Horizon Kinetics LLC Last Quarter Change: USA ETF, Unchanged

Horizon Kinetics LLC quarter change: USA ETF, Unchanged

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).

NUV: Country of operation —; Class COM; Shares 2016-06-30 68,802; Shares 2016-09-30 68,802.
IGSB: Country of operation —; Class 1-3 YR CR BD ETF; Shares 2016-06-30 27,000; Shares 2016-09-30 27,000.
JQC: Country of operation —; Class COM SHS; Shares 2016-06-30 19,861; Shares 2016-09-30 19,861.
EIM: Country of operation —; Class COM; Shares 2016-06-30 12,408; Shares 2016-09-30 12,408.

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	Class	Shares 2016-06-30	Shares 2016-09-30	Value 2016-06-30	Value 2016-09-30	Value change
NUV NUVEEN MUN VALUE FD INC	COM	68,802	68,802	$744,000	$729,000	-$15,000
IGSB ISHARES TR	1-3 YR CR BD ETF	27,000	27,000	$2,864,000	$2,856,000	-$8,000
JQC NUVEEN CREDIT STRATEGIES INCOME FUND	COM SHS	19,861	19,861	$160,000	$168,000	+$8,000
EIM EATON VANCE MUN BD FD	COM	12,408	12,408	$176,000	$169,000	-$7,000
NBH NEUBERGER BERMAN INTER MUNI	COM	42,565	42,565	$714,000	$707,000	-$7,000
PML PIMCO MUN INCOME FD II	COM	16,500	16,500	$230,000	$225,000	-$5,000
NMZ NUVEEN MUN HIGH INC OPP FD	COM	11,052	11,052	$164,000	$160,000	-$4,000
NIM NUVEEN SELECT MAT MUN FD	SH BEN INT	21,500	21,500	$233,000	$230,000	-$3,000
SBI WESTERN ASSET INTM MUNI FD I	COM	78,464	78,464	$830,000	$828,000	-$2,000
MINT PIMCO ETF TR ENHAN SHRT MAT	COM	4,816	4,816	$487,000	$489,000	+$2,000
SPSB SPDR SERIES TRUST	BARC SHT TR CP	24,000	24,000	$739,000	$738,000	-$1,000
IQI INVESCO QUALITY MUNI INC TRS	COM	16,970	16,970	$235,000	$234,000	-$1,000
SHY ISHARES TR	1-3 YR TR BD ETF	4,680	4,680	$399,000	$398,000	-$1,000

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