Filed: 5/15/2023ACC: 0001398344-23-009756
📋 What this filing means
THOMAS J. HERZFELD ADVISORS, INC. filed this quarterly 13F‑HR report disclosing 317 equity positions with a total reported market value of $244.00M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
317
Positions
$244.00M
Total AUM (reported)
21.47M
Total Shares
Allocation by class
COM$145.21M59.5%
SHS BEN INT$40.87M16.8%
COM SHS BEN INT$11.71M4.8%
SHRT HIGH YIELD$9.23M3.8%
FLOATING RAT TREA$7.75M3.2%
CL A$5.72M2.3%
SHS$4.97M2.0%
Portfolio Concentration
Top 3$53.75M22.0%
4–10$61.12M25.0%
11–25$51.28M21.0%
Rest$77.85M31.9%
Top 3 weight
22.0%
Top 10 weight
47.1%
Voting Authority Distribution
Total shares with voting rights: 21.49M
Sole
Full voting authority
21.49M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole317
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings317
Rows:
Highland Floating Rate Opportunities Fund
SOLEShares2.46M
TypeSH
Market value$25.35M
10.39%
Sole
2.46M
Shared
0.00
None
0.00
Saba Capital Income & Opportunities Fund
SOLEShares1.95M
TypeSH
Market value$14.81M
6.07%
Sole
1.95M
Shared
0.00
None
0.00
Nexpoint Diversified Rel Et
SOLEShares1.21M
TypeSH
Market value$13.59M
5.57%
Sole
1.21M
Shared
0.00
None
0.00
Oxford Lane Cap Corp
SOLEShares2.64M
TypeSH
Market value$13.40M
5.49%
Sole
2.64M
Shared
0.00
None
0.00
PIMCO Enrgy Tactical Cr Opp
SOLEShares783.80K
TypeSH
Market value$11.71M
4.80%
Sole
783.80K
Shared
0.00
None
0.00
ProShares TR
SOLEShares485.86K
TypeSH
Market value$9.23M
3.78%
Sole
485.86K
Shared
0.00
None
0.00
Cornerstone Strategic Value Fund Inc
SOLEShares1.10M
TypeSH
Market value$8.10M
3.32%
Sole
1.10M
Shared
0.00
None
0.00
Wisdomtree Tr
SOLEShares154.25K
TypeSH
Market value$7.75M
3.18%
Sole
154.25K
Shared
0.00
None
0.00
Tortoise Energy Independence
SOLEShares191K
TypeSH
Market value$5.57M
2.28%
Sole
191K
Shared
0.00
None
0.00
Boulder Growth & Income Fund Inc
SOLEShares421.70K
TypeSH
Market value$5.36M
2.19%
Sole
421.70K
Shared
0.00
None
0.00
Vertical Capital Income Fund
SOLEShares510.50K
TypeSH
Market value$4.45M
1.82%
Sole
510.50K
Shared
0.00
None
0.00
Clearbridge MLP And Midstrm
SOLEShares130.04K
TypeSH
Market value$4.34M
1.78%
Sole
130.04K
Shared
0.00
None
0.00
Adams Natural Resources Fund Inc
SOLEShares189.94K
TypeSH
Market value$4.14M
1.70%
Sole
189.94K
Shared
0.00
None
0.00
Apollo Tactical Income Fund Inc
SOLEShares328.09K
TypeSH
Market value$3.98M
1.63%
Sole
328.09K
Shared
0.00
None
0.00
Cornerstone Total Rtrn Fd In
SOLEShares540.11K
TypeSH
Market value$3.83M
1.57%
Sole
540.11K
Shared
0.00
None
0.00
BlackRock Cap Allocation Tr
SOLEShares270.01K
TypeSH
Market value$3.75M
1.53%
Sole
270.01K
Shared
0.00
None
0.00
Nuveen Short Duration Cr Opp
SOLEShares293.06K
TypeSH
Market value$3.48M
1.42%
Sole
293.06K
Shared
0.00
None
0.00
Central Securities Corp
SOLEShares100.09K
TypeSH
Market value$3.34M
1.37%
Sole
100.09K
Shared
0.00
None
0.00
BlackRock ESG Cap Allc Tr
SOLEShares246.90K
TypeSH
Market value$3.32M
1.36%
Sole
246.90K
Shared
0.00
None
0.00
Aberdeen Asia Pacific Income
SOLEShares1.19M
TypeSH
Market value$3.13M
1.28%
Sole
1.19M
Shared
0.00
None
0.00
Nuveen Mortgage and Income Fund
SOLEShares178.02K
TypeSH
Market value$2.88M
1.18%
Sole
178.02K
Shared
0.00
None
0.00
Western Asset Mortgage Opp Fund Inc.
SOLEShares257.17K
TypeSH
Market value$2.77M
1.14%
Sole
257.17K
Shared
0.00
None
0.00
New Fortress Energy Inc
SOLEShares63.60K
TypeSH
Market value$2.70M
1.11%
Sole
63.60K
Shared
0.00
None
0.00
The Gabelli Dividend & Income Trust
SOLEShares126.90K
TypeSH
Market value$2.62M
1.07%
Sole
126.90K
Shared
0.00
None
0.00
Neuberger Brman Next Genera
SOLEShares282.58K
TypeSH
Market value$2.57M
1.05%
Sole
282.58K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
Highland Floating Rate Opportunities FundSOLE | SHS BEN INT | 2.46M | SH | $25.35M 10.39% | 2.46M | 0.00 | 0.00 |
Saba Capital Income & Opportunities FundSOLE | COM | 1.95M | SH | $14.81M 6.07% | 1.95M | 0.00 | 0.00 |
Nexpoint Diversified Rel EtSOLE | COM | 1.21M | SH | $13.59M 5.57% | 1.21M | 0.00 | 0.00 |
Oxford Lane Cap CorpSOLE | COM | 2.64M | SH | $13.40M 5.49% | 2.64M | 0.00 | 0.00 |
PIMCO Enrgy Tactical Cr OppSOLE | COM SHS BEN INT | 783.80K | SH | $11.71M 4.80% | 783.80K | 0.00 | 0.00 |
ProShares TRSOLE | Shrt High Yield | 485.86K | SH | $9.23M 3.78% | 485.86K | 0.00 | 0.00 |
Cornerstone Strategic Value Fund IncSOLE | COM | 1.10M | SH | $8.10M 3.32% | 1.10M | 0.00 | 0.00 |
Wisdomtree TrSOLE | Floating Rat Trea | 154.25K | SH | $7.75M 3.18% | 154.25K | 0.00 | 0.00 |
Tortoise Energy IndependenceSOLE | COM | 191K | SH | $5.57M 2.28% | 191K | 0.00 | 0.00 |
Boulder Growth & Income Fund IncSOLE | COM | 421.70K | SH | $5.36M 2.19% | 421.70K | 0.00 | 0.00 |
Vertical Capital Income FundSOLE | SHS BEN INT | 510.50K | SH | $4.45M 1.82% | 510.50K | 0.00 | 0.00 |
Clearbridge MLP And MidstrmSOLE | COM | 130.04K | SH | $4.34M 1.78% | 130.04K | 0.00 | 0.00 |
Adams Natural Resources Fund IncSOLE | COM | 189.94K | SH | $4.14M 1.70% | 189.94K | 0.00 | 0.00 |
Apollo Tactical Income Fund IncSOLE | COM | 328.09K | SH | $3.98M 1.63% | 328.09K | 0.00 | 0.00 |
Cornerstone Total Rtrn Fd InSOLE | COM | 540.11K | SH | $3.83M 1.57% | 540.11K | 0.00 | 0.00 |
BlackRock Cap Allocation TrSOLE | COM | 270.01K | SH | $3.75M 1.53% | 270.01K | 0.00 | 0.00 |
Nuveen Short Duration Cr OppSOLE | COM | 293.06K | SH | $3.48M 1.42% | 293.06K | 0.00 | 0.00 |
Central Securities CorpSOLE | COM | 100.09K | SH | $3.34M 1.37% | 100.09K | 0.00 | 0.00 |
BlackRock ESG Cap Allc TrSOLE | SHS BEN INT | 246.90K | SH | $3.32M 1.36% | 246.90K | 0.00 | 0.00 |
Aberdeen Asia Pacific IncomeSOLE | COM | 1.19M | SH | $3.13M 1.28% | 1.19M | 0.00 | 0.00 |
Nuveen Mortgage and Income FundSOLE | COM | 178.02K | SH | $2.88M 1.18% | 178.02K | 0.00 | 0.00 |
Western Asset Mortgage Opp Fund Inc.SOLE | COM | 257.17K | SH | $2.77M 1.14% | 257.17K | 0.00 | 0.00 |
New Fortress Energy IncSOLE | CL A | 63.60K | SH | $2.70M 1.11% | 63.60K | 0.00 | 0.00 |
The Gabelli Dividend & Income TrustSOLE | COM | 126.90K | SH | $2.62M 1.07% | 126.90K | 0.00 | 0.00 |
Neuberger Brman Next GeneraSOLE | COMMON STOCK | 282.58K | SH | $2.57M 1.05% | 282.58K | 0.00 | 0.00 |
Page 1 of 13
…