Horizon Kinetics LLC current holdings: USA ETF
Horizon Kinetics LLC reported $0.13 billion in exchange-traded fund shares (known by the fund name on the filing) (listed in the US), 62 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are RMT, PDI, DSL.
- RMT: Country of operation —; Class COM; Shares 2,550,905; Value $19,923,000.
- PDI: Country of operation —; Class SHS; Shares 418,688; Value $11,924,000.
- DSL: Country of operation —; Class COM; Shares 600,795; Value $11,505,000.
- DBL: Country of operation —; Class COM; Shares 417,265; Value $10,715,000.
Form 13F-HR as filed (SEC CIK 1519418): quarter ended 2016-09-30, filed 2016-11-14. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.
Performance is each holding's price change from its close on the 2016-09-30 quarter end to its latest retained close (2026-09-29, or the date shown for a stock that stopped trading). Price only; dividends are not included. A stock that split in the period is restated by the split ratio in its own Form 8-K; a dash marks a holding with no retained closes.
| Stock | Country of operation | Class | Shares | Value | Quarter end | Filed | Performance |
|---|
RMT
ROYCE MICRO-CAP TR INC | | COM | 2,550,905 | $19,923,000 | 2016-09-30 | 2016-11-14 | |
|---|
PDI
PIMCO DYNAMIC INCOME FD | | SHS | 418,688 | $11,924,000 | 2016-09-30 | 2016-11-14 | |
|---|
DSL
DOUBLELINE INCOME SOLUTIONS | | COM | 600,795 | $11,505,000 | 2016-09-30 | 2016-11-14 | |
|---|
DBL
DOUBLELINE OPPORTUNISTIC CR | | COM | 417,265 | $10,715,000 | 2016-09-30 | 2016-11-14 | |
|---|
PFN
PIMCO INCOME STRATEGY FUND II | | COM | 955,566 | $9,106,000 | 2016-09-30 | 2016-11-14 | |
|---|
NEA
NUVEEN AMT-FREE QLTY MUN INCOME | | COM | 537,389 | $7,846,000 | 2016-09-30 | 2016-11-14 | |
|---|
PFL
PIMCO INCOME STRATEGY FUND | | COM | 512,641 | $5,480,000 | 2016-09-30 | 2016-11-14 | |
|---|
VTI
VANGUARD INDEX FDS | | TOTAL STK MKT | 42,906 | $4,777,000 | 2016-09-30 | 2016-11-14 | |
|---|
EVV
EATON VANCE LTD DUR INCOME F | | COM | 278,008 | $3,811,000 | 2016-09-30 | 2016-11-14 | |
|---|
VOO
VANGUARD INDEX FDS | | S&P 500 ETF SHS | 18,606 | $3,697,000 | 2016-09-30 | 2016-11-14 | |
|---|
IGSB
ISHARES TR | | 1-3 YR CR BD ETF | 27,000 | $2,856,000 | 2016-09-30 | 2016-11-14 | |
|---|
PCM
PCM FUND INC | | COM | 271,981 | $2,720,000 | 2016-09-30 | 2016-11-14 | |
|---|
DMO
WESTERN ASSET MTG DEF OPPTY | | COM | 107,057 | $2,558,000 | 2016-09-30 | 2016-11-14 | |
|---|
DIREXION SHS ETF TR
CUSIP 25459Y678 | | 20YR TRES BEAR | 138,280 | $2,283,000 | 2016-09-30 | 2016-11-14 | |
|---|
NAD
NUVEEN DIVID ADVANTAGE MUN F | | COM | 138,745 | $2,091,000 | 2016-09-30 | 2016-11-14 | |
|---|
VCSH
VANGUARD SCOTTSDALE FDS | | SHRT TRM CORP BD | 24,494 | $1,973,000 | 2016-09-30 | 2016-11-14 | |
|---|
WIW
WSTRN ASSET/CLYMRE US TR INF | | COM | 171,086 | $1,915,000 | 2016-09-30 | 2016-11-14 | |
|---|
FRA
BLACKROCK FLOAT RATE OME STR | | COM | 111,072 | $1,539,000 | 2016-09-30 | 2016-11-14 | |
|---|
NZF
NUVEEN DIV ADV MUNI FD 3 | | COM SH BEN INT | 92,247 | $1,452,000 | 2016-09-30 | 2016-11-14 | |
|---|
RVT
ROYCE VALUE TR INC | | COM | 111,177 | $1,407,000 | 2016-09-30 | 2016-11-14 | |
|---|
NAN
NUVEEN NY DIVID ADVNTG MUN F | | COM | 71,233 | $1,092,000 | 2016-09-30 | 2016-11-14 | |
|---|
RYDEX ETF TRUST
CUSIP 78355W106 | | GUG S&P00 EQ WT | 12,568 | $1,051,000 | 2016-09-30 | 2016-11-14 | |
|---|
BTZ
BLACKROCK CREDIT ALL INC TR | | COM | 71,329 | $952,000 | 2016-09-30 | 2016-11-14 | |
|---|
RQI
COHEN & STEERS QUALITY RLTY | | COM | 70,042 | $934,000 | 2016-09-30 | 2016-11-14 | |
|---|
SHV
ISHARES TR | | SHRT TRS BD ETF | 7,604 | $840,000 | 2016-09-30 | 2016-11-14 | |
|---|
SBI
WESTERN ASSET INTM MUNI FD I | | COM | 78,464 | $828,000 | 2016-09-30 | 2016-11-14 | |
|---|
NVG
NUVEEN DIVID ADVANTAGE | | COM | 51,141 | $822,000 | 2016-09-30 | 2016-11-14 | |
|---|
HPF
HANCOCK JOHN PFD INCOME FD I | | COM | 34,041 | $767,000 | 2016-09-30 | 2016-11-14 | |
|---|
GDL
GDL FUND | | COM SH BEN IT | 75,610 | $752,000 | 2016-09-30 | 2016-11-14 | |
|---|
SPSB
SPDR SERIES TRUST | | BARC SHT TR CP | 24,000 | $738,000 | 2016-09-30 | 2016-11-14 | |
|---|
NUV
NUVEEN MUN VALUE FD INC | | COM | 68,802 | $729,000 | 2016-09-30 | 2016-11-14 | |
|---|
NBH
NEUBERGER BERMAN INTER MUNI | | COM | 42,565 | $707,000 | 2016-09-30 | 2016-11-14 | |
|---|
BGT
BLACKROCK FLOATING RATE INCOME | | COM | 51,891 | $702,000 | 2016-09-30 | 2016-11-14 | |
|---|
VTN
INVESCO TR INVT GRADE NY MUN | | COM | 38,314 | $590,000 | 2016-09-30 | 2016-11-14 | |
|---|
IWC
ISHARES TR | | MICRO-CAP ETF | 6,908 | $539,000 | 2016-09-30 | 2016-11-14 | |
|---|
VVR
INVESCO SR INCOME TR | | COM | 117,193 | $507,000 | 2016-09-30 | 2016-11-14 | |
|---|
EVF
EATON VANCE SR INCOME TR | | SH BEN INT | 78,730 | $507,000 | 2016-09-30 | 2016-11-14 | |
|---|
HPS
HANCOCK JOHN PFD INCOME FD I | | COM | 25,382 | $491,000 | 2016-09-30 | 2016-11-14 | |
|---|
MINT
PIMCO ETF TR ENHAN SHRT MAT | | COM | 4,816 | $489,000 | 2016-09-30 | 2016-11-14 | |
|---|
VB
VANGUARD INDEX FDS | | SMALL CP ETF | 3,878 | $474,000 | 2016-09-30 | 2016-11-14 | |
|---|
JPC
NUVEEN PFD & CONV INC FD | | COM | 46,532 | $466,000 | 2016-09-30 | 2016-11-14 | |
|---|
VYM
VANGUARD WHITEHALL FDS INC | | HIGH DIV YLD | 6,318 | $456,000 | 2016-09-30 | 2016-11-14 | |
|---|
JFR
NUVEEN FLOATING RATE INCOME | | COM | 39,283 | $433,000 | 2016-09-30 | 2016-11-14 | |
|---|
SHY
ISHARES TR | | 1-3 YR TR BD ETF | 4,680 | $398,000 | 2016-09-30 | 2016-11-14 | |
|---|
PFD
FLAHERTY & CRUMRINE PFD INC | | COM | 22,964 | $348,000 | 2016-09-30 | 2016-11-14 | |
|---|
WIA
WESTERN ASSET CLYM INFL SEC | | COM SH BEN INT | 29,217 | $334,000 | 2016-09-30 | 2016-11-14 | |
|---|
EFR
EATON VANCE SR FLTNG RTE TR | | COM | 22,129 | $313,000 | 2016-09-30 | 2016-11-14 | |
|---|
PCN
PIMCO CORPORATE INCOME FD | | COM | 19,895 | $305,000 | 2016-09-30 | 2016-11-14 | |
|---|
MYN
BLACKROCK MUNIYIELD N Y QUALITY FUND INC | | COM | 21,306 | $301,000 | 2016-09-30 | 2016-11-14 | |
|---|
PTY
PIMCO CORPORATE OPP FD | | COM | 19,947 | $291,000 | 2016-09-30 | 2016-11-14 | |
|---|
EFT
EATON VANCE FLTING RATE INC | | COM | 17,000 | $241,000 | 2016-09-30 | 2016-11-14 | |
|---|
IQI
INVESCO QUALITY MUNI INC TRS | | COM | 16,970 | $234,000 | 2016-09-30 | 2016-11-14 | |
|---|
NIM
NUVEEN SELECT MAT MUN FD | | SH BEN INT | 21,500 | $230,000 | 2016-09-30 | 2016-11-14 | |
|---|
PML
PIMCO MUN INCOME FD II | | COM | 16,500 | $225,000 | 2016-09-30 | 2016-11-14 | |
|---|
MDY
SPDR S&P MIDCAP 400 ETF TR | | UTSER1 S&PDCRP | 778 | $220,000 | 2016-09-30 | 2016-11-14 | |
|---|
HIO
WESTERN ASSET HIGH INCM OPP | | COM | 42,250 | $213,000 | 2016-09-30 | 2016-11-14 | |
|---|
GENZ
VANECK VECTORS ETF TR | | GAMING ETF | 5,574 | $202,000 | 2016-09-30 | 2016-11-14 | |
|---|
PMO
PUTNAM MUN OPPORTUNITIES TR | | SH BEN INT | 14,297 | $191,000 | 2016-09-30 | 2016-11-14 | |
|---|
EIM
EATON VANCE MUN BD FD | | COM | 12,408 | $169,000 | 2016-09-30 | 2016-11-14 | |
|---|
JQC
NUVEEN CREDIT STRATEGIES INCOME FUND | | COM SHS | 19,861 | $168,000 | 2016-09-30 | 2016-11-14 | |
|---|
NMZ
NUVEEN MUN HIGH INC OPP FD | | COM | 11,052 | $160,000 | 2016-09-30 | 2016-11-14 | |
|---|
FIRST TR ABERDEEN GLBL OPP F
CUSIP 337319107 | United States | COM SHS | 10,200 | $120,000 | 2016-09-30 | 2016-11-14 | |
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