private Wealth Management
Pennsylvania
$38K -$324K -5,387 -91%
Wells Fargo
11
Wells Fargo
California
$36K +$31K +515 +51,500%
SSB
12
Sandy Spring Bank
Maryland
$24K +$5.17K +86 +33%
Creative Planning
13
Creative Planning
Kansas
$18K +$15.5K +258 New
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$17K +$14.7K +245 New
Citigroup
15
Citigroup
New York
$9K +$7.75K +129 New
KTC
16
Kistler-Tiffany Companies
Pennsylvania
$6K
PFG
17
Pacific Financial Group
Washington
$4K +$3.49K +58 New
AssetMark Inc
18
AssetMark Inc
California
$4K +$3.85K +64 New
LTFS
19
Ladenburg Thalmann Financial Services
Florida
$2K
BI
20
Bulldog Investors
New Jersey
-$631K -10,161 Closed
COLIM
21
City of London Investment Management
United Kingdom
-$587K -9,455 Closed
WAM
22
Weiss Asset Management
Massachusetts
-$122K -1,959 Closed
MIG
23
Mariner Investment Group
New York
-$94K -1,513 Closed
First Manhattan
24
First Manhattan
New York
-$52K -838 Closed
SIA
25
Sit Investment Associates
Minnesota
-$48K -773 Closed