Investor Advisors Asset Management, Inc.
13D/G Filings

This page shows a list of all the recent 13D/G filings made by Advisors Asset Management, Inc. . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

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Date Form Target Prev
Shares		 Current
Shares		 Change
(Percent)		 Ownership
(Percent)		 Change
(Percent)
2025-05-08 13G EOD / Wells Fargo Advantage Funds - Allspring Global Dividend Opportunity Fund 2,362,717 2,270,411
2025-01-28 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 1,140,813 1,224,550
2024-10-10 13G/A CTR / ClearBridge MLP and Midstream Total Return Fund Inc. 300,814 670,952
2024-07-10 13G CTR / ClearBridge MLP and Midstream Total Return Fund Inc. 300,814
2024-01-29 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 840,594 1,140,813
2023-08-09 13G IGA / Voya Global Advantage and Premium Opportunity Fund 839,039 840,594
2023-04-10 13G/A AGD / Abrdn Global Dynamic Dividend Fund 834,213 906,661
2023-01-18 13G/A AGD / Abrdn Global Dynamic Dividend Fund 639,173 834,213
2022-06-10 13G/A ACV / Virtus Diversified Income & Convertible Fund 640,424 495,898
2022-05-10 13G AGD / Abrdn Global Dynamic Dividend Fund 594,878 639,173
2022-02-09 13G/A ACV / Virtus Diversified Income & Convertible Fund 535,543 640,424
2022-02-09 13G ACV / Virtus Diversified Income & Convertible Fund 535,543 535,543
2022-01-10 13G/A BCV.PRA / Bancroft Fund Ltd. - Preferred Stock 253,701
2021-11-05 13G/A ECF / Ellsworth Growth and Income Fund Ltd. 1,021,673 665,393
2021-08-05 13G/A JCE / Nuveen Core Equity Alpha Fund 837,142 622,616
2021-07-09 13G/A FIF / First Trust Energy Infrastructure Fund 965,721 811,767
2021-06-10 13G ACV / Virtus Diversified Income & Convertible Fund 474,708 535,543
2021-02-04 13G/A BCV / Bancroft Fund Ltd. 543,645 483,267
2021-02-04 13G/A FIF / First Trust Energy Infrastructure Fund 1,064,241 965,721
2021-02-04 13G/A ECF / Ellsworth Growth and Income Fund Ltd. 1,117,995 1,021,673
2021-02-04 13G/A JCE / Nuveen Core Equity Alpha Fund 823,415 837,142
2020-09-09 13G/A JCE / Nuveen Core Equity Alpha Fund 760,977 823,415
2020-07-10 13G/A JCE / Nuveen Core Equity Alpha Fund 817,723 760,977
2020-05-08 13G JCE / Nuveen Core Equity Alpha Fund 791,959 817,723
2020-05-08 13G/A BCV / Bancroft Fund Ltd. 471,646 543,645
2020-05-08 13G/A GLQ / Clough Global Equity Fund 750,120 605,141
2020-05-08 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 973,579 839,039
2020-05-08 13G/A TPZ / Tortoise Essential Energy Fund 403,153 308,134
2020-03-06 13G/A AIF / Apollo Tactical Income Fund Inc. 755,513 698,730
2020-02-13 13G/A GLQ / Clough Global Equity Fund 880,165 750,120
2020-02-13 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 973,579 973,579
2020-02-13 13G/A FIF / First Trust Energy Infrastructure Fund 892,062 1,064,241
2020-02-13 13G/A AIF / Apollo Tactical Income Fund Inc. 1,013,462 755,513
2020-02-13 13G/A ECF / Ellsworth Growth and Income Fund Ltd. 870,054 1,117,995
2020-02-13 13G/A BCV / Bancroft Fund Ltd. 358,857 471,646
2020-02-13 13G/A TPZ / Tortoise Essential Energy Fund 383,018 403,153
2020-01-10 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 868,402 973,579
2019-12-10 13G/A 26433F207 / Duff & Phelps Select MLP and M Common Stock 1,327,438 1,260,609
2019-12-10 13G/A PCF / High Income Securities Fund 365,369 221,364
2019-11-08 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 954,710 868,402
2019-11-08 13G/A TPZ / Tortoise Essential Energy Fund 337,871 383,018
2019-11-08 13G IGA / Voya Global Advantage and Premium Opportunity Fund 954,710 868,402
2019-11-08 13G TPZ / Tortoise Essential Energy Fund 337,871 383,018
2019-09-10 13G/A SZC / Cushing NextGen Infrastructure Income Fund 553,061 320,821
2019-09-10 13G FIF / First Trust Energy Infrastructure Fund 892,062
2019-08-09 13G PCF / High Income Securities Fund 365,369
2019-08-09 13G/A TPZ / Tortoise Essential Energy Fund 365,232 337,871
2019-07-10 13G/A JCE / Nuveen Core Equity Alpha Fund 1,016,842 791,959
2019-07-10 13G/A TSLF / THL Credit Senior Loan Fund 460,801 366,359
2019-07-10 13G 26433F207 / Duff & Phelps Select MLP and M Common Stock 1,327,438
2019-06-10 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 753,487 575,028
2019-03-11 13G/A ACV / Virtus Diversified Income & Convertible Fund 566,872 474,708
2019-03-11 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 907,302 954,710
2019-02-11 13G/A TPZ / Tortoise Essential Energy Fund 315,428 365,232
2019-02-11 13G/A SZC / Cushing NextGen Infrastructure Income Fund 600,854 553,061
2019-02-11 13G/A KMF / Kayne Anderson NextGen Energy & Infrastructure Inc 1,295,252 1,014,859
2019-02-11 13G/A JCE / Nuveen Core Equity Alpha Fund 1,068,108 1,016,842
2019-02-11 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 907,302
2019-02-11 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 710,881 753,487
2019-02-11 13G/A GLQ / Clough Global Equity Fund 667,451 880,165
2019-02-11 13G/A ECF / Ellsworth Growth and Income Fund Ltd. 652,705 870,054
2019-02-11 13G/A AIF / Apollo Tactical Income Fund Inc. 982,249 1,013,462
2019-02-11 13G/A ACV / Virtus Diversified Income & Convertible Fund 579,479 566,872
2019-02-11 13G/A TSLF / THL Credit Senior Loan Fund 744,891 460,801
2019-02-11 13G/A BCV / Bancroft Fund Ltd. 273,721 358,857
2018-11-09 13G/A IHD / Voya Emerging Markets High Dividend Equity Fund 787,074
2018-09-11 13G/A LCM / Advent Claymore Convertible Securities and Income Fund II 0 0
2018-09-10 13G/A LCM / Advent Claymore Convertible Securities and Income Fund II 821,612 0
2018-09-10 13G KMF / Kayne Anderson NextGen Energy & Infrastructure Inc 1,295,252
2018-07-10 13G BCV / Bancroft Fund Ltd. 273,721
2018-07-10 13G ECF / Ellsworth Growth and Income Fund Ltd. 652,705
2018-06-11 13G GLQ / Clough Global Equity Fund 182,700 667,451
2018-05-10 13G/A HYB / The New America High Income Fund Inc. 1,330,536 1,159,607
2018-05-10 13G/A GPM / Guggenheim Enhanced Equity Income Fund 2,607,923 2,363,206
2018-05-10 13G/A MGU / Macquarie Global Infrastructure Total Return Fund Inc 654,852 610,059
2018-02-09 13G/A SZC / Cushing NextGen Infrastructure Income Fund 577,764 600,854
2018-02-01 13G IGA / Voya Global Advantage and Premium Opportunity Fund 917,289
2018-02-01 13G IHD / Voya Emerging Markets High Dividend Equity Fund 1,210,852
2018-02-01 13G SZC / Cushing NextGen Infrastructure Income Fund 282,437 577,764
2018-02-01 13G HYB / The New America High Income Fund Inc. 1,330,536
2018-02-01 13G LCM / Advent Claymore Convertible Securities and Income Fund II 274,514 821,612
2018-02-01 13G MGU / Macquarie Global Infrastructure Total Return Fund Inc 586,340 654,852
2018-02-01 13G JCE / Nuveen Core Equity Alpha Fund 478,720 1,068,108
2018-02-01 13G ACV / Virtus Diversified Income & Convertible Fund 579,479
2018-02-01 13G/A GPM / Guggenheim Enhanced Equity Income Fund 3,105,048 2,607,923
2018-02-01 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 861,789 710,881
2018-02-01 13G/A AIF / Apollo Tactical Income Fund Inc. 835,082 982,249
2018-02-01 13G/A TSLF / THL Credit Senior Loan Fund 1,123,016 744,891
2018-01-11 13G/A US92913C1062 / Voya Natural Resources Equity Income Fnd 1,142,418 1,051,424
2018-01-11 13G/A DEX / Delaware Enhanced Global Dividend & Income Fund 1,173,549 744,755
2017-10-05 13G/A MCN / XAI Madison Equity Premium Income Fund 1,427,190 921,090
2017-09-07 13G/A EDI / Virtus Stone Harbor Emerging Markets Total Income Fund 594,206 471,609
2017-06-08 13G/A MCN / XAI Madison Equity Premium Income Fund 2,520,075 1,427,190
2017-06-08 13G/A AGD / Abrdn Global Dynamic Dividend Fund 863,318 594,878
2017-05-09 13G/A GDL / The GDL Fund 952,409
2017-05-09 13G/A DCA / Virtus Total Return Fund 1,791,043 0
2017-05-09 13G/A GPM / Guggenheim Enhanced Equity Income Fund 2,945,871 3,105,048
2017-05-09 13G/A 1,037,639 952,409
2017-05-09 13G/A ABDC / Altmore BDC Inc 888,751 622,362
2017-05-09 13G/A ACSF / American Capital Senior Floating, Ltd. 543,409 499,003
2017-04-10 13G/A JDD / Nuveen Diversified Dividend and Income Fund 1,503,324 833,963
2017-04-10 13G/A 007639107 / Advent Claymore Convertible Securities & Income Fund II 2,196,363 1,551,001
2017-04-10 13G/A TPZ / Tortoise Essential Energy Fund 473,366 315,428
2017-04-10 13G/A SCM / Stellus Capital Investment Corporation 654,159 613,635
2017-04-10 13G/A ICMB / Investcorp Credit Management BDC, Inc. 818,484 626,203
2017-04-10 13G/A TPVG / TriplePoint Venture Growth BDC Corp. 953,443 780,775
2017-03-09 13G/A HEQ / John Hancock Diversified Income Fund 806,496 678,935
2017-03-09 13G/A MGU / Macquarie Global Infrastructure Total Return Fund Inc 691,987 586,340
2017-03-09 13G/A SZC / Cushing NextGen Infrastructure Income Fund 318,250 282,437
2017-02-13 13G GDL / The GDL Fund 1,037,639
2017-02-13 13G 1,037,639
2017-02-13 13G/A JDD / Nuveen Diversified Dividend and Income Fund 2,036,911 1,503,324
2017-02-13 13G/A GPM / Guggenheim Enhanced Equity Income Fund 2,150,680 2,945,871
2017-02-13 13G/A TPZ / Tortoise Essential Energy Fund 581,447 473,366
2017-02-13 13G/A DCA / Virtus Total Return Fund 2,450,730 1,791,043
2017-02-13 13G/A SCM / Stellus Capital Investment Corporation 869,408 654,159
2017-02-13 13G/A MGU / Macquarie Global Infrastructure Total Return Fund Inc 939,368 691,987
2017-02-13 13G/A AGD / Abrdn Global Dynamic Dividend Fund 1,108,485 863,318
2017-02-13 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 956,493 861,789
2017-02-13 13G/A HEQ / John Hancock Diversified Income Fund 762,228 806,496
2017-02-13 13G/A ICMB / Investcorp Credit Management BDC, Inc. 800,058 818,484
2017-02-13 13G/A MCN / XAI Madison Equity Premium Income Fund 2,871,875 2,520,075
2017-02-13 13G/A 007639107 / Advent Claymore Convertible Securities & Income Fund II 3,315,523 2,196,363
2017-02-13 13G/A DEX / Delaware Enhanced Global Dividend & Income Fund 970,766 1,173,549
2017-02-13 13G/A MRCC / Monroe Capital Corporation 911,474 805,390
2017-02-13 13G/A AIF / Apollo Tactical Income Fund Inc. 1,165,526 835,082
2017-02-13 13G/A TSLF / THL Credit Senior Loan Fund 783,819 1,123,016
2017-02-13 13G US92913C1062 / Voya Natural Resources Equity Income Fnd 1,142,418
2017-02-13 13G SZC / Cushing NextGen Infrastructure Income Fund 318,250
2017-02-13 13G EDI / Virtus Stone Harbor Emerging Markets Total Income Fund 594,206
2017-02-13 13G ABDC / Altmore BDC Inc 888,751
2017-02-13 13G TPVG / TriplePoint Venture Growth BDC Corp. 953,443
2017-02-13 13G ACSF / American Capital Senior Floating, Ltd. 543,409
2016-12-08 13G/A US3665541039 / Garrison Capital Inc. 1,637,116 767,363
2016-11-10 13G/A MRCC / Monroe Capital Corporation 1,358,023 911,474
2016-09-08 13G/A GLV / Clough Global Dividend and Income Fund 687,331 465,138
2016-08-09 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 833,710
2016-08-09 13G/A DCA / Virtus Total Return Fund 4,186,295 2,450,730
2016-07-11 13G/A HRZN / Horizon Technology Finance Corporation 770,625 491,590
2016-07-11 13G/A OFS / OFS Capital Corporation 486,199 443,473
2016-07-11 13G/A WHF / WhiteHorse Finance, Inc. 963,839 888,906
2016-06-09 13G/A EOD / Wells Fargo Advantage Funds - Allspring Global Dividend Opportunity Fund 3,063,304 2,362,717
2016-05-06 13G/A GPM / Guggenheim Enhanced Equity Income Fund 1,485,509 2,150,680
2016-04-12 13G/A FFA / First Trust Enhanced Equity Income Fund 960,873
2016-04-12 13G/A FFA / First Trust Enhanced Equity Income Fund 1,248,321 960,873
2016-03-09 13G/A ASG / Liberty All-Star Growth Fund, Inc. 1,447,573 1,198,647
2016-02-10 13G/A FFA / First Trust Enhanced Equity Income Fund 1,248,321
2016-02-10 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 1,277,058
2016-02-10 13G/A SMM / Salient Midstream & MLP Fund 969,617
2016-02-10 13G/A JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 827,522 569,741
2016-02-10 13G/A US95790J1025 / Western Asset Corporate Loan Fund Inc. 480,819
2016-02-10 13G/A XLORX / Lazard World Dividend & Income 336,839 115,435
2016-02-10 13G/A MCN / XAI Madison Equity Premium Income Fund 1,984,098 2,871,875
2016-02-10 13G/A FFA / First Trust Enhanced Equity Income Fund 1,248,321
2016-02-10 13G IAE / Voya Asia Pacific High Dividend Equity Income Fund 956,493
2016-02-10 13G/A HEQ / John Hancock Diversified Income Fund 762,228
2016-02-10 13G/A CXH / MFS Investment Grade Municipal Trust 501,108
2016-02-10 13G/A JDD / Nuveen Diversified Dividend and Income Fund 2,033,189 2,036,911
2016-02-10 13G/A SCD / LMP Capital and Income Fund Inc. 641,881 526,229
2016-02-10 13G GLV / Clough Global Dividend and Income Fund 687,331
2016-02-10 13G/A DCA / Virtus Total Return Fund 4,861,878 4,186,295
2016-02-10 13G GPM / Guggenheim Enhanced Equity Income Fund 1,485,509
2016-02-10 13G/A GLQ / Clough Global Equity Fund 470,167 182,700
2016-02-10 13G/A GAIN / Gladstone Investment Corporation 1,004,298
2016-02-10 13G/A MGU / Macquarie Global Infrastructure Total Return Fund Inc 1,280,234 939,368
2016-02-10 13G/A NHF / NexPoint Strategic Opportunities Fund 664,725 560,372
2016-02-10 13G AGD / Abrdn Global Dynamic Dividend Fund 1,108,485
2016-02-10 13G/A NIE / Virtus Equity & Convertible Income Fund 1,254,150
2016-02-10 13G/A EOD / Wells Fargo Advantage Funds - Allspring Global Dividend Opportunity Fund 3,063,304
2016-02-10 13G/A 007639107 / Advent Claymore Convertible Securities & Income Fund II 3,291,021 3,315,523
2016-02-10 13G/A DEX / Delaware Enhanced Global Dividend & Income Fund 970,766
2016-02-10 13G TPZ / Tortoise Essential Energy Fund 581,447
2016-02-10 13G/A HRZN / Horizon Technology Finance Corporation 770,625
2016-02-10 13G OFS / OFS Capital Corporation 486,199
2016-02-10 13G/A KMF / Kayne Anderson NextGen Energy & Infrastructure Inc 609,550
2016-02-10 13G/A US3665541039 / Garrison Capital Inc. 1,637,116
2016-02-10 13G/A MRCC / Monroe Capital Corporation 1,036,188 1,358,023
2016-02-10 13G/A TTP / Tortoise Pipeline & Energy Fund, Inc. 195,477
2016-02-10 13G/A AIF / Apollo Tactical Income Fund Inc. 1,165,526
2016-02-10 13G/A SCM / Stellus Capital Investment Corporation 869,408
2016-02-10 13G WHF / WhiteHorse Finance, Inc. 963,839
2016-02-10 13G ICMB / Investcorp Credit Management BDC, Inc. 800,058
2016-02-10 13G/A TSLF / THL Credit Senior Loan Fund 783,819
2016-02-10 13G/A ASG / Liberty All-Star Growth Fund, Inc. 1,447,573
2016-02-10 13G/A ZF / Zweig Fund, Inc. 1,004,326
2016-02-10 13G/A VLT / Invesco High Income Trust II 386,803
2016-02-10 13G VLT / Invesco High Income Trust II 413,926
2016-01-15 13G/A LCM / Advent Claymore Convertible Securities and Income Fund II 274,514
2016-01-15 13G/A INF / Brookfield Global Listed Infrastructure Income Fund 558,020
2016-01-15 13G/A JCE / Nuveen Core Equity Alpha Fund 478,720
2015-12-10 13G JDD / Nuveen Diversified Dividend and Income Fund 2,033,189
2015-11-18 13G/A 007639107 / Advent Claymore Convertible Securities & Income Fund II 3,291,021
2015-11-18 13G/A NHF / NexPoint Strategic Opportunities Fund 664,725
2015-11-18 13G/A SCD / LMP Capital and Income Fund Inc. 641,881
2015-10-13 13G/A GLQ / Clough Global Equity Fund 470,167
2015-08-12 13G/A JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 827,522
2015-08-12 13G/A RMRM / RMR Mortgage Trust 6,997
2015-06-10 13G/A DCA / Virtus Total Return Fund 4,861,878
2015-06-10 13G/A XLORX / Lazard World Dividend & Income 336,839
2015-03-10 13G/A MRCC / Monroe Capital Corporation 1,036,188
2015-03-10 13G/A MCN / XAI Madison Equity Premium Income Fund 1,984,098
2015-03-10 13G/A MGU / Macquarie Global Infrastructure Total Return Fund Inc 1,280,234
2015-02-18 13G RMRM / RMR Mortgage Trust 430,112
2015-02-11 13G ZF / Zweig Fund, Inc. 1,924,544
2015-02-11 13G TTP / Tortoise Pipeline & Energy Fund, Inc. 563,830
2015-02-11 13G SCM / Stellus Capital Investment Corporation 710,649
2015-02-11 13G HRZN / Horizon Technology Finance Corporation 785,171
2015-02-11 13G MRCC / Monroe Capital Corporation 842,190
2015-02-11 13G/A RMRM / RMR Mortgage Trust 430,112
2015-02-11 13G/A INF / Brookfield Global Listed Infrastructure Income Fund 1,069,883
2015-02-11 13G/A JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 1,634,243
2015-02-11 13G AIF / Apollo Tactical Income Fund Inc. 1,142,520
2015-02-11 13G/A GLQ / Clough Global Equity Fund 1,385,134
2015-02-11 13G/A JCE / Nuveen Core Equity Alpha Fund 1,321,076
2015-02-11 13G/A KMF / Kayne Anderson NextGen Energy & Infrastructure Inc 1,124,173
2015-02-11 13G TSLF / THL Credit Senior Loan Fund 449,426
2015-02-11 13G/A US95790J1025 / Western Asset Corporate Loan Fund Inc. 536,939
2015-02-11 13G EOD / Wells Fargo Advantage Funds - Allspring Global Dividend Opportunity Fund 3,756,862
2015-02-11 13G MCN / XAI Madison Equity Premium Income Fund 1,674,361
2015-02-11 13G CXH / MFS Investment Grade Municipal Trust 758,204
2015-02-11 13G FFA / First Trust Enhanced Equity Income Fund 1,437,950
2015-02-11 13G/A NHF / NexPoint Strategic Opportunities Fund 5,899,408
2015-02-11 13G/A ASG / Liberty All-Star Growth Fund, Inc. 1,442,594
2015-02-11 13G/A XLORX / Lazard World Dividend & Income 732,283
2015-02-11 13G/A 007639107 / Advent Claymore Convertible Securities & Income Fund II 4,918,635
2015-02-11 13G/A LCM / Advent Claymore Convertible Securities and Income Fund II 975,125
2015-02-11 13G/A MGU / Macquarie Global Infrastructure Total Return Fund Inc 1,218,954
2015-02-11 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 1,301,142
2015-02-11 13G/A DEX / Delaware Enhanced Global Dividend & Income Fund 1,498,008
2015-02-11 13G/A SMM / Salient Midstream & MLP Fund 1,471,848
2015-02-11 13G GAIN / Gladstone Investment Corporation 1,415,450
2015-02-11 13G NIE / Virtus Equity & Convertible Income Fund 1,796,024
2015-02-11 13G US3665541039 / Garrison Capital Inc. 1,024,996
2015-02-11 13G HEQ / John Hancock Diversified Income Fund 1,019,958
2015-02-11 13G SCD / LMP Capital and Income Fund Inc. 1,571,357
2015-02-10 13G DCA / Virtus Total Return Fund 2,728,517
2015-02-10 13G/A DCA / Virtus Total Return Fund 3,369,099
2014-12-10 13G/A INF / Brookfield Global Listed Infrastructure Income Fund 1,051,893
2014-12-10 13G/A MGU / Macquarie Global Infrastructure Total Return Fund Inc 1,283,001
2014-11-12 13G/A SMM / Salient Midstream & MLP Fund 953,265
2014-03-12 13G/A 0
2014-02-12 13G/A JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 1,692,120
2014-02-12 13G/A US95790J1025 / Western Asset Corporate Loan Fund Inc. 961,912
2014-02-12 13G/A LCM / Advent Claymore Convertible Securities and Income Fund II 877,132
2014-02-12 13G 628,828
2014-02-12 13G DSU / BlackRock Debt Strategies Fund, Inc. 8,281,991
2014-02-12 13G ETO / Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund 827,589
2014-02-12 13G GLQ / Clough Global Equity Fund 1,407,308
2014-02-12 13G/A XLORX / Lazard World Dividend & Income 888,257
2014-02-12 13G MGU / Macquarie Global Infrastructure Total Return Fund Inc 1,036,938
2014-02-12 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 2,106,688
2014-02-12 13G JCE / Nuveen Core Equity Alpha Fund 1,079,206
2014-02-12 13G/A 007639107 / Advent Claymore Convertible Securities & Income Fund II 4,558,423
2014-02-12 13G/A DEX / Delaware Enhanced Global Dividend & Income Fund 1,266,495
2014-02-12 13G/A JTD / Nuveen Tax-Advantaged Dividend Growth Fund 1,162,325
2014-02-12 13G/A 1,468,575
2014-02-12 13G/A RMRM / RMR Mortgage Trust 788,168
2014-02-12 13G KMF / Kayne Anderson NextGen Energy & Infrastructure Inc 1,236,580
2014-02-12 13G SMF / 370,815
2014-02-12 13G INF / Brookfield Global Listed Infrastructure Income Fund 448,499
2014-02-12 13G SMM / Salient Midstream & MLP Fund 487,872
2014-02-12 13G ASG / Liberty All-Star Growth Fund, Inc. 1,345,589
2014-01-13 13G NHF / NexPoint Strategic Opportunities Fund 6,438,229
2013-11-05 13G JTA / Nuveen Tax-Advantaged Total Return Strategy Fund 1,406,466
2013-09-10 13G XLORX / Lazard World Dividend & Income 702,769
2013-09-10 13G RMRM / RMR Mortgage Trust 800,118
2013-07-10 13G 007639107 / Advent Claymore Convertible Securities & Income Fund II 3,258,498
2013-03-11 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 1,895,546
2013-02-07 13G/A US95790J1025 / Western Asset Corporate Loan Fund Inc. 1,292,767
2013-02-07 13G RIT / LMP Real Estate Income Fund, Inc. 616,498
2013-02-07 13G/A 857,309
2013-02-07 13G JLA / 1,433,507
2013-02-07 13G FHY / First Trust Strategic High Income Fund II 303,084
2013-02-07 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 1,333,443
2013-02-07 13G/A JTD / Nuveen Tax-Advantaged Dividend Growth Fund 1,315,077
2013-02-07 13G/A NGZ / 832,803
2013-02-07 13G OIA / Invesco Municipal Income Opportunities Trust 1,042,404
2013-02-07 13G HQL / Abrdn Life Sciences Investors 1,172,120
2013-02-07 13G ARK / 3,160,327
2013-02-07 13G/A SLA / 1,117,140
2012-10-05 13G SLA / 1,103,298
2012-09-10 13G US95790J1025 / Western Asset Corporate Loan Fund Inc. 1,033,494
2012-09-10 13G/A DVF / 1,245,543
2012-02-15 13G/A LCM / Advent Claymore Convertible Securities and Income Fund II 711,893
2012-02-15 13G 739,987
2012-02-15 13G DVF / 688,207
2012-02-15 13G XHNWX / Pioneer Diversified High Income 552,001
2012-02-15 13G/A DEX / Delaware Enhanced Global Dividend & Income Fund 722,697
2012-02-15 13G JTD / Nuveen Tax-Advantaged Dividend Growth Fund 972,073
2012-02-15 13G/A NGZ / 1,069,837
2012-02-15 13G/A 2,992,388