BULLDOG INVESTORS, LLC Information

PARK 80 WEST - PLAZA TWO, SADDLE BROOK, New Jersey, 07663, (201) 556-0092

Report Date: 09/30/2014

Position Statistics

Total Positions 20
New Positions 6
Increased Positions 8
Decreased Positions 5
Positions with Activity 13
Sold Out Positions 3
Total Mkt Value (in $ millions) 214

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials
Capital Goods 0.42%
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial 58.29%
Healthcare
Services
Technology
Transportation
Utilities

20 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
NUVEEN GLOBAL HIGH INCOME FD SHS 45,800 45,800 New 2,638,252
DIVERSIFIED REAL ASSET INC FD COM SHS 30,362 8,829 41 1,795,529
FIRSTHAND TECH VALUE FD INC COM 25,657 New 1,354,665
SWISS HELVETIA FD INC COM 19,824 New 1,738,973
MVC CAPITAL INC COM 14,042 New 1,412,685
IMPERIAL HLDGS INC COM 13,964 New 2,296,697
DEUTSCHE HIGH INCOME OPPORT FD COM 13,635 13,635 New 994,511
HF2 FINL MGMT INC CL A 12,373 New 1,187,411
ZWEIG TOTAL RETURN FD INC COM NEW 9,991 -2,069 (17.16) 736,823
VIRTUS TOTAL RETURN FD COM 6,338 6,338 New 1,463,628
LMP REAL ESTATE INCOME FD INC COM 6,036 6,036 New 492,746
GLOBAL DEFENSE & NATL SEC SYS COM 5,620 New 549,900
PANGAEA LOGISTICS SOLUTION LTD SHS 3,873 New 770,000
SINO MERCURY ACQUISITION CORP UT 1 COM 1 RT 2,753 2,753 New 275,000
EQUUS TOTAL RETURN INC COM 2,280 1,248 121 1,157,167
WHEELER REAL ESTATE INVT TR CV PFD SER B 896 896 New 40,000
CIS ACQUISITION LTD SHS SER A 662 -3,662 (84.69) 63,666
BROOKFIELD HIGH INCOME FD INC COM -3,820 Sold Out 0
COLLABRIUM JAPAN ACQUISITN CP SHS -5,905 Sold Out 0
KBS FASHION GROUP LTD COM -4,185 Sold Out 0

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