Horizon Kinetics LLC quarter change: USA ETF, Reduced
In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), from the quarter ended 2016-06-30 to 2016-09-30, Horizon Kinetics LLC opened 2 positions, added to 8, reduced 39, sold out of 5 and left 13 unchanged. The largest increase in value was NEA (+$7,644,000); the largest decrease was PFN (-$1,502,000).
- PFN: Country of operation —; Class COM; Shares 2016-06-30 1,152,998; Shares 2016-09-30 955,566.
- RMT: Country of operation —; Class COM; Shares 2016-06-30 2,591,714; Shares 2016-09-30 2,550,905.
- DIREXION SHS ETF TR: Country of operation —; Class 20YR TRES BEAR; Shares 2016-06-30 176,650; Shares 2016-09-30 138,280.
- EFR: Country of operation —; Class COM; Shares 2016-06-30 71,790; Shares 2016-09-30 22,129.
Two Form 13F-HR filings compared (SEC CIK 1519418): 2016-06-30 (filed 2016-08-15) and 2016-09-30 (filed 2016-11-14). 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; share change is the position change.
| Stock | Country of operation | Class | Shares 2016-06-30 | Shares 2016-09-30 | Share change | Value 2016-06-30 | Value 2016-09-30 | Value change |
|---|
PFN
PIMCO INCOME STRATEGY FUND II | | COM | 1,152,998 | 955,566 | -197,432 | $10,608,000 | $9,106,000 | -$1,502,000 |
|---|
RMT
ROYCE MICRO-CAP TR INC | | COM | 2,591,714 | 2,550,905 | -40,809 | $19,023,000 | $19,923,000 | +$900,000 |
|---|
DIREXION SHS ETF TR
CUSIP 25459Y678 | | 20YR TRES BEAR | 176,650 | 138,280 | -38,370 | $2,961,000 | $2,283,000 | -$678,000 |
|---|
EFR
EATON VANCE SR FLTNG RTE TR | | COM | 71,790 | 22,129 | -49,661 | $939,000 | $313,000 | -$626,000 |
|---|
DBL
DOUBLELINE OPPORTUNISTIC CR | | COM | 418,588 | 417,265 | -1,323 | $11,210,000 | $10,715,000 | -$495,000 |
|---|
PFL
PIMCO INCOME STRATEGY FUND | | COM | 576,772 | 512,641 | -64,131 | $5,924,000 | $5,480,000 | -$444,000 |
|---|
BTZ
BLACKROCK CREDIT ALL INC TR | | COM | 106,767 | 71,329 | -35,438 | $1,390,000 | $952,000 | -$438,000 |
|---|
BGT
BLACKROCK FLOATING RATE INCOME | | COM | 84,591 | 51,891 | -32,700 | $1,097,000 | $702,000 | -$395,000 |
|---|
VTI
VANGUARD INDEX FDS | | TOTAL STK MKT | 47,620 | 42,906 | -4,714 | $5,103,000 | $4,777,000 | -$326,000 |
|---|
EVF
EATON VANCE SR INCOME TR | | SH BEN INT | 133,828 | 78,730 | -55,098 | $804,000 | $507,000 | -$297,000 |
|---|
GDL
GDL FUND | | COM SH BEN IT | 104,811 | 75,610 | -29,201 | $1,041,000 | $752,000 | -$289,000 |
|---|
EVV
EATON VANCE LTD DUR INCOME F | | COM | 304,043 | 278,008 | -26,035 | $4,086,000 | $3,811,000 | -$275,000 |
|---|
DMO
WESTERN ASSET MTG DEF OPPTY | | COM | 122,134 | 107,057 | -15,077 | $2,824,000 | $2,558,000 | -$266,000 |
|---|
PCM
PCM FUND INC | | COM | 306,250 | 271,981 | -34,269 | $2,977,000 | $2,720,000 | -$257,000 |
|---|
PDI
PIMCO DYNAMIC INCOME FD | | SHS | 425,343 | 418,688 | -6,655 | $11,727,000 | $11,924,000 | +$197,000 |
|---|
HIO
WESTERN ASSET HIGH INCM OPP | | COM | 79,368 | 42,250 | -37,118 | $389,000 | $213,000 | -$176,000 |
|---|
VVR
INVESCO SR INCOME TR | | COM | 146,671 | 117,193 | -29,478 | $613,000 | $507,000 | -$106,000 |
|---|
RVT
ROYCE VALUE TR INC | | COM | 112,398 | 111,177 | -1,221 | $1,323,000 | $1,407,000 | +$84,000 |
|---|
HPF
HANCOCK JOHN PFD INCOME FD I | | COM | 37,376 | 34,041 | -3,335 | $848,000 | $767,000 | -$81,000 |
|---|
HPS
HANCOCK JOHN PFD INCOME FD I | | COM | 28,259 | 25,382 | -2,877 | $565,000 | $491,000 | -$74,000 |
|---|
PFD
FLAHERTY & CRUMRINE PFD INC | | COM | 26,934 | 22,964 | -3,970 | $421,000 | $348,000 | -$73,000 |
|---|
VTN
INVESCO TR INVT GRADE NY MUN | | COM | 40,273 | 38,314 | -1,959 | $661,000 | $590,000 | -$71,000 |
|---|
VOO
VANGUARD INDEX FDS | | S&P 500 ETF SHS | 19,584 | 18,606 | -978 | $3,764,000 | $3,697,000 | -$67,000 |
|---|
FRA
BLACKROCK FLOAT RATE OME STR | | COM | 113,054 | 111,072 | -1,982 | $1,487,000 | $1,539,000 | +$52,000 |
|---|
JPC
NUVEEN PFD & CONV INC FD | | COM | 51,572 | 46,532 | -5,040 | $517,000 | $466,000 | -$51,000 |
|---|
IWC
ISHARES TR | | MICRO-CAP ETF | 6,955 | 6,908 | -47 | $492,000 | $539,000 | +$47,000 |
|---|
MYN
BLACKROCK MUNIYIELD N Y QUALITY FUND INC | | COM | 24,106 | 21,306 | -2,800 | $346,000 | $301,000 | -$45,000 |
|---|
PTY
PIMCO CORPORATE OPP FD | | COM | 23,847 | 19,947 | -3,900 | $336,000 | $291,000 | -$45,000 |
|---|
VCSH
VANGUARD SCOTTSDALE FDS | | SHRT TRM CORP BD | 24,904 | 24,494 | -410 | $2,013,000 | $1,973,000 | -$40,000 |
|---|
SHV
ISHARES TR | | SHRT TRS BD ETF | 7,959 | 7,604 | -355 | $879,000 | $840,000 | -$39,000 |
|---|
PCN
PIMCO CORPORATE INCOME FD | | COM | 22,059 | 19,895 | -2,164 | $339,000 | $305,000 | -$34,000 |
|---|
RQI
COHEN & STEERS QUALITY RLTY | | COM | 70,492 | 70,042 | -450 | $967,000 | $934,000 | -$33,000 |
|---|
NAN
NUVEEN NY DIVID ADVNTG MUN F | | COM | 71,733 | 71,233 | -500 | $1,124,000 | $1,092,000 | -$32,000 |
|---|
EFT
EATON VANCE FLTING RATE INC | | COM | 20,261 | 17,000 | -3,261 | $272,000 | $241,000 | -$31,000 |
|---|
RYDEX ETF TRUST
CUSIP 78355W106 | | GUG S&P00 EQ WT | 12,701 | 12,568 | -133 | $1,021,000 | $1,051,000 | +$30,000 |
|---|
PMO
PUTNAM MUN OPPORTUNITIES TR | | SH BEN INT | 16,234 | 14,297 | -1,937 | $217,000 | $191,000 | -$26,000 |
|---|
VYM
VANGUARD WHITEHALL FDS INC | | HIGH DIV YLD | 6,597 | 6,318 | -279 | $471,000 | $456,000 | -$15,000 |
|---|
GENZ
VANECK VECTORS ETF TR | | GAMING ETF | 6,874 | 5,574 | -1,300 | $216,000 | $202,000 | -$14,000 |
|---|
JFR
NUVEEN FLOATING RATE INCOME | | COM | 42,388 | 39,283 | -3,105 | $438,000 | $433,000 | -$5,000 |
|---|
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