Horizon Kinetics LLC historic quarter change: USA Funds, Added
In funds and trusts that are not on this site's ETF list (sponsor series, commodity pools, money market) (listed in the US), over 13 quarters from 2013-06-30 to 2016-09-30, Horizon Kinetics LLC opened 32 positions, added to 65, reduced 257 and sold out of 65.
- Q3 2016: Stock TORTOISE MLP FD INC; Country of operation —; Class COM; Shares before 502,852.
- Q3 2016: Stock CLEARBRIDGE ENERGY MLP FD IN; Country of operation —; Class COM; Shares before 240,807.
- Q3 2016: Stock CLEARBRIDGE ENERGY MLP TR FD; Country of operation —; Class COM; Shares before 300,577.
- Q3 2016: Stock NEW MEDIA INVT GROUP INC; Country of operation —; Class COM; Shares before 43,292.
Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1519418), 13 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-11-14); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-08-15); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-04-15); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-02-12); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-11-13); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-08-14); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-05-15); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-02-17); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-13); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-14); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-05-14); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-02-13); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-11-14). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 2011-06-30.
| Quarter | Stock | Country of operation | Class | Shares before | Shares after | Share change | Value before | Value after | Value change | Filed |
|---|
| Q3 2016 | TORTOISE MLP FD INC
CUSIP 89148B101 | | COM | 502,852 | 503,835 | +983 | $9,278,000 | $10,072,000 | +$794,000 | 2016-11-14 |
|---|
| Q3 2016 | CLEARBRIDGE ENERGY MLP FD IN
CUSIP 184692101 | | COM | 240,807 | 267,322 | +26,515 | $3,836,000 | $4,352,000 | +$516,000 | 2016-11-14 |
|---|
| Q3 2016 | CLEARBRIDGE ENERGY MLP TR FD
CUSIP 18469Q108 | | COM | 300,577 | 325,877 | +25,300 | $3,847,000 | $4,259,000 | +$412,000 | 2016-11-14 |
|---|
| Q3 2016 | NEW MEDIA INVT GROUP INC
CUSIP 64704V106 | | COM | 43,292 | 43,316 | +24 | $782,000 | $671,000 | -$111,000 | 2016-11-14 |
|---|
| Q3 2016 | BLACKROCK MUNI INTER DR FD I
CUSIP 09253X102 | United States | COM | 125,797 | 126,357 | +560 | $1,917,000 | $1,916,000 | -$1,000 | 2016-11-14 |
|---|
| Q2 2016 | TORTOISE MLP FD INC
CUSIP 89148B101 | | COM | 109,004 | 502,852 | +393,848 | $1,781,000 | $9,278,000 | +$7,497,000 | 2016-08-15 |
|---|
| Q2 2016 | PIMCO DYNAMIC CR INCOME FD
CUSIP 72202D106 | | COM SHS | 146,796 | 154,284 | +7,488 | $2,560,000 | $2,951,000 | +$391,000 | 2016-08-15 |
|---|
| Q2 2016 | BLACKROCK MUNI INTER DR FD ICOM
CUSIP 09253X102 | United States | COM | 116,044 | 125,797 | +9,753 | $1,701,000 | $1,917,000 | +$216,000 | 2016-08-15 |
|---|
| Q2 2016 | NUVEEN PREM INCOME MUN FD 2
CUSIP 67063W102 | | COM | 22,718 | 23,317 | +599 | $334,000 | $361,000 | +$27,000 | 2016-08-15 |
|---|
| Q1 2016 | NUVEEN PERFORM PLUS MUN FD
CUSIP 67062P108 | | COM | 285,133 | 355,156 | +70,023 | $4,266,000 | $5,572,000 | +$1,306,000 | 2016-04-15 |
|---|
| Q1 2016 | BLACKROCK MUNI INTER DR FD ICOM
CUSIP 09253X102 | United States | COM | 33,571 | 116,044 | +82,473 | $476,000 | $1,701,000 | +$1,225,000 | 2016-04-15 |
|---|
| Q1 2016 | NUVEEN QUALITY PFD INCOME FD 3
CUSIP 67072W101 | | COM | 31,624 | 140,334 | +108,710 | $268,000 | $1,203,000 | +$935,000 | 2016-04-15 |
|---|
| Q1 2016 | PIMCO DYNAMIC CR INCOME FD
CUSIP 72202D106 | | COM SHS | 128,997 | 146,796 | +17,799 | $2,326,000 | $2,560,000 | +$234,000 | 2016-04-15 |
|---|
| Q1 2016 | ALTISOURCE PORTFOLIO SOLNS S
CUSIP L0175J104 | | REG SHS | 19,878 | 20,949 | +1,071 | $553,000 | $506,000 | -$47,000 | 2016-04-15 |
|---|
| Q1 2016 | NUVEEN QUALITY INCOME MUN FD
CUSIP 670977107 | | COM | 15,400 | 17,200 | +1,800 | $218,000 | $253,000 | +$35,000 | 2016-04-15 |
|---|
| Q1 2016 | NUVEEN PREMIER MUN INCOME FD
CUSIP 670988104 | | COM | 10,343 | 11,543 | +1,200 | $141,000 | $163,000 | +$22,000 | 2016-04-15 |
|---|
| Q1 2016 | MANAGED DURATION INVT GRD FUND
CUSIP 56165R103 | | COM | 53,437 | 53,940 | +503 | $735,000 | $752,000 | +$17,000 | 2016-04-15 |
|---|
| Q1 2016 | NUVEEN PREM INCOME MUN FD 2
CUSIP 67063W102 | | COM | 22,618 | 22,718 | +100 | $327,000 | $334,000 | +$7,000 | 2016-04-15 |
|---|
| Q1 2016 | MFS CALIF MUN FD
CUSIP 59318C106 | | COM | 12,215 | 12,315 | +100 | $145,000 | $151,000 | +$6,000 | 2016-04-15 |
|---|
| Q1 2016 | NUVEEN QUALITY PFD INCOME FD
CUSIP 67071S101 | | COM | 11,921 | 12,321 | +400 | $99,000 | $103,000 | +$4,000 | 2016-04-15 |
|---|
| Q4 2015 | BLACKROCK MUNI INTER DR FD ICOM
CUSIP 09253X102 | United States | COM | 10,308 | 33,571 | +23,263 | $143,000 | $476,000 | +$333,000 | 2016-02-12 |
|---|
| Q4 2015 | APPOLO INVT CORP
CUSIP 03761U106 | | COM | 22,929 | 24,268 | +1,339 | $126,000 | $127,000 | +$1,000 | 2016-02-12 |
|---|
| Q2 2015 | NEW MEDIA INVT GROUP INC
CUSIP 64704V106 | | COM | 84,088 | 84,118 | +30 | $2,012,000 | $1,508,000 | -$504,000 | 2015-08-14 |
|---|
| Q1 2015 | ALTISOURCE PORTFOLIO SOLNS S
CUSIP L0175J104 | | REG SHS | 49,543 | 71,752 | +22,209 | $1,674,000 | $923,000 | -$751,000 | 2015-05-15 |
|---|
| Q1 2015 | APPOLO INVT CORP
CUSIP 03761U106 | | COM | 29,726 | 32,429 | +2,703 | $221,000 | $249,000 | +$28,000 | 2015-05-15 |
|---|
| Q4 2014 | ALTISOURCE PORTFOLIO SOLNS S
CUSIP L0175J104 | | REG SHS | 21,974 | 49,543 | +27,569 | $2,215,000 | $1,674,000 | -$541,000 | 2015-02-17 |
|---|
| Q4 2014 | NUVEEN INVT QUALITY MUN FD I
CUSIP 67062E103 | | COM | 26,475 | 34,785 | +8,310 | $394,000 | $530,000 | +$136,000 | 2015-02-17 |
|---|
| Q4 2014 | APPOLO INVT CORP
CUSIP 03761U106 | | COM | 28,610 | 29,726 | +1,116 | $234,000 | $221,000 | -$13,000 | 2015-02-17 |
|---|
| Q3 2014 | BROOKFIELD HIGH INCOME FD INC
CUSIP 11272P102 | | COM | 11,743 | 440,846 | +429,103 | $124,000 | $4,131,000 | +$4,007,000 | 2014-11-13 |
|---|
| Q3 2014 | ALTISOURCE PORTFOLIO SOLNS S
CUSIP L0175J104 | | REG SHS | 7,389 | 21,974 | +14,585 | $847,000 | $2,215,000 | +$1,368,000 | 2014-11-13 |
|---|
| Q2 2014 | PIMCO DYNAMIC CR INCOME FD
CUSIP 72202D106 | | COM | 670,675 | 876,863 | +206,188 | $15,157,000 | $20,887,000 | +$5,730,000 | 2014-08-14 |
|---|
| Q2 2014 | LMP CORPORATE LN FD INC
CUSIP 50208B100 | | COM | 577,915 | 731,804 | +153,889 | $7,011,000 | $8,796,000 | +$1,785,000 | 2014-08-14 |
|---|
| Q2 2014 | BLACKROCK DEBT STRAT FD INC
CUSIP 09255R103 | | COM | 204,835 | 473,129 | +268,294 | $840,000 | $1,940,000 | +$1,100,000 | 2014-08-14 |
|---|
| Q2 2014 | PIMCO INCOME OPPORTUNITY FD
CUSIP 72202B100 | | COM | 608,884 | 608,959 | +75 | $17,189,000 | $17,819,000 | +$630,000 | 2014-08-14 |
|---|
| Q2 2014 | ALTISOURCE PORTFOLIO SOLNS S
CUSIP L0175J104 | | REG SHS | 6,749 | 7,389 | +640 | $821,000 | $847,000 | +$26,000 | 2014-08-14 |
|---|
| Q2 2014 | BLACKROCK MUNIHLDGS QUALITY FUND IN
CUSIP 09254A101 | | COM | 11,057 | 11,366 | +309 | $140,000 | $150,000 | +$10,000 | 2014-08-14 |
|---|
| Q1 2014 | LMP CORPORATE LN FD INC
CUSIP 50208B100 | | COM | 464,547 | 577,915 | +113,368 | $5,681,000 | $7,011,000 | +$1,330,000 | 2014-05-14 |
|---|
| Q1 2014 | NUVEEN PERFORM PLUS MUN FD
CUSIP 67062P108 | | COM | 873,157 | 889,096 | +15,939 | $11,814,000 | $12,865,000 | +$1,051,000 | 2014-05-14 |
|---|
| Q1 2014 | ALTISOURCE PORTFOLIO SOLNS S
CUSIP L0175J104 | | REG SHS | 3,293 | 6,749 | +3,456 | $522,000 | $821,000 | +$299,000 | 2014-05-14 |
|---|
| Q1 2014 | HELIOS MULTI SECTOR HIGN INCOME FUND
CUSIP 42327Y202 | | COM | 220,858 | 220,874 | +16 | $1,327,000 | $1,502,000 | +$175,000 | 2014-05-14 |
|---|
| Q1 2014 | PIMCO DYNAMIC CR INCOME FD
CUSIP 72202D106 | | COM | 668,234 | 670,675 | +2,441 | $15,022,000 | $15,157,000 | +$135,000 | 2014-05-14 |
|---|
| Q1 2014 | HELIOS HIGH INCOME FUND
CUSIP 42327X204 | | COM | 124,817 | 124,837 | +20 | $1,028,000 | $1,077,000 | +$49,000 | 2014-05-14 |
|---|
| Q4 2013 | PIMCO DYNAMIC CR INCOME FD COM SHS
CUSIP 72202D106 | | COM | 409,011 | 668,234 | +259,223 | $9,101,000 | $15,022,000 | +$5,921,000 | 2014-02-13 |
|---|
| Q4 2013 | PIMCO INCOME OPPORTUNITY FD
CUSIP 72202B100 | | COM | 484,703 | 610,612 | +125,909 | $13,325,000 | $17,249,000 | +$3,924,000 | 2014-02-13 |
|---|
| Q4 2013 | BLACKROCK DEBT STRAT FD INC
CUSIP 09255R103 | | COM | 37,304 | 206,244 | +168,940 | $150,000 | $823,000 | +$673,000 | 2014-02-13 |
|---|
| Q4 2013 | HELIOS ADVANTAGE INCOME FUND
CUSIP 42327W206 | | COM | 181,838 | 243,579 | +61,741 | $1,549,000 | $2,214,000 | +$665,000 | 2014-02-13 |
|---|
| Q4 2013 | NUVEEN PERFORM PLUS MUN FD
CUSIP 67062P108 | | COM | 836,030 | 873,157 | +37,127 | $11,295,000 | $11,814,000 | +$519,000 | 2014-02-13 |
|---|
| Q4 2013 | LMP CORPORATE LN FD INC
CUSIP 50208B100 | | COM | 426,388 | 464,547 | +38,159 | $5,292,000 | $5,681,000 | +$389,000 | 2014-02-13 |
|---|
| Q4 2013 | ALTISOURCE PORTFOLIO SOLNS SREG SHS
CUSIP L0175J104 | | REG SHS | 2,426 | 3,293 | +867 | $340,000 | $522,000 | +$182,000 | 2014-02-13 |
|---|
| Q4 2013 | HELIOS STRATEGIC INCOME FUND
CUSIP 42328A203 | | COM | 61,382 | 70,595 | +9,213 | $390,000 | $468,000 | +$78,000 | 2014-02-13 |
|---|
| Q4 2013 | HELIOS MULTI SECTOR HIGN INCOME FUND
CUSIP 42327Y202 | | COM | 216,834 | 220,858 | +4,024 | $1,260,000 | $1,327,000 | +$67,000 | 2014-02-13 |
|---|
| Q4 2013 | ING PRIME RATE TR SH BEN INT
CUSIP 44977W106 | | BEN INT | 315,415 | 317,460 | +2,045 | $1,911,000 | $1,848,000 | -$63,000 | 2014-02-13 |
|---|
| Q4 2013 | ALLIANCE BERNSTEIN NEW YORK MUN INC FD
CUSIP 018714105 | | COM | 21,656 | 23,676 | +2,020 | $262,000 | $281,000 | +$19,000 | 2014-02-13 |
|---|
| Q4 2013 | NUVEEN MTG OPPTY TERM FD 2 COM
CUSIP 67074R100 | | COM | 12,236 | 12,445 | +209 | $294,000 | $286,000 | -$8,000 | 2014-02-13 |
|---|
| Q4 2013 | NUVEEN QUALITY PFD INCOME FD
CUSIP 67072C105 | United States | COM | 16,492 | 17,491 | +999 | $135,000 | $142,000 | +$7,000 | 2014-02-13 |
|---|
| Q4 2013 | EATON VANCE NY MUNI INCOME TSH BEN INT
CUSIP 27826W104 | | BEN INT | 38,450 | 38,950 | +500 | $479,000 | $484,000 | +$5,000 | 2014-02-13 |
|---|
| Q4 2013 | DWS MUN INCOME TR
CUSIP 23338M106 | | COM | 21,760 | 22,760 | +1,000 | $269,000 | $273,000 | +$4,000 | 2014-02-13 |
|---|
| Q4 2013 | NUVEEN DIV ADVANTAGE MUN FD
CUSIP 67070F100 | | COM | 50,731 | 52,146 | +1,415 | $658,000 | $662,000 | +$4,000 | 2014-02-13 |
|---|
| Q3 2013 | PIMCO DYNAMIC CR INCOME FD COM SHS
CUSIP 72202D106 | | COM | 324,507 | 409,011 | +84,504 | $7,434,000 | $9,101,000 | +$1,667,000 | 2013-11-14 |
|---|
| Q3 2013 | PIMCO INCOME OPPORTUNITY FD
CUSIP 72202B100 | | COM | 423,123 | 484,703 | +61,580 | $12,101,000 | $13,325,000 | +$1,224,000 | 2013-11-14 |
|---|
| Q3 2013 | LMP CORPORATE LN FD INC
CUSIP 50208B100 | | COM | 342,149 | 426,388 | +84,239 | $4,448,000 | $5,292,000 | +$844,000 | 2013-11-14 |
|---|
| Q3 2013 | NUVEEN PREMIER MUN INCOME FD
CUSIP 670988104 | | COM | 81,584 | 82,042 | +458 | $1,084,000 | $1,058,000 | -$26,000 | 2013-11-14 |
|---|
| Q3 2013 | NUVEEN QUALITY PFD INCOME FD
CUSIP 67072W101 | | COM | 11,870 | 14,470 | +2,600 | $100,000 | $114,000 | +$14,000 | 2013-11-14 |
|---|
| Q3 2013 | NUVEEN DIV ADVANTAGE MUN FD
CUSIP 67070F100 | | COM | 48,029 | 50,731 | +2,702 | $670,000 | $658,000 | -$12,000 | 2013-11-14 |
|---|
| Q3 2013 | NUVEEN QUALITY PFD INCOME FD
CUSIP 67072C105 | United States | COM | 14,092 | 16,492 | +2,400 | $123,000 | $135,000 | +$12,000 | 2013-11-14 |
|---|
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