Institution Information
Reportee Signature Date Report period Total Entries Total AUM($)
THOMAS J HERZFELD ADVISORS INC 11-07-2019 09-30-2019 257 271,114,000
Institutional Holdings
Issuer Class Position Value Shares Portfolio Percentage (%) Previous Percentage (%) Shares Delta Shares Delta(%) Date Reported
NexPoint Credit Strategies Fund COM NEW 1 $24,752,000 1,380,452 9.13 10.16 -29,289 -2.08 09-30-2019
Highland Floating Rate Opportunities Fund SHS BEN INT 2 $14,589,000 1,092,809 5.38 4.96 151,219 16.06 09-30-2019
Cornerstone Strategic Value Fund Inc COM 3 $13,256,000 1,166,932 4.89 4.09 244,679 26.53 09-30-2019
Boulder Growth & Income Fund Inc COM 4 $12,445,000 1,111,151 4.59 4.24 120,442 12.16 09-30-2019
Nuveen Credit Strategies Income Fund COM SHS 5 $11,865,000 1,586,173 4.38 4.53 84,298 5.61 09-30-2019
Central Securities Corp COM 6 $11,344,000 361,259 4.18 4.10 8,915 2.53 09-30-2019
OFS Credit Company Inc COM 7 $9,092,000 518,513 3.35 2.11 210,218 68.19 09-30-2019
Tekla Healthcare Opportunities Fund SHS Liquidated $0 0 3.07 474,479 +Inf 06-30-2019
Eaton Vance Limited Duration Income Fund COM 9 $8,195,000 655,610 3.02 2.52 132,526 25.34 09-30-2019
PGIM Short Duration High Yield Fund, Inc. COM 10 $7,593,000 507,924 2.80 2.60 41,405 8.88 09-30-2019
MasTec Inc COM 11 $7,291,000 112,297 2.69 2.20 0 0.00 09-30-2019
The Herzfeld Caribbean Basin Fund Inc COM 12 $6,767,000 1,063,952 2.50 2.54 14,808 1.41 09-30-2019
General American Investors Co Inc COM 13 $6,541,000 179,946 2.41 2.23 15,160 9.20 09-30-2019
PGIM Global Short Duration High Yield Fund, Inc. COM 14 $6,470,000 450,220 2.39 2.29 33,579 8.06 09-30-2019
Apollo Tactical Income Fund Inc COM 15 $5,537,000 365,499 2.04 2.12 -12,187 -3.23 09-30-2019
Cornerstone Total Rtrn Fd In COM 16 $5,418,000 493,020 2.00 1.57 129,216 35.52 09-30-2019
BlackRock Credit Allocation Income Trust COM 17 $5,415,000 397,545 2.00 1.03 188,456 90.13 09-30-2019
First Trust Energy Infrastructure Fund COM 18 $3,975,000 240,764 1.47 0.41 172,880 254.67 09-30-2019
Tekla World Healthcare Fund BEN INT SHS Liquidated $0 0 1.42 301,327 +Inf 06-30-2019
Adams Diversified Equity Fund Inc COM 20 $3,839,000 242,336 1.42 1.38 7,577 3.23 09-30-2019
iShares Short Maturity Bond ETF SHT MAT BD ETF Liquidated $0 0 1.33 72,236 +Inf 06-30-2019
RMR Real Estate Income Fund COM 22 $3,411,000 167,304 1.26 0.68 70,152 72.21 09-30-2019
Royal Caribbean Cruises Ltd COM 23 $3,383,000 31,229 1.25 1.44 0 0.00 09-30-2019
Nuveen Floating Rate Income Opportunity Fund COM SHS 24 $3,090,000 323,905 1.14 1.21 -1,262 -0.39 09-30-2019
Voya Prime Rate Trust SH BEN INT 25 $3,071,000 652,015 1.13 1.16 12,001 1.88 09-30-2019
Popular Inc COM NEW 26 $2,987,000 55,230 1.10 1.14 0 0.00 09-30-2019
Norwegian Cruise Line Holdings Ltd SHS 27 $2,948,000 56,944 1.09 1.16 0 0.00 09-30-2019
Blackrock Core Bd Tr SHS BEN INT 28 $2,893,000 200,235 1.07 0.77 56,221 39.04 09-30-2019
First BanCorp/Puerto Rico COM NEW 29 $2,639,000 264,477 0.97 1.11 0 0.00 09-30-2019
Aberdeen Total Dynamic Dividend Fund COM SH BEN INT 30 $2,580,000 309,379 0.95 1.03 -14,485 -4.47 09-30-2019
Tortoise Power and Energy Infrastructure Fund Inc COM 31 $2,496,000 138,583 0.92 0.78 26,685 23.85 09-30-2019
The Gabelli Healthcare & WellnessRx Trust SHS Liquidated $0 0 0.88 228,446 +Inf 06-30-2019
Copa Holdings SA CL A 33 $2,397,000 24,273 0.88 0.90 0 0.00 09-30-2019
Invesco Senior Income Trust COM 34 $2,332,000 555,234 0.86 0.81 60,054 12.13 09-30-2019
MFS Multimarket Income Trust SH BEN INT 35 $2,268,000 383,739 0.84 383,739 +Inf 09-30-2019
Lennar Corp CL A 36 $2,262,000 40,500 0.83 0.88 -7,000 -14.74 09-30-2019
Tortoise Energy Infrastructure Corporation COM Liquidated $0 0 0.81 94,387 +Inf 06-30-2019
Source Capital Inc COM 38 $2,200,000 60,257 0.81 0.73 7,526 14.27 09-30-2019
The Taiwan Fund Inc COM 39 $1,809,000 97,932 0.67 0.76 -19,621 -16.69 09-30-2019
The New Germany Fund Inc COM 40 $1,766,000 127,395 0.65 0.68 1,997 1.59 09-30-2019
Marriott Vacations Worldwide Corp COM 41 $1,735,000 16,745 0.64 0.61 0 0.00 09-30-2019
Ares Dynamic Credit Allocation Fund, Inc. COM 42 $1,630,000 109,363 0.60 0.62 1,701 1.58 09-30-2019
Aberdeen Global Dynamic Dividend Fund COM 43 $1,488,000 154,235 0.55 0.59 -7,303 -4.52 09-30-2019
First Trust High Income Long/Short Fund COM Liquidated $0 0 0.53 99,580 +Inf 06-30-2019
Fresh Del Monte Produce Inc ORD 45 $1,444,000 42,341 0.53 0.44 -159 -0.37 09-30-2019
The India Fund Inc COM 46 $1,441,000 70,182 0.53 0.57 -469 -0.66 09-30-2019
NextEra Energy Inc COM 47 $1,409,000 6,049 0.52 0.47 0 0.00 09-30-2019
Fomento Economico Mexicano SAB de CV SPON ADR UNITS 48 $1,364,000 14,896 0.50 0.55 -159 -1.06 09-30-2019
MFS Charter Income Trust SH BEN INT 49 $1,361,000 163,787 0.50 163,787 +Inf 09-30-2019
Salient Midstream & MLP Fund SH BEN INT Liquidated $0 0 0.50 0.51 2,118 1.40 09-30-2019
PIMCO ETF Tr SHTRM MUN BD ACT 51 $1,280,000 25,278 0.47 0.42 3,240 14.70 09-30-2019
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