$149 Million is the total value of Thomas J. Herzfeld Advisors, Inc.'s 254 reported holdings in Q3 2020. The portfolio turnover from Q2 2020 to Q3 2020 was 24.1% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| HFRO | Sell | Highland Floating Rate Opportunities Fund | $16,882,000 | -10.0% | 2,150,544 | -7.1% | 11.34% | +23.4% |
| NHF | Sell | NexPoint Credit Strategies Fund | $15,233,000 | -14.1% | 1,668,446 | -9.4% | 10.23% | +17.8% |
| JQC | Sell | Nuveen Credit Strategies Income Fund | $7,588,000 | -24.8% | 1,310,608 | -23.6% | 5.10% | +3.1% |
| CLM | Sell | Cornerstone Strategic Value Fund Inc | $7,069,000 | -37.6% | 656,381 | -37.6% | 4.75% | -14.5% |
| EVV | Sell | Eaton Vance Limited Duration Income Fund | $6,832,000 | -21.3% | 583,896 | -21.9% | 4.59% | +7.9% |
| GHY | Sell | PGIM Global Short Duration High Yield Fund, Inc. | $6,535,000 | -25.5% | 513,342 | -22.9% | 4.39% | +2.1% |
| ISD | Sell | PGIM Short Duration High Yield Fund, Inc. | $6,129,000 | -28.8% | 452,966 | -27.9% | 4.12% | -2.4% |
| CET | Sell | Central Securities Corp | $4,833,000 | -26.4% | 171,491 | -24.5% | 3.25% | +0.9% |
| FAX | Buy | Aberdeen Asia Pacific In Com | $4,541,000 | +11.4% | 1,195,079 | +19.9% | 3.05% | +52.7% |
| BIF | Sell | Boulder Growth & Income Fund Inc | $4,333,000 | -12.8% | 455,145 | -10.2% | 2.91% | +19.5% |
| AIF | Sell | Apollo Tactical Income Fund Inc | $3,716,000 | -1.8% | 295,651 | -1.9% | 2.50% | +34.5% |
| PCI | Buy | PIMCO Dynamic Credit and Mortgage Income Fund | $3,473,000 | +29.4% | 183,974 | +32.9% | 2.33% | +77.4% |
| SDS | Buy | ProShares UltraShort S&P50ultrashrt s&p500 | $3,173,000 | -0.1% | 191,398 | +3.8% | 2.13% | +37.0% |
| ADX | Sell | Adams Diversified Equity Fund Inc | $2,907,000 | -2.0% | 186,841 | -1.2% | 1.95% | +34.3% |
| VCIF | Buy | Vertical Capital Income Fund | $2,647,000 | +16.1% | 266,295 | +13.0% | 1.78% | +59.2% |
| BMEZ | Buy | BlackRock Health Sciences Trust II | $2,618,000 | +72.2% | 111,991 | +66.5% | 1.76% | +136.1% |
| BSTZ | Buy | BlackRock Science and Technology Trust II | $2,502,000 | +402.4% | 95,563 | +383.4% | 1.68% | +588.9% |
| AIO | Buy | AllianzGI Artificial Intelligence Opp Fund | $2,461,000 | +5.3% | 116,729 | +4.6% | 1.65% | +44.4% |
| CRF | Sell | Cornerstone Total Rtrn Fd In | $2,377,000 | -47.3% | 223,611 | -48.4% | 1.60% | -27.8% |
| GAM | Sell | General American Investors Co Inc | $2,377,000 | -1.8% | 72,280 | -0.9% | 1.60% | +34.5% |
| BGY | Sell | BlackRock Enhanced International Dividend Trust | $2,006,000 | -13.2% | 403,527 | -4.5% | 1.35% | +19.0% |
| WIW | Buy | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $1,943,000 | +9.0% | 170,449 | +7.9% | 1.30% | +49.3% |
| MIN | New | MFS Inter Income Trsh ben int | $1,933,000 | – | 518,132 | +100.0% | 1.30% | – |
| AWP | Sell | Aberdeen Global Premier Properties Fund | $1,841,000 | -16.6% | 422,333 | -7.2% | 1.24% | +14.3% |
| CUBA | Sell | The Herzfeld Caribbean Basin Fund Inc | $1,737,000 | +2.1% | 486,477 | -0.6% | 1.17% | +39.9% |
| FPF | Buy | First Tr Inter Dur Pfd & In | $1,704,000 | -1.4% | 79,019 | +0.2% | 1.14% | +35.2% |
| VTA | Buy | Invesco Dynamic Credit Opportunities Fund | $1,575,000 | +61.2% | 170,279 | +55.8% | 1.06% | +120.9% |
| DSU | Sell | BlackRock Debt Strategies Fund | $1,360,000 | -31.8% | 142,736 | -29.9% | 0.91% | -6.4% |
| BWG | Sell | BrandywineGLOBAL - Global Income Opportunities Fund Inc. | $1,319,000 | -24.6% | 119,828 | -14.2% | 0.89% | +3.4% |
| MAV | Sell | Pioneer Municipal High Income Advantage Trust | $1,316,000 | -53.0% | 120,724 | -51.5% | 0.88% | -35.6% |
| FSD | Buy | First Trust High Income Long/Short Fund | $1,174,000 | +31.5% | 87,029 | +36.7% | 0.79% | +80.1% |
| AOD | Sell | Aberdeen Total Dynamic Dividend Fund | $1,129,000 | -32.9% | 154,458 | -27.6% | 0.76% | -8.1% |
| MMT | New | MFS Multimarket Income Trsh ben int | $1,127,000 | – | 198,836 | +100.0% | 0.76% | – |
| AGD | Sell | Aberdeen Global Dynamic Dividend Fund | $1,109,000 | -26.9% | 129,266 | -22.6% | 0.74% | +0.1% |
| RMRM | Sell | RMR Real Estate Income Fund | $1,042,000 | -38.7% | 148,002 | -0.2% | 0.70% | -16.0% |
| PHK | Sell | PIMCO High Income Fund | $1,005,000 | -14.9% | 190,677 | -16.4% | 0.68% | +16.6% |
| BIL | SPDR Ser Trspdr bloomberg | $999,000 | -0.1% | 10,919 | 0.0% | 0.67% | +36.9% | |
| DMO | Sell | Western Asset Mortgage Opp Fund Inc. | $988,000 | -9.3% | 74,829 | -2.7% | 0.66% | +24.3% |
| IHI | Buy | iShares U.S. Medical Devices ETFu.s. med dvc etf | $917,000 | +35.1% | 3,075 | +32.8% | 0.62% | +85.0% |
| JLS | Buy | Nuveen Mortgage and Income Fund | $889,000 | +452.2% | 47,676 | +460.4% | 0.60% | +655.7% |
| IBB | iShares Nasdaq Biotechnology ETFnasdaq biotech | $725,000 | -2.8% | 5,550 | 0.0% | 0.49% | +33.1% | |
| RMI | Sell | Rivernorth Opportunistic Mun | $699,000 | -11.2% | 34,703 | -5.9% | 0.47% | +21.8% |
| AWF | Buy | AllianceBernstern Global High Income Fund | $685,000 | -2.3% | 66,601 | +1.1% | 0.46% | +33.7% |
| SHY | Ishares Tr 13 Yr1 3 yr treas bd | $647,000 | -0.2% | 7,481 | 0.0% | 0.44% | +36.8% | |
| BFZ | Buy | BlackRock Calif Mun Income | $618,000 | +5.8% | 47,529 | +12.3% | 0.42% | +45.1% |
| MINT | PIMCO Enhanced Short Maturity Active Exchange-Traded Fundenhan shrt ma ac | $551,000 | +0.2% | 5,400 | 0.0% | 0.37% | +37.0% | |
| CXH | Sell | MFS Investment Grade Municipal Trustsh ben int | $509,000 | -29.3% | 55,877 | -24.1% | 0.34% | -3.1% |
| NEE | Sell | NextEra Energy Inc | $444,000 | -78.3% | 6,059 | -16.8% | 0.30% | -70.3% |
| LIVN | LivaNova PLC | $419,000 | +8.0% | 8,330 | 0.0% | 0.28% | +47.9% | |
| ESRT | Empire State Realty Trust Inccl a | $398,000 | -18.4% | 73,894 | 0.0% | 0.27% | +11.7% | |
| SBI | Buy | Western Assest Intm Muni Fd | $324,000 | +6.2% | 37,291 | +9.2% | 0.22% | +46.3% |
| WIA | Buy | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $313,000 | -2.2% | 25,322 | +0.1% | 0.21% | +33.8% |
| MHI | Sell | Pioneer Municipal High Income Trust | $252,000 | -28.4% | 22,221 | -24.3% | 0.17% | -2.3% |
| PNI | Sell | Pimco New York Municipal Income Fund II | $250,000 | -32.1% | 24,670 | -27.1% | 0.17% | -6.7% |
| KTF | Buy | Deutsche Municipal Income Trust | $242,000 | -4.3% | 22,238 | +0.2% | 0.16% | +31.5% |
| NUO | Nuveen Ohio Qlty Mun Income | $233,000 | -0.4% | 15,331 | 0.0% | 0.16% | +36.5% | |
| MRK | Buy | Merck & Co Inc | $210,000 | -5.8% | 2,794 | +0.6% | 0.14% | +29.4% |
| SSSS | Buy | Sutter Rock Cap Corp | $198,000 | -2.0% | 24,000 | +50.0% | 0.13% | +34.3% |
| AMX | Buy | America Movil SAB de CV | $190,000 | -5.0% | 15,948 | +0.6% | 0.13% | +30.6% |
| MUI | Sell | BlackRock Muni Intermediate Duration Fund Inc | $186,000 | -60.4% | 13,284 | -59.8% | 0.12% | -45.7% |
| MHF | Sell | Western Asset Mun Hi Incm Fd | $183,000 | -64.7% | 25,481 | -64.0% | 0.12% | -51.6% |
| RMM | Rivernorth Managed Duration Municipal Income Fund Inc. | $181,000 | -4.7% | 10,947 | 0.0% | 0.12% | +31.2% | |
| RCS | Buy | PIMCO Strategic Income Fd | $169,000 | +7.0% | 27,497 | +12.9% | 0.11% | +48.1% |
| NAD | Sell | Nuveen Quality Municipal Income Fund | $164,000 | -46.9% | 11,363 | -46.1% | 0.11% | -27.2% |
| AFB | Sell | AllianceBernstein National Municipal Income Fund Inc | $161,000 | -48.9% | 11,825 | -48.0% | 0.11% | -29.9% |
| MUC | Sell | BlackRock Munihldngs Cali QL | $156,000 | -38.8% | 10,937 | -37.2% | 0.10% | -16.0% |
| AMGN | Amgen Inc | $156,000 | -10.9% | 717 | 0.0% | 0.10% | +22.1% | |
| CEF | Sprott Physical Gold and Silver Trusttr unit | $147,000 | +8.9% | 8,000 | 0.0% | 0.10% | +50.0% | |
| VMM | Delaware Investments Minnesota Municipal Income Fund II Inc | $145,000 | 0.0% | 11,218 | 0.0% | 0.10% | +36.6% | |
| OPP | Sell | Rivernorth Doubleline Strate | $142,000 | -92.6% | 10,563 | -92.2% | 0.10% | -89.9% |
| MFM | MFS Municipal Income Trustsh ben int | $116,000 | -4.1% | 18,322 | 0.0% | 0.08% | +32.2% | |
| DTF | Buy | DTF Tax-Free Income Inc | $116,000 | +4.5% | 8,138 | +5.2% | 0.08% | +44.4% |
| SVVC | Firsthand Technology Value Fund, Inc. | $109,000 | -36.6% | 35,166 | 0.0% | 0.07% | -13.1% | |
| ASA | ASA Gold and Precious Metals Ltd | $107,000 | +21.6% | 5,028 | 0.0% | 0.07% | +67.4% | |
| EVN | Eaton Vance Muni Income Trustsh ben int | $101,000 | -2.9% | 8,034 | 0.0% | 0.07% | +33.3% | |
| BMY | Bristol-Myers Squibb Co | $99,000 | -1.0% | 1,700 | 0.0% | 0.07% | +36.7% | |
| TY | Buy | Tri-Continental Corp | $100,000 | -2.0% | 3,958 | +0.3% | 0.07% | +34.0% |
| RFM | New | Rivernorth Flexible Mun Income | $97,000 | – | 4,828 | +100.0% | 0.06% | – |
| NVS | Novartis AGsponsored adr | $96,000 | -5.0% | 1,232 | 0.0% | 0.06% | +28.0% | |
| NEA | Sell | Nuveen AMT-Free Quality Municipal Income Fund | $94,000 | -44.0% | 6,528 | -43.4% | 0.06% | -23.2% |
| NXJ | Nuveen New Jersey Quality Municipal Income Fund | $88,000 | -1.1% | 6,456 | 0.0% | 0.06% | +34.1% | |
| LLY | Eli Lilly & Co | $84,000 | -12.5% | 642 | 0.0% | 0.06% | +19.1% | |
| NUW | Nuveen Amt- Free Mun Value Fd | $81,000 | -1.2% | 5,000 | 0.0% | 0.05% | +35.0% | |
| QQQ | Invesco QQQ Trunit ser 1 | $73,000 | +1.4% | 270 | 0.0% | 0.05% | +40.0% | |
| SPY | SPDR S&P 500 ETF Trtr unit | $72,000 | 0.0% | 220 | 0.0% | 0.05% | +37.1% | |
| UNH | UnitedHealth Group Inc | $69,000 | +1.5% | 225 | 0.0% | 0.05% | +39.4% | |
| BGX | Buy | Blackstone / GSO Long-Short Credit Income Fund | $65,000 | +3.2% | 5,194 | +1.2% | 0.04% | +41.9% |
| PYPL | Buy | PayPal Holdings, Inc. | $66,000 | -4.3% | 354 | +0.9% | 0.04% | +29.4% |
| SONY | Sony Corpsponsored adr | $64,000 | +8.5% | 763 | 0.0% | 0.04% | +48.3% | |
| PEO | Buy | Adams Natural Resources Fund Inc | $64,000 | -17.9% | 6,789 | +0.3% | 0.04% | +13.2% |
| TAK | Takeda Pharmaceutical Co Ltdsponsored adr | $62,000 | -15.1% | 4,000 | 0.0% | 0.04% | +16.7% | |
| JPS | Nuveen Pfd Securities Income Fund | $60,000 | -3.2% | 6,781 | 0.0% | 0.04% | +33.3% | |
| FAM | Buy | First Trust Aberdeen Global Opportunity Income Fund | $60,000 | +33.3% | 6,328 | +48.0% | 0.04% | +81.8% |
| MNP | Western Asset Municipal Partners Fund | $53,000 | -5.4% | 3,793 | 0.0% | 0.04% | +33.3% | |
| KSM | DWS Strategic Municipal Income Trust | $53,000 | -3.6% | 5,000 | 0.0% | 0.04% | +33.3% | |
| MDY | SPDR S&P MidCap 400 ETF Trutser1 s&pdcrp | $52,000 | +2.0% | 150 | 0.0% | 0.04% | +40.0% | |
| PZC | Sell | PIMCO California Municipal Income Fund III | $51,000 | -56.0% | 5,099 | -52.8% | 0.03% | -40.4% |
| INO | Inovio Pharmaceuticals Inc | $49,000 | -49.5% | 5,000 | 0.0% | 0.03% | -31.2% | |
| MDLZ | Buy | Mondelez International, Inc.cl a | $49,000 | 0.0% | 927 | +4.5% | 0.03% | +37.5% |
| JMM | Buy | Nuveen Multi-Market Income Fund Inc | $47,000 | +2.2% | 6,761 | +0.6% | 0.03% | +39.1% |
| UN | Sell | Unilever N.V. | $46,000 | -6.1% | 806 | -3.0% | 0.03% | +29.2% |
| ASG | Buy | Liberty All Star Growth Fund Inc | $41,000 | +2.5% | 5,649 | +1.8% | 0.03% | +40.0% |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $42,000 | -4.5% | 1,848 | +1.7% | 0.03% | +27.3% |
| GDL | Buy | The GDL Fund | $39,000 | +5.4% | 4,596 | +1.4% | 0.03% | +44.4% |
| RVT | Sell | Royce Value Trust Inc | $36,000 | -90.4% | 2,875 | -89.9% | 0.02% | -86.9% |
| SE | Sell | Sea Limitedadr | $34,000 | +6.2% | 214 | -17.1% | 0.02% | +43.8% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $34,000 | -2.9% | 2,819 | +1.8% | 0.02% | +35.3% |
| OCCI | Sell | OFS Credit Company Inc | $33,000 | -93.5% | 3,324 | -94.3% | 0.02% | -91.1% |
| GAB | Buy | Gabelli Equity Trust Inc | $33,000 | +10.0% | 6,109 | +2.9% | 0.02% | +46.7% |
| USO | United States Oil Fund LPunits | $32,000 | -11.1% | 1,250 | 0.0% | 0.02% | +16.7% | |
| USA | Sell | Liberty All Star Equity Fundsh ben int | $28,000 | -3.4% | 4,880 | -1.8% | 0.02% | +35.7% |
| ON | ON Semiconductor Corporation | $29,000 | +20.8% | 1,149 | 0.0% | 0.02% | +58.3% | |
| TSLA | Buy | Tesla Inc | $27,000 | +35.0% | 70 | +400.0% | 0.02% | +80.0% |
| MSFT | Microsoft Corp | $25,000 | 0.0% | 124 | 0.0% | 0.02% | +41.7% | |
| KPTI | Karyopharm Therapeutics Inc | $22,000 | -8.3% | 1,500 | 0.0% | 0.02% | +25.0% | |
| INCY | Sell | Incyte Corp | $23,000 | -11.5% | 260 | -2.3% | 0.02% | +15.4% |
| RCI | Rogers Communications Inccl b | $23,000 | 0.0% | 573 | 0.0% | 0.02% | +36.4% | |
| EQIX | Buy | Equinix Inc | $23,000 | -4.2% | 31 | +3.3% | 0.02% | +25.0% |
| GDV | Buy | The Gabelli Dividend & Income Trust | $23,000 | 0.0% | 1,282 | +1.7% | 0.02% | +36.4% |
| AMZN | Amazon Com Inc | $21,000 | -4.5% | 7 | 0.0% | 0.01% | +27.3% | |
| ASML | ASML Holding N V | $21,000 | 0.0% | 58 | 0.0% | 0.01% | +40.0% | |
| BABA | Alibaba Group Holding Limitedsponsored ads | $20,000 | +17.6% | 66 | 0.0% | 0.01% | +62.5% | |
| JPM | Buy | JPMorgan Chase & Co | $18,000 | 0.0% | 188 | +1.1% | 0.01% | +33.3% |
| CDNS | Sell | Cadence Design Systems, Inc. | $17,000 | -19.0% | 160 | -17.1% | 0.01% | +10.0% |
| CNI | Buy | Canadian National Railway Company | $17,000 | +21.4% | 174 | +17.6% | 0.01% | +57.1% |
| SPCE | Sell | Virgin Galactic Holdings, Inc. | $17,000 | -50.0% | 1,000 | -33.3% | 0.01% | -35.3% |
| TXN | Texas Instruments, Inc | $16,000 | +14.3% | 111 | 0.0% | 0.01% | +57.1% | |
| VOD | Buy | Vodafone Group plc ADRsponsored adr | $16,000 | +33.3% | 1,161 | +42.3% | 0.01% | +83.3% |
| HD | The Home Depot Inc | $16,000 | 0.0% | 61 | 0.0% | 0.01% | +37.5% | |
| TSM | Taiwan Semiconductor Manufacturing Company Limitedsponsored adr | $16,000 | +6.7% | 187 | 0.0% | 0.01% | +57.1% | |
| MA | MasterCard, Inc.cl a | $17,000 | -5.6% | 59 | 0.0% | 0.01% | +22.2% | |
| OTIS | Otis Worldwide Corp | $16,000 | -5.9% | 269 | 0.0% | 0.01% | +37.5% | |
| AVGO | Buy | Broadcom, Inc. | $15,000 | +15.4% | 44 | +10.0% | 0.01% | +66.7% |
| VLDRW | New | Velodyne Lidar Inc.*w exp 09/29/202 | $13,000 | – | 5,000 | +100.0% | 0.01% | – |
| FB | Buy | Facebook, Inc.cl a | $14,000 | +7.7% | 54 | +1.9% | 0.01% | +50.0% |
| HON | Buy | Honeywell Intl, Inc. | $14,000 | +16.7% | 84 | +3.7% | 0.01% | +50.0% |
| KCAC | New | Kensington Cap Acquisition C | $13,000 | – | 1,100 | +100.0% | 0.01% | – |
| HNW | Sell | Pioneer Diversified High Income Trust | $14,000 | -48.1% | 1,165 | -45.6% | 0.01% | -30.8% |
| EVG | Sell | Eaton Vance Short Duration Diversified Income Fund | $14,000 | -98.8% | 1,195 | -98.9% | 0.01% | -98.5% |
| BLK | BlackRock, Inc. | $14,000 | 0.0% | 24 | 0.0% | 0.01% | +28.6% | |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $12,000 | 0.0% | 1,713 | +2.0% | 0.01% | +33.3% |
| APD | Air products and Chemicals, Inc. | $12,000 | -7.7% | 45 | 0.0% | 0.01% | +33.3% | |
| IPOC | New | Social Capital Hedosophia Holdings Corp. lll | $10,000 | – | 1,000 | +100.0% | 0.01% | – |
| LMT | Lockheed Martin Corp. | $11,000 | -8.3% | 31 | 0.0% | 0.01% | +16.7% | |
| RYAAY | Buy | Ryanair Holdings plc ADRsponsored ads | $11,000 | +450.0% | 133 | +533.3% | 0.01% | +600.0% |
| PACK | Ranpak Hldgs Corp | $11,000 | 0.0% | 1,309 | 0.0% | 0.01% | +40.0% | |
| SBUX | Starbucks Corp. | $10,000 | +25.0% | 110 | 0.0% | 0.01% | +75.0% | |
| TSI | TCW Strategic Income Fund Inc | $11,000 | -8.3% | 2,000 | 0.0% | 0.01% | +16.7% | |
| ZTR | Buy | Virtus Total Return Fund Inc. | $11,000 | -8.3% | 1,496 | +3.0% | 0.01% | +16.7% |
| FEAC | New | Flying Eagle Acquistion Cor | $10,000 | – | 902 | +100.0% | 0.01% | – |
| PEP | PepsiCo, Inc. | $11,000 | -8.3% | 85 | 0.0% | 0.01% | +16.7% | |
| CCI | Crown Castle Intl Corp. | $11,000 | -8.3% | 70 | 0.0% | 0.01% | +16.7% | |
| VIAV | Viacom Inc. | $10,000 | -9.1% | 829 | 0.0% | 0.01% | +40.0% | |
| MRVL | Marvell Technology Group Ltd | $11,000 | 0.0% | 305 | 0.0% | 0.01% | +40.0% | |
| GOOG | Alphabet, Inc. Cl Ccl c | $11,000 | +10.0% | 7 | 0.0% | 0.01% | +40.0% | |
| PTC | PTC Inc. | $9,000 | -10.0% | 113 | 0.0% | 0.01% | +20.0% | |
| IBN | Buy | ICICI Bank Ltdadr | $9,000 | +12.5% | 847 | +0.2% | 0.01% | +50.0% |
| TFC | Truist Financial Corp | $9,000 | +12.5% | 221 | 0.0% | 0.01% | +50.0% | |
| MCD | McDonald's Corp | $9,000 | +12.5% | 42 | 0.0% | 0.01% | +50.0% | |
| CSCO | Cisco Systems, Inc. | $9,000 | -25.0% | 245 | 0.0% | 0.01% | 0.0% | |
| GF | Sell | The New Germany Fund Inc | $9,000 | -10.0% | 586 | -9.6% | 0.01% | +20.0% |
| ABT | Abbott Laboratories | $8,000 | +14.3% | 73 | 0.0% | 0.01% | +66.7% | |
| ABBV | Buy | AbbVie, Inc. | $7,000 | 0.0% | 87 | +16.0% | 0.01% | +66.7% |
| ADP | Automatic Data Processing, Inc. | $8,000 | +14.3% | 51 | 0.0% | 0.01% | +66.7% | |
| ISRG | Intuitive Surgical, Inc. | $7,000 | -12.5% | 11 | 0.0% | 0.01% | +25.0% | |
| KCACWS | New | Kensington Cap Acquisition C*w exp 07/01/202 | $7,000 | – | 3,000 | +100.0% | 0.01% | – |
| MMC | Marsh & McLennan Companies, Inc. | $7,000 | -12.5% | 68 | 0.0% | 0.01% | +25.0% | |
| MOR | MorphoSys AGsponsored ads | $8,000 | -20.0% | 304 | 0.0% | 0.01% | 0.0% | |
| NFLX | Netflix, Inc. | $7,000 | 0.0% | 15 | 0.0% | 0.01% | +66.7% | |
| PAYX | Paychex, Inc | $8,000 | +14.3% | 102 | 0.0% | 0.01% | +66.7% | |
| SRE | Sempra Energy | $7,000 | 0.0% | 55 | 0.0% | 0.01% | +66.7% | |
| TMO | Buy | Thermo Fisher Scientific, Inc. | $7,000 | +16.7% | 15 | +7.1% | 0.01% | +66.7% |
| VZ | Verizon Communications Inc | $7,000 | 0.0% | 120 | 0.0% | 0.01% | +66.7% | |
| WEC | Sell | WEC Energy Group, Inc. | $8,000 | -11.1% | 80 | -11.1% | 0.01% | +25.0% |
| FREE | Whole Earth Brands, Inc. | $8,000 | +14.3% | 1,000 | 0.0% | 0.01% | +66.7% | |
| MDT | Medtronic plc | $7,000 | 0.0% | 73 | 0.0% | 0.01% | +66.7% | |
| ITW | Illinois Tool Works, Inc. | $6,000 | 0.0% | 30 | 0.0% | 0.00% | +33.3% | |
| PNC | The PNC Financial Services Group Inc | $6,000 | +20.0% | 50 | 0.0% | 0.00% | +100.0% | |
| EEA | The European Equity Fund Inc | $6,000 | +20.0% | 617 | 0.0% | 0.00% | +100.0% | |
| PLD | Buy | ProLogis, Inc. | $6,000 | +50.0% | 64 | +82.9% | 0.00% | +100.0% |
| FREEW | New | Whole Earth Brands Inc.*w exp 06/25/202 | $6,000 | – | 6,250 | +100.0% | 0.00% | – |
| ALC | Alcon, Inc. | $6,000 | 0.0% | 100 | 0.0% | 0.00% | +33.3% | |
| JNJ | Sell | Johnson & Johnson | $6,000 | -33.3% | 43 | -33.8% | 0.00% | 0.0% |
| COST | Costco Wholesale Corp. | $4,000 | 0.0% | 11 | 0.0% | 0.00% | +50.0% | |
| CMCSA | Comcast Corp. Cl A Common Stockcl a | $5,000 | 0.0% | 114 | 0.0% | 0.00% | +50.0% | |
| MCO | Moody's Corp. | $4,000 | 0.0% | 15 | 0.0% | 0.00% | +50.0% | |
| CEE | Central and Eastern European Fund Inc | $4,000 | -20.0% | 222 | 0.0% | 0.00% | +50.0% | |
| QCOM | New | Qualcomm Inc | $5,000 | – | 40 | +100.0% | 0.00% | – |
| CVX | Chevron Corp. | $5,000 | -16.7% | 77 | 0.0% | 0.00% | 0.0% | |
| ITUB | Itau Unibanco Holding S.A.spon adr rep pfd | $5,000 | -16.7% | 1,119 | 0.0% | 0.00% | 0.0% | |
| SVXY | ProShares Short VIX Short-Term Futures ETFsht vix st trm | $4,000 | 0.0% | 110 | 0.0% | 0.00% | +50.0% | |
| NKE | Nike, Inc.cl b | $5,000 | +25.0% | 43 | 0.0% | 0.00% | +50.0% | |
| MELI | MercadoLibre, Inc. | $5,000 | +25.0% | 4 | 0.0% | 0.00% | +50.0% | |
| IRL | The New Ireland Fund Inc | $5,000 | 0.0% | 605 | 0.0% | 0.00% | +50.0% | |
| SHOP | Buy | Shopify, Inc.cl a | $5,000 | +25.0% | 5 | +25.0% | 0.00% | +50.0% |
| PG | Procter & Gamble Co. (The) | $4,000 | 0.0% | 31 | 0.0% | 0.00% | +50.0% | |
| PGP | PIMCO Global StocksPLS Inc. | $5,000 | 0.0% | 589 | 0.0% | 0.00% | +50.0% | |
| AEF | Aberdeen Emerging Markets Equity Inc. | $5,000 | 0.0% | 768 | 0.0% | 0.00% | +50.0% | |
| IFN | The India Fund Inc | $4,000 | +33.3% | 215 | 0.0% | 0.00% | +200.0% | |
| LCAHW | New | Landcadia Hldgs II Inc*w exp 05/09/202 | $5,000 | – | 1,500 | +100.0% | 0.00% | – |
| REGN | Regeneron Pharmaceuticals, Inc. | $4,000 | 0.0% | 7 | 0.0% | 0.00% | +50.0% | |
| CB | Buy | Chubb Ltd | $5,000 | +25.0% | 35 | +2.9% | 0.00% | +50.0% |
| EMF | Templeton Emerging Markets Fund | $4,000 | 0.0% | 238 | 0.0% | 0.00% | +50.0% | |
| ETN | Buy | Eaton Corp. plc (Ireland) | $4,000 | +100.0% | 35 | +59.1% | 0.00% | +200.0% |
| JEQ | Aberdeen Japan Equity Fund Inc | $5,000 | +25.0% | 561 | 0.0% | 0.00% | +50.0% | |
| ZTS | Zoetis Inc.cl a | $4,000 | 0.0% | 25 | 0.0% | 0.00% | +50.0% | |
| AZN | AstraZeneca Group plc ADRsponsored adr | $4,000 | 0.0% | 78 | 0.0% | 0.00% | +50.0% | |
| BGNE | BeiGene, Ltd.sponsored adr | $4,000 | +33.3% | 14 | 0.0% | 0.00% | +200.0% | |
| USB | U.S. Bancorp | $4,000 | 0.0% | 112 | 0.0% | 0.00% | +50.0% | |
| BSX | Buy | Boston Scientific Corp. | $4,000 | 0.0% | 129 | +13.2% | 0.00% | +50.0% |
| V | Sell | Visa Inc | $5,000 | -28.6% | 30 | -16.7% | 0.00% | 0.0% |
| VRTX | Vertex Pharmaceuticals, Inc. | $3,000 | -25.0% | 14 | 0.0% | 0.00% | 0.0% | |
| NVO | Buy | Novo Nordisk A/S ADRadr | $3,000 | +50.0% | 44 | +41.9% | 0.00% | +100.0% |
| O | Realty Income Corp. | $3,000 | 0.0% | 55 | 0.0% | 0.00% | +100.0% | |
| QSR | Restaurant Brands International Inc | $3,000 | 0.0% | 57 | 0.0% | 0.00% | +100.0% | |
| IIF | Sell | Morgan Stanley India Investment Fund Inc | $3,000 | -25.0% | 163 | -22.7% | 0.00% | 0.0% |
| MXF | The Mexico Fund, Inc. | $3,000 | 0.0% | 309 | 0.0% | 0.00% | +100.0% | |
| RDSB | Buy | ROYAL DUTCH SHELL PLCspon adr b | $3,000 | -96.5% | 109 | +36.2% | 0.00% | -95.2% |
| KF | The Korea Fund Inc | $3,000 | +50.0% | 85 | 0.0% | 0.00% | +100.0% | |
| JOF | Japan Smaller Capitalization Fund Inc | $3,000 | +50.0% | 321 | 0.0% | 0.00% | +100.0% | |
| SGEN | Seattle Genetics, In | $3,000 | 0.0% | 18 | 0.0% | 0.00% | +100.0% | |
| NOW | Sell | ServiceNow, Inc. | $3,000 | -25.0% | 7 | -30.0% | 0.00% | 0.0% |
| SHW | Buy | Sherwin-Williams Co. (The) | $3,000 | 0.0% | 5 | +25.0% | 0.00% | +100.0% |
| IDXX | New | IDEXX Labs Inc. | $3,000 | – | 6 | +100.0% | 0.00% | – |
| IEX | Buy | IDEX Corp. | $3,000 | 0.0% | 18 | +5.9% | 0.00% | +100.0% |
| VALE | Vale SAadr | $3,000 | 0.0% | 271 | 0.0% | 0.00% | +100.0% | |
| KO | Coca-Cola Co. (The) | $3,000 | 0.0% | 68 | 0.0% | 0.00% | +100.0% | |
| BTI | Buy | British American Tobacco PLCsponsored adr | $3,000 | 0.0% | 90 | +4.7% | 0.00% | +100.0% |
| BGIO | BlackRock 2022 Global Income Opp Tr | $3,000 | 0.0% | 300 | 0.0% | 0.00% | +100.0% | |
| ADBE | Adobe Systems, Inc. | $3,000 | 0.0% | 7 | 0.0% | 0.00% | +100.0% | |
| ES | Eversource Energy | $2,000 | 0.0% | 18 | 0.0% | 0.00% | 0.0% | |
| ICE | Buy | Intercontinental Exchange Group, Inc. | $2,000 | 0.0% | 22 | +4.8% | 0.00% | 0.0% |
| TCOM | Trip.com Group Ltd ADRads | $1,000 | 0.0% | 48 | 0.0% | 0.00% | – | |
| ADSK | Autodesk, Inc. | $2,000 | 0.0% | 7 | 0.0% | 0.00% | 0.0% | |
| TRMB | Trimble, Inc. | $2,000 | 0.0% | 40 | 0.0% | 0.00% | 0.0% | |
| AAPL | New | Apple Inc | $2,000 | – | 17 | +100.0% | 0.00% | – |
| BUD | Anheuser-Busch Inbev SA/NV ADRsponsored adr | $2,000 | 0.0% | 36 | 0.0% | 0.00% | 0.0% | |
| AMT | Buy | American Tower Corporation | $1,000 | 0.0% | 6 | +50.0% | 0.00% | – |
| EFX | Buy | Equifax, Inc. | $2,000 | 0.0% | 11 | +10.0% | 0.00% | 0.0% |
| SMAR | New | Smartsheet, Inc. Cl A | $2,000 | – | 34 | +100.0% | 0.00% | – |
| GDDY | GoDaddy, Inc.cl a | $2,000 | 0.0% | 32 | 0.0% | 0.00% | 0.0% | |
| AMD | Advanced Micro Devices, Inc. | $2,000 | 0.0% | 24 | 0.0% | 0.00% | 0.0% | |
| LIN | Linde plc | $2,000 | 0.0% | 10 | 0.0% | 0.00% | 0.0% | |
| SLB | Buy | Schlumberger Ltd | $2,000 | 0.0% | 106 | +2.9% | 0.00% | 0.0% |
| ATVI | Activision Blizzard, Inc. | $2,000 | 0.0% | 27 | 0.0% | 0.00% | 0.0% | |
| TEVA | New | Teva Pharmaceutical Inds Ltdsponsored adr | $1,000 | – | 166 | +100.0% | 0.00% | – |
| GS | Goldman Sachs Group, Inc. (The) | $1,000 | 0.0% | 7 | 0.0% | 0.00% | – | |
| HLT | Buy | Hilton, Inc | $2,000 | 0.0% | 26 | +4.0% | 0.00% | 0.0% |
| CRSP | New | CRISPR Therapeutics AGnamen akt | $2,000 | – | 17 | +100.0% | 0.00% | – |
| PODD | Insulet Corp. | $2,000 | 0.0% | 11 | 0.0% | 0.00% | 0.0% | |
| LYB | LyondellBasell Industries N.V. Class A | $1,000 | 0.0% | 18 | 0.0% | 0.00% | – | |
| PSX | Phillips 66 | $2,000 | 0.0% | 38 | 0.0% | 0.00% | 0.0% | |
| IHG | InterContinental Hotels Group plc ADRsponsored adr | $2,000 | 0.0% | 33 | 0.0% | 0.00% | 0.0% | |
| RARE | New | Ultragenyx Pharmaceutical In | $2,000 | – | 15 | +100.0% | 0.00% | – |
| AYX | Exit | Alteryx, Inc.cl a | $0 | – | -7 | -100.0% | 0.00% | – |
| DE | Exit | Deere & Co. | $0 | – | -6 | -100.0% | 0.00% | – |
| INTC | Exit | Intel Corp. | $0 | – | -28 | -100.0% | 0.00% | – |
| NBO | Exit | Neuberger Brman NY Muni Fd | $0 | – | -196 | -100.0% | -0.00% | – |
| ENB | Exit | Enbridge, Inc. | $0 | – | -110 | -100.0% | -0.00% | – |
| MXIM | Exit | Maxim Integrated Products, Inc. | $0 | – | -56 | -100.0% | -0.00% | – |
| XP | Exit | XP Inc.cl a | $0 | – | -134 | -100.0% | -0.00% | – |
| OPES | Exit | Opes Acquisition Corp. | $0 | – | -500 | -100.0% | -0.00% | – |
| BAC | Exit | Bank of America Corp. | $0 | – | -300 | -100.0% | -0.00% | – |
| GRAFWS | Exit | Graf Industrial Corp*w exp 12/31/202 | $0 | – | -5,000 | -100.0% | -0.01% | – |
| DKNG | Exit | DraftKings Inc. | $0 | – | -330 | -100.0% | -0.01% | – |
| ARYA | Exit | ARYA SCIENCES ACQUIS UTS EXP | $0 | – | -1,000 | -100.0% | -0.01% | – |
| BTT | Exit | BlackRock Municipal 2030 Target Term Trust | $0 | – | -607 | -100.0% | -0.01% | – |
| VVNTWS | Exit | Vivint Smart Home Inc.*w exp 01/17/202 | $0 | – | -4,000 | -100.0% | -0.01% | – |
| IPOBU | Exit | Social Capital Hedosophia Holdings Corp. IIIunit 99/99/9999 | $0 | – | -2,000 | -100.0% | -0.01% | – |
| FMCI | Exit | Forum Merger II Corp. Cl Acl a | $0 | – | -2,000 | -100.0% | -0.01% | – |
| ERC | Exit | Wells Fargo Advantage Multi-Sector Income Fund | $0 | – | -2,953 | -100.0% | -0.02% | – |
| CMU | Exit | MFS High Yield Municipal Trustsh ben int | $0 | – | -12,637 | -100.0% | -0.03% | – |
| VTOL | Exit | Bristow Group, Inc. | $0 | – | -4,491 | -100.0% | -0.03% | – |
| PNF | Exit | PIMCO NY Municipal Income Fd | $0 | – | -5,966 | -100.0% | -0.04% | – |
| NMCO | Exit | Nuveen Municipal Credit Opp Fund | $0 | – | -6,372 | -100.0% | -0.04% | – |
| FT | Exit | Franklin Unvl Trsh ben int | $0 | – | -15,168 | -100.0% | -0.05% | – |
| GDX | Exit | VanEck Vectors Gold Miners ETFgold miners etf | $0 | – | -3,059 | -100.0% | -0.06% | – |
| OXSQ | Exit | Oxford Square Capital Corp. | $0 | – | -50,759 | -100.0% | -0.07% | – |
| TV | Exit | Grupo Televisa SABspon adr rep ord | $0 | – | -28,400 | -100.0% | -0.07% | – |
| NMZ | Exit | Nuveen Muni High Income Opp Fund | $0 | – | -12,335 | -100.0% | -0.08% | – |
| EIM | Exit | Eaton Vance Mun Bd Fd | $0 | – | -13,488 | -100.0% | -0.09% | – |
| PGZ | Exit | Principal Real Estate Income Fund | $0 | – | -18,112 | -100.0% | -0.10% | – |
| JRI | Exit | Nuveen Real Asset Income and Growth Fund | $0 | – | -18,344 | -100.0% | -0.11% | – |
| CCL | Exit | Carnival Corpunit 99/99/9999 | $0 | – | -25,559 | -100.0% | -0.21% | – |
| EVTC | Exit | EVERTEC Inc | $0 | – | -16,956 | -100.0% | -0.23% | – |
| VAC | Exit | Marriott Vacations Worldwide Corp | $0 | – | -6,745 | -100.0% | -0.27% | – |
| VMC | Exit | Vulcan Materials Co | $0 | – | -5,000 | -100.0% | -0.28% | – |
| SEB | Exit | Seaboard Corp | $0 | – | -204 | -100.0% | -0.29% | – |
| CIB | Exit | Bancolombia SAspon adr pref | $0 | – | -23,280 | -100.0% | -0.30% | – |
| MLM | Exit | Martin Marietta Materials Inc | $0 | – | -3,000 | -100.0% | -0.30% | – |
| ASR | Exit | Grupo Aeroportuario del Sureste SAB de CVspon adr ser b | $0 | – | -6,600 | -100.0% | -0.36% | – |
| CX | Exit | Cemex SAB de CVspon adr new | $0 | – | -270,645 | -100.0% | -0.38% | – |
| AVK | Exit | Advent Claymore Convertible Securities and Income Fund | $0 | – | -61,427 | -100.0% | -0.42% | – |
| FMX | Exit | Fomento Economico Mexicano SAB de CVspon adr units | $0 | – | -14,610 | -100.0% | -0.44% | – |
| SOR | Exit | Source Capital Inc | $0 | – | -26,689 | -100.0% | -0.47% | – |
| CWCO | Exit | Consolidated Water Co Ltdord | $0 | – | -70,025 | -100.0% | -0.50% | – |
| CPA | Exit | Copa Holdings SAcl a | $0 | – | -20,250 | -100.0% | -0.50% | – |
| LEN | Exit | Lennar Corpcl a | $0 | – | -18,500 | -100.0% | -0.56% | – |
| FDP | Exit | Fresh Del Monte Produce Incord | $0 | – | -48,850 | -100.0% | -0.59% | – |
| PGTI | Exit | PGT Innovations Inc | $0 | – | -77,117 | -100.0% | -0.59% | – |
| NCLH | Exit | Norwegian Cruise Line Holdings Ltd | $0 | – | -76,717 | -100.0% | -0.62% | – |
| Exit | Medley Capital Corporation | $0 | – | -102,371 | -100.0% | -0.71% | – | |
| FBP | Exit | First BanCorp/Puerto Rico | $0 | – | -289,477 | -100.0% | -0.79% | – |
| RCL | Exit | Royal Caribbean Cruises Ltd | $0 | – | -35,120 | -100.0% | -0.87% | – |
| BPOP | Exit | Popular Inc | $0 | – | -55,230 | -100.0% | -1.01% | – |
| HIX | Exit | Western Asset High Incm Fd | $0 | – | -348,617 | -100.0% | -1.12% | – |
| MTZ | Exit | MasTec Inc | $0 | – | -102,297 | -100.0% | -2.25% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2020-11-12
Top long-term holdings
| Name | Quarters owned | Latest quarter owned | Max weighting |
|---|---|---|---|
| SRH Total Return Fund Inc. | 42 | Q3 2023 | 7.3% |
| Central Securities Corp. | 42 | Q3 2023 | 5.0% |
| Adams Express Company | 42 | Q3 2023 | 3.3% |
| GENERAL AMERN INVS INC | 42 | Q3 2023 | 2.8% |
| The Herzfeld Caribbean Basin Fund, Inc. | 42 | Q3 2023 | 3.5% |
| Liberty All-Star Equity Fund | 42 | Q3 2023 | 2.9% |
| TRI CONTL CORP | 42 | Q3 2023 | 2.6% |
| WESTERN ASSET CLYM INFL OPP | 42 | Q3 2023 | 2.1% |
| Royce Value Trust Inc. | 42 | Q3 2023 | 1.4% |
| The New Germany Fund Inc | 42 | Q3 2023 | 1.2% |
View Thomas J. Herzfeld Advisors, Inc.'s complete holdings history.
Latest significant ownerships (13-D/G)
| Filed | Shares | Percentage | |
|---|---|---|---|
| PROSHARES TRUSTSold out | October 03, 2022 | 0 | 0.0% |
| OFS Credit Company, Inc. | June 08, 2020 | 149,649 | 4.8% |
| Oxford Lane Capital Corp. | August 10, 2017 | 319,872 | 5.0% |
| Oxford Lane Capital Corp. | July 10, 2015 | 742,175 | 17.8% |
| HERZFELD CARIBBEAN BASIN FUND INC | February 24, 2014 | 229,788 | 6.2% |
| Oxford Lane Capital Corp.Sold out | November 21, 2013 | 0 | 0.0% |
View Thomas J. Herzfeld Advisors, Inc.'s complete significant-ownership history.
Latest filings
| Type | Filed |
|---|---|
| 13F-HR | 2024-02-14 |
| SC 13G/A | 2024-01-17 |
| SC 13G | 2024-01-17 |
| SC 13G/A | 2023-12-05 |
| SC 13G/A | 2023-12-05 |
| SC 13G | 2023-11-17 |
| 13F-HR | 2023-11-13 |
| 13F-HR/A | 2023-08-16 |
| 13F-HR/A | 2023-08-16 |
| SC 13G | 2023-08-16 |
View Thomas J. Herzfeld Advisors, Inc.'s complete filings history.
All filings
- Holdings (13F-HR)
- Significant ownership (13-D/G)
- Insider transactions (4, 5, 6)
- Events (8-K)
- Shareholder votes (proxy)
View complete filings history.