THOMAS J. HERZFELD ADVISORS, INC. Information

119 WASHINGTON AVENUE, SUITE 504, MIAMI BEACH, Florida, 33139, (305) 271-1900

Report Date: 09/30/2014

Position Statistics

Total Positions 293
New Positions 11
Increased Positions 83
Decreased Positions 68
Positions with Activity 151
Sold Out Positions 17
Total Mkt Value (in $ millions) 176

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

Sector Weighting

Basic Materials 0.49%
Capital Goods 3.09%
Conglomerates 1.24%
Consumer Cyclical
Consumer/Non-Cyclical 3.11%
Energy
Financial 77.43%
Healthcare 0.64%
Services 5.35%
Technology
Transportation 2.36%
Utilities 1.14%

293 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
OXFORD LANE CAP CORP PFD SHS SER 2023 6,508 3,709 132.48 266,164
FIRST OPPORTUNITY FD INC COM 6,105 248 4.24 650,851
VIRTUS TOTAL RETURN FD COM 5,193 -471 (8.32) 1,136,380
ADAMS EXPRESS CO COM 5,146 224 4.55 374,821
PIMCO DYNAMIC CR INCOME FD COM SHS 5,058 1,533 43.47 244,235
ALPINE TOTAL DYNAMIC DIVID FD COM SH BEN INT N 4,663 -318 (6.38) 538,400
TRI CONTL CORP COM 4,361 -314 (6.71) 205,818
PETROLEUM & RES CORP COM 4,337 80 1.88 181,142
RMR REAL ESTATE INCOME FUND COM 3,553 61 1.76 158,274
NUVEEN CR STRATEGIES INCM FD COM SHS 3,179 1,238 63.77 362,453
GENERAL AMERN INVS INC COM 2,974 -104 (3.37) 86,166
COPA HOLDINGS SA CL A 2,860 953 50 25,800
CLOUGH GLOBAL OPPORTUNITIES FD SH BEN INT 2,782 33 1.20 230,877
HERZFELD CARIBBEAN BASIN FD COM 2,671 New 282,652
LIBERTY ALL STAR EQUITY FD SH BEN INT 2,593 146 5.96 451,708
BLACKROCK CR ALLCTN INC TR COM 2,536 124 5.15 187,746
FEDERATED ENHANC TREAS INCM FD COM SH BEN INT 2,500 -133 (5.04) 193,348
DIVERSIFIED REAL ASSET INC FD COM SHS 2,489 -17 (0.67) 140,718
SEABOARD CORP COM 2,475 New 633
GABELLI HLTHCARE & WELLNESS TR SHS 2,435 1,004 70.14 229,097


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