KARPUS FAMILY FOUNDATION INC: Form 990PF, tax year 2020
View the entire original 990 at ProPublica ↗
- Organization
- KARPUS FAMILY FOUNDATION INC (EIN 47-2479174)
- Tax period
- 2020-01-01 to 2020-12-31
- Filed
- 2022-04-19
- IRS object ID
- 202221099349101422
- Schema version
- 2020v4.2
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
- Return header
- Form 990-PF
- Schedule B
- Accounting Fees Schedule
- Applied To Prior Year Election
- Investments Corp Bonds Schedule
- Investments Corp Stock Schedule
- Other Decreases Schedule
- Other Expenses Schedule
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2022-04-19T14:52:38-05:00 | ReturnTs |
| Tax Period End | 2020-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Firm EIN | 161131146 | PreparerFirmEIN |
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | BONADIO & CO LLP | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 171 SULLYS TRAIL | AddressLine1Txt |
| City | PITTSFORD | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 14534 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2020-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 472479174 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | THE KARPUS FAMILY FOUNDATION INC | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | KARP | BusinessNameControlTxt |
| Phone | 5853891643 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 183 SULLYS TRAIL | AddressLine1Txt |
| City | PITTSFORD | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 14534 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | GEORGE KARPUS | PersonNm |
| Person Title | PRESIDENT | PersonTitleTxt |
| Phone | 5853891643 | PhoneNum |
| Signature | 2022-04-19 | SignatureDt |
| Discuss With Paid Preparer | Yes (1) | DiscussWithPaidPreparerInd |
Signing Officer SigningOfficerGrp
Person Full Name PersonFullName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person First | GEORGE | PersonFirstNm |
| Person Last | KARPUS | PersonLastNm |
| Field | Value | IRS element (for citing) |
|---|---|---|
| SSN | 999009999 | SSN |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | EILEEN C SEMMLER | PreparerPersonNm |
| PTIN | P01239376 | PTIN |
| Phone | 5853811000 | PhoneNum |
| Preparation | 2022-04-18 | PreparationDt |
Additional Filer Information AdditionalFilerInformation
Trusted Customer TrustedCustomerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trusted Customer | 3 | TrustedCustomerCd |
| Authentication Assurance Level | AAL1 | AuthenticationAssuranceLevelCd |
| Identity Assurance Level | IAL1 | IdentityAssuranceLevelCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2020 | TaxYr |
| Build TS | 2022-09-23 18:48:47Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $21,506,092 | FMVAssetsEOYAmt |
| Method Of Accounting Cash | Yes (X) | MethodOfAccountingCashInd |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Rcvd Rev And Expnss | $869,604 | ContriRcvdRevAndExpnssAmt |
| Dividends Rev And Expnss | $786,089 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $786,089 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $1,345,162 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $17,909,850 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $1,345,162 | CapGainNetIncmNetInvstIncmAmt |
| Total Rev And Expnss | $3,000,855 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $2,131,251 | TotalNetInvstIncmAmt |
| Comp Ofcr Dir Trst Rev And Expnss | $0 | CompOfcrDirTrstRevAndExpnssAmt |
| Comp Ofcr Dir Trst Net Invst Incm | $0 | CompOfcrDirTrstNetInvstIncmAmt |
| Comp Ofcr Dir Trst Dsbrs Chrtbl | $0 | CompOfcrDirTrstDsbrsChrtblAmt |
| Accounting Fees Rev And Expnss | $5,400 | AccountingFeesRevAndExpnssAmt |
| Accounting Fees Net Invst Incm | $0 | AccountingFeesNetInvstIncmAmt |
| Accounting Fees Chrtbl Prps | $5,400 | AccountingFeesChrtblPrpsAmt |
| Other Prof Fees Rev And Expnss | $208,082 | OtherProfFeesRevAndExpnssAmt |
| Other Prof Fees Net Invst Incm | $153,082 | OtherProfFeesNetInvstIncmAmt |
| Other Prof Fees Dsbrs Chrtbl | $55,000 | OtherProfFeesDsbrsChrtblAmt |
| Taxes Rev And Expnss | $34,057 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $0 | TaxesNetInvstIncmAmt |
| Taxes Dsbrs Chrtbl | $0 | TaxesDsbrsChrtblAmt |
| Trav Conf Meeting Rev And Expnss | $4,100 | TravConfMeetingRevAndExpnssAmt |
| Trav Conf Meeting Net Invst Incm | $0 | TravConfMeetingNetInvstIncmAmt |
| Trav Conf Meeting Dsbrs Chrtbl | $4,100 | TravConfMeetingDsbrsChrtblAmt |
| Other Expenses Rev And Expnss | $637 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Net Invst Incm | $0 | OtherExpensesNetInvstIncmAmt |
| Other Expenses Dsbrs Chrtbl | $612 | OtherExpensesDsbrsChrtblAmt |
| Tot Opr Expenses Rev And Expnss | $252,276 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $153,082 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $65,112 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $858,850 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $858,850 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $1,111,126 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $153,082 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Dsbrs Chrtbl | $923,962 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | $1,889,729 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $1,978,169 | NetInvestmentIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sav And Temp Cash Invst BOY | $1,088,785 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $969,406 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $969,406 | SavAndTempCashInvstEOYFMVAmt |
| Corporate Stock BOY | $9,173,573 | CorporateStockBOYAmt |
| Corporate Stock EOY | $10,595,854 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $11,697,331 | CorporateStockEOYFMVAmt |
| Corporate Bonds BOY | $8,229,666 | CorporateBondsBOYAmt |
| Corporate Bonds EOY | $8,422,497 | CorporateBondsEOYAmt |
| Corporate Bonds EOYFMV | $8,839,355 | CorporateBondsEOYFMVAmt |
| Other Investments BOY | $515,500 | OtherInvestmentsBOYAmt |
| Other Investments EOY | $0 | OtherInvestmentsEOYAmt |
| Other Investments EOYFMV | $0 | OtherInvestmentsEOYFMVAmt |
| Total Assets BOY | $19,007,524 | TotalAssetsBOYAmt |
| Total Assets EOY | $19,987,757 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $21,506,092 | TotalAssetsEOYFMVAmt |
| Total Liabilities BOY | $0 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $0 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow FASB117 | Yes (X) | OrgDoesNotFollowFASB117Ind |
| Capital Stock BOY | $0 | CapitalStockBOYAmt |
| Capital Stock EOY | $0 | CapitalStockEOYAmt |
| Additional Paid In Capital BOY | $0 | AdditionalPaidInCapitalBOYAmt |
| Additional Paid In Capital EOY | $0 | AdditionalPaidInCapitalEOYAmt |
| Retained Earning BOY | $19,007,524 | RetainedEarningBOYAmt |
| Retained Earning EOY | $19,987,757 | RetainedEarningEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $19,007,524 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $19,987,757 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $19,007,524 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $19,987,757 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $19,007,524 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | $1,889,729 | ExcessRevenueOverExpensesAmt |
| Other Increases | $0 | OtherIncreasesAmt |
| Subtotal | $20,897,253 | SubtotalAmt |
| Other Decreases | $909,496 | OtherDecreasesAmt |
| Tot Net Ast Or Fund Balances EOY | $19,987,757 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (371 entries)
| PropertyPropertyDesc | How AcquiredHowAcquiredCd | SoldSoldDt | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt |
|---|---|---|---|---|---|---|
| CALL CHIPOTLE MEXICAN | P | 2020-05-26 | $31,762 | $7,771 | $23,991 | $23,991 |
| CALL CHIPOTLE MEXICAN | P | 2020-05-19 | $5,984 | $25,874 | -$19,890 | -$19,890 |
| CALL CHIPOTLE MEXICAN | P | 2020-05-27 | $5,984 | $26,796 | -$20,812 | -$20,812 |
| CALL CHIPOTLE MEXICAN | P | 2020-05-18 | $20,842 | $4,641 | $16,201 | $16,201 |
| CALL DIREXION SHARES | P | 2020-05-15 | $950 | $940 | $10 | $10 |
| CALL DIREXION SHARES | P | 2020-05-18 | $139 | $285 | -$146 | -$146 |
| CALL DIREXION SHARES | P | 2020-05-18 | $209 | $428 | -$219 | -$219 |
| CALL DIREXION SHARES | P | 2020-06-04 | $83 | $1,427 | -$1,344 | -$1,344 |
| CALL DIREXION SHARES | P | 2020-05-11 | $47 | $15 | $32 | $32 |
| CALL DIREXION SHARES | P | 2020-05-11 | $47 | $25 | $22 | $22 |
| CALL DIREXION SHARES | P | 2020-05-18 | $47 | $10 | $37 | $37 |
| CALL DIREXION SHARES | P | 2020-05-19 | $99 | $43 | $56 | $56 |
| CALL DIREXION SHARES | P | 2020-05-19 | $148 | $65 | $83 | $83 |
| CALL DRXN LRGCAP BULL | P | 2020-06-02 | $1,238 | $386 | $852 | $852 |
| CALL DRXN LRGCAP BULL | P | 2020-03-20 | $291 | -$291 | -$291 | |
| CALL DRXN LRGCAP BULL | P | 2020-03-20 | $291 | -$291 | -$291 | |
| CALL DRXN LRGCAP BULL | P | 2020-03-20 | $261 | -$261 | -$261 | |
| CALL DRXN LRGCAP BULL | P | 2020-03-20 | $261 | -$261 | -$261 | |
| CALL DRXN LRGCAP BULL | P | 2020-03-20 | $291 | -$291 | -$291 | |
| CALL DRXN LRGCAP BULL | P | 2020-06-02 | $829 | $246 | $583 | $583 |
| CALL DRXN LRGCAP BULL | P | 2020-06-02 | $3,317 | $963 | $2,354 | $2,354 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $4,797 | $1,203 | $3,594 | $3,594 |
| CALL DRXN LRGCAP BULL | P | 2020-06-02 | $469 | $441 | $28 | $28 |
| CALL DRXN LRGCAP BULL | P | 2020-06-02 | $469 | $155 | $314 | $314 |
| CALL DRXN LRGCAP BULL | P | 2020-06-02 | $939 | $309 | $630 | $630 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $589 | $151 | $438 | $438 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $589 | $155 | $434 | $434 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $2,947 | $748 | $2,199 | $2,199 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $880 | $197 | $683 | $683 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $880 | $197 | $683 | $683 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $1,759 | $393 | $1,366 | $1,366 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $1,759 | $393 | $1,366 | $1,366 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $1,761 | $393 | $1,368 | $1,368 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $1,761 | $393 | $1,368 | $1,368 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $8,693 | $1,967 | $6,726 | $6,726 |
| CALL DRXN LRGCAP BULL | P | 2020-03-12 | $79 | $781 | -$702 | -$702 |
| CALL DRXN LRGCAP BULL | P | 2020-03-12 | $79 | $781 | -$702 | -$702 |
| CALL DRXN LRGCAP BULL | P | 2020-03-12 | $49 | $781 | -$732 | -$732 |
| CALL DRXN LRGCAP BULL | P | 2020-03-12 | $49 | $781 | -$732 | -$732 |
| CALL DRXN LRGCAP BULL | P | 2020-03-12 | $79 | $781 | -$702 | -$702 |
| CALL DRXN LRGCAP BULL | P | 2020-03-31 | $71 | $56 | $15 | $15 |
| CALL DRXN LRGCAP BULL | P | 2020-03-31 | $49 | $36 | $13 | $13 |
| CALL DRXN LRGCAP BULL | P | 2020-03-31 | $59 | $36 | $23 | $23 |
| CALL DRXN LRGCAP BULL | P | 2020-03-31 | $489 | $321 | $168 | $168 |
| CALL DRXN LRGCAP BULL | P | 2020-04-13 | $79 | $61 | $18 | $18 |
| CALL DRXN LRGCAP BULL | P | 2020-04-20 | $36 | $27 | $9 | $9 |
| CALL DRXN LRGCAP BULL | P | 2020-04-20 | $79 | $65 | $14 | $14 |
| CALL DRXN LRGCAP BULL | P | 2020-04-20 | $172 | $163 | $9 | $9 |
| CALL DRXN LRGCAP BULL | P | 2020-04-30 | $70 | $116 | -$46 | -$46 |
| CALL DRXN LRGCAP BULL | P | 2020-04-30 | $211 | $347 | -$136 | -$136 |
| CALL DRXN LRGCAP BULL | P | 2020-04-30 | $428 | $694 | -$266 | -$266 |
| CALL DRXN LRGCAP BULL | P | 2020-05-11 | $357 | $398 | -$41 | -$41 |
| CALL DRXN LRGCAP BULL | P | 2020-05-11 | $357 | $398 | -$41 | -$41 |
| CALL DRXN LRGCAP BULL | P | 2020-04-13 | $51 | $21 | $30 | $30 |
| CALL DRXN LRGCAP BULL | P | 2020-04-13 | $50 | $21 | $29 | $29 |
| CALL DRXN LRGCAP BULL | P | 2020-04-13 | $50 | $21 | $29 | $29 |
| CALL DRXN LRGCAP BULL | P | 2020-06-01 | $122 | $203 | -$81 | -$81 |
| CALL DRXN LRGCAP BULL | P | 2020-06-01 | $122 | $203 | -$81 | -$81 |
| CALL DRXN LRGCAP BULL | P | 2020-06-04 | $4 | $13 | -$9 | -$9 |
| CALL DRXN LRGCAP BULL | P | 2020-04-09 | $9 | $3 | $6 | $6 |
| CALL PROSHARES TRUST II | P | 2020-04-13 | $992 | $85 | $907 | $907 |
| CALL PROSHARES TRUST II | P | 2020-04-13 | $18,854 | $1,609 | $17,245 | $17,245 |
| CALL PROSHARES TRUST II | P | 2020-04-20 | $9,923 | $217 | $9,706 | $9,706 |
| CALL PROSHARES TRUST II | P | 2020-04-15 | $1,795 | $3 | $1,792 | $1,792 |
| CALL PROSHARES TRUST II | P | 2020-04-09 | $47 | $829 | -$782 | -$782 |
| CALL PROSHARES TRUST II | P | 2020-04-09 | $899 | $15,745 | -$14,846 | -$14,846 |
| CALL PROSHARES TRUST II | P | 2020-04-17 | $895 | -$895 | -$895 | |
| CALL PROSHARES TRUST II | P | 2020-04-14 | $6 | $1,404 | -$1,398 | -$1,398 |
| CALL PROSHARES TRUST II | P | 2020-05-01 | $15,757 | -$15,757 | -$15,757 | |
| CALL SPDR S&P 500 | P | 2020-03-30 | $299 | $1,146 | -$847 | -$847 |
| CALL SPDR S&P 500 | P | 2020-03-03 | $2,693 | $2,491 | $202 | $202 |
| CALL SPDR S&P 500 | P | 2020-03-04 | $8,089 | $6,905 | $1,184 | $1,184 |
| CALL SPDR S&P 500 | P | 2020-03-13 | $3,063 | -$3,063 | -$3,063 | |
| CALL SPDR S&P 500 | P | 2020-03-26 | $307 | $99 | $208 | $208 |
| CALL SPDR S&P 500 | P | 2020-03-26 | $307 | $99 | $208 | $208 |
| CALL SPDR S&P 500 | P | 2020-03-31 | $308 | $8 | $300 | $300 |
| CALL SPDR S&P 500 | P | 2020-03-25 | $29 | $71 | -$42 | -$42 |
| CALL SPDR S&P 500 | P | 2020-03-25 | $29 | $71 | -$42 | -$42 |
| CALL SPDR S&P 500 | P | 2020-03-02 | $997 | $481 | $516 | $516 |
| CALL SPDR S&P 500 | P | 2020-03-13 | $3,047 | $3,047 | $3,047 | |
| CALL SPDR S&P 500 | P | 2020-01-07 | $2,159 | $2,181 | -$22 | -$22 |
| CALL SPDR S&P 500 | P | 2020-06-04 | $7,132 | $3,288 | $3,844 | $3,844 |
| CALL SPDR S&P 500 | P | 2020-06-04 | $7,132 | $3,288 | $3,844 | $3,844 |
| CALL SPDR S&P 500 | P | 2020-03-03 | $235 | $499 | -$264 | -$264 |
| CALL SPDR S&P 500 | P | 2020-03-03 | $98 | $99 | -$1 | -$1 |
| CALL SPDR S&P 500 | P | 2020-03-02 | $380 | $258 | $122 | $122 |
| CALL SPDR S&P 500 | P | 2020-03-03 | $1,972 | $1,288 | $684 | $684 |
| CALL SPDR S&P 500 | P | 2020-03-03 | $2,342 | $1,546 | $796 | $796 |
| CALL SPDR S&P 500 | P | 2020-01-27 | $1,767 | $1,971 | -$204 | -$204 |
| CALL SPDR S&P 500 | P | 2020-02-03 | $1,737 | $1,281 | $456 | $456 |
| CALL SPDR S&P 500 | P | 2020-01-27 | $2,218 | $2,031 | $187 | $187 |
| CALL SPDR S&P 500 | P | 2020-01-27 | $2,218 | $2,031 | $187 | $187 |
| CALL SPDR S&P 500 | P | 2020-02-03 | $2,218 | $1,359 | $859 | $859 |
| CALL SPDR S&P 500 | P | 2020-02-03 | $2,218 | $1,361 | $857 | $857 |
| CALL SPDR S&P 500 | P | 2020-02-06 | $2,218 | $2,202 | $16 | $16 |
| CALL SPDR S&P 500 | P | 2020-02-06 | $2,218 | $2,221 | -$3 | -$3 |
| CALL SPDR S&P 500 | P | 2020-02-13 | $1,870 | $2,718 | -$848 | -$848 |
| CALL SPDR S&P 500 | P | 2020-02-28 | $172 | $496 | -$324 | -$324 |
| CALL SPDR S&P 500 | P | 2020-02-28 | $345 | $987 | -$642 | -$642 |
| CALL SPDR S&P 500 | P | 2020-02-28 | $517 | $1,442 | -$925 | -$925 |
| CALL SPDR S&P 500 | P | 2020-02-28 | $1,034 | $2,998 | -$1,964 | -$1,964 |
| CALL SPDR S&P 500 | P | 2020-03-05 | $285 | $698 | -$413 | -$413 |
| CALL SPDR S&P 500 | P | 2020-03-05 | $285 | $711 | -$426 | -$426 |
| CALL SPDR S&P 500 | P | 2020-03-09 | $713 | -$713 | -$713 | |
| CALL SPDR S&P 500 | P | 2020-03-09 | $4,302 | -$4,302 | -$4,302 | |
| CALL SPDR S&P 500 | P | 2020-03-09 | $711 | -$711 | -$711 | |
| CALL SPDR S&P 500 | P | 2020-03-13 | $207 | -$207 | -$207 | |
| CALL SPDR S&P 500 | P | 2020-02-21 | $2,260 | $2,337 | -$77 | -$77 |
| CALL SPDR S&P 500 | P | 2020-03-06 | $812 | $338 | $474 | $474 |
| CALL SPDR S&P 500 | P | 2020-06-03 | $163 | $278 | -$115 | -$115 |
| CALL SPDR S&P 500 | P | 2020-06-03 | $163 | $278 | -$115 | -$115 |
| CALL SPDR S&P 500 | P | 2020-06-03 | $327 | $551 | -$224 | -$224 |
| CALL SPDR S&P 500 | P | 2020-06-03 | $327 | $555 | -$228 | -$228 |
| CALL SPDR S&P 500 | P | 2020-06-03 | $327 | $557 | -$230 | -$230 |
| CALL SPDR S&P 500 | P | 2020-06-03 | $327 | $557 | -$230 | -$230 |
| CALL SPDR S&P 500 | P | 2020-06-05 | $163 | $437 | -$274 | -$274 |
| CALL SPDR S&P 500 | P | 2020-06-05 | $163 | $437 | -$274 | -$274 |
| CALL SPDR S&P 500 | P | 2020-06-05 | $163 | $438 | -$275 | -$275 |
| CALL SPDR S&P 500 | P | 2020-06-05 | $163 | $438 | -$275 | -$275 |
| CALL SPDR S&P 500 | P | 2020-06-05 | $163 | $438 | -$275 | -$275 |
| CALL SPDR S&P 500 | P | 2020-06-05 | $163 | $439 | -$276 | -$276 |
| CALL SPDR S&P 500 | P | 2020-06-05 | $653 | $1,755 | -$1,102 | -$1,102 |
| CALL SPDR S&P 500 | P | 2020-06-05 | $817 | $2,155 | -$1,338 | -$1,338 |
| CALL SPDR S&P 500 | P | 2020-06-05 | $817 | $2,178 | -$1,361 | -$1,361 |
| CALL SPDR S&P 500 | P | 2020-06-02 | $139 | $98 | $41 | $41 |
| CALL SPDR S&P 500 | P | 2020-06-02 | $139 | $98 | $41 | $41 |
| CALL SPDR S&P 500 | P | 2020-06-02 | $277 | $195 | $82 | $82 |
| CALL SPDR S&P 500 | P | 2020-06-02 | $281 | $195 | $86 | $86 |
| CALL SPDR S&P 500 | P | 2020-06-02 | $279 | $195 | $84 | $84 |
| CALL SPDR S&P 500 | P | 2020-06-02 | $281 | $195 | $86 | $86 |
| CALL SPDR S&P 500 | P | 2020-06-04 | $236 | $99 | $137 | $137 |
| CALL SPDR S&P 500 | P | 2020-06-04 | $236 | $99 | $137 | $137 |
| CALL SPDR S&P 500 | P | 2020-06-04 | $235 | $99 | $136 | $136 |
| CALL SPDR S&P 500 | P | 2020-06-04 | $235 | $99 | $136 | $136 |
| CALL SPDR S&P 500 | P | 2020-06-04 | $235 | $99 | $136 | $136 |
| CALL SPDR S&P 500 | P | 2020-06-04 | $237 | $99 | $138 | $138 |
| CALL SPDR S&P 500 | P | 2020-06-04 | $949 | $395 | $554 | $554 |
| CALL SPDR S&P 500 | P | 2020-01-03 | $183 | $140 | $43 | $43 |
| CALL SPDR S&P 500 | P | 2020-01-03 | $183 | $140 | $43 | $43 |
| CALL SPDR S&P 500 | P | 2020-01-03 | $183 | $140 | $43 | $43 |
| CALL SPDR S&P 500 | P | 2020-01-03 | $183 | $140 | $43 | $43 |
| CALL SPDR S&P 500 | P | 2020-01-07 | $145 | $140 | $5 | $5 |
| CALL SPDR S&P 500 | P | 2020-01-07 | $145 | $140 | $5 | $5 |
| CALL SPDR S&P 500 | P | 2020-01-10 | $352 | $141 | $211 | $211 |
| CALL SPDR S&P 500 | P | 2020-01-10 | $705 | $279 | $426 | $426 |
| CALL SPDR S&P 500 | P | 2020-01-10 | $937 | $422 | $515 | $515 |
| CALL SPDR S&P 500 | P | 2020-01-13 | $333 | $141 | $192 | $192 |
| CALL SPDR S&P 500 | P | 2020-01-17 | $707 | $141 | $566 | $566 |
| CALL SPDR S&P 500 | P | 2020-02-03 | $79 | -$79 | -$79 | |
| CALL SPDR S&P 500 | P | 2020-02-03 | $159 | -$159 | -$159 | |
| CALL SPDR S&P 500 | P | 2020-02-03 | $159 | -$159 | -$159 | |
| CALL SPDR S&P 500 | P | 2020-02-03 | $393 | -$393 | -$393 | |
| CALL SPDR S&P 500 | P | 2020-01-24 | $170 | $175 | -$5 | -$5 |
| CALL SPDR S&P 500 | P | 2020-01-24 | $170 | $175 | -$5 | -$5 |
| CALL SPDR S&P 500 | P | 2020-01-24 | $127 | $149 | -$22 | -$22 |
| CALL SPDR S&P 500 | P | 2020-02-03 | $285 | -$285 | -$285 | |
| CALL SPDR S&P 500 | P | 2020-02-03 | $199 | -$199 | -$199 | |
| CALL SPDR S&P 500 | P | 2020-02-12 | $1,431 | $391 | $1,040 | $1,040 |
| CALL SPDR S&P 500 | P | 2020-02-12 | $617 | $147 | $470 | $470 |
| CALL SPDR S&P 500 | P | 2020-01-31 | $92 | $1,480 | -$1,388 | -$1,388 |
| CALL SPDR S&P 500 | P | 2020-02-05 | $191 | $493 | -$302 | -$302 |
| CALL SPDR S&P 500 | P | 2020-02-05 | $175 | $493 | -$318 | -$318 |
| CALL SPDR S&P 500 | P | 2020-02-05 | $175 | $493 | -$318 | -$318 |
| CALL SPDR S&P 500 | P | 2020-01-17 | $1,052 | $1,174 | -$122 | -$122 |
| CALL SPDR S&P 500 | P | 2020-01-17 | $740 | $1,174 | -$434 | -$434 |
| CALL SPDR S&P 500 | P | 2020-01-17 | $530 | $922 | -$392 | -$392 |
| CALL SPDR S&P 500 | P | 2020-01-22 | $129 | $105 | $24 | $24 |
| CALL SPDR S&P 500 | P | 2020-01-22 | $257 | $211 | $46 | $46 |
| CALL SPDR S&P 500 | P | 2020-01-27 | $386 | $178 | $208 | $208 |
| CALL SPDR S&P 500 | P | 2020-02-20 | $99 | $213 | -$114 | -$114 |
| CALL SPDR S&P 500 | P | 2020-02-20 | $24 | $75 | -$51 | -$51 |
| PUT PROSHARES TRUST II | P | 2020-03-25 | $1,199 | $886 | $313 | $313 |
| PUT PROSHARES TRUST II | P | 2020-06-04 | $1,292 | $886 | $406 | $406 |
| PUT PROSHARES TRUST II | P | 2020-03-26 | $1,510 | $2,161 | -$651 | -$651 |
| PUT PROSHARES TRUST II | P | 2020-06-05 | $3,021 | $5,069 | -$2,048 | -$2,048 |
| PUT SPDR S&P 500 | P | 2020-06-04 | $5,281 | $3,184 | $2,097 | $2,097 |
| PUT SPDR S&P 500 | P | 2020-06-02 | $33 | $439 | -$406 | -$406 |
| PUT SPDR S&P 500 | P | 2020-03-03 | $237 | $187 | $50 | $50 |
| PUT SPDR S&P 500 | P | 2020-03-04 | $159 | $482 | -$323 | -$323 |
| PUT SPDR S&P 500 | P | 2020-03-04 | $317 | $655 | -$338 | -$338 |
| PUT SPDR S&P 500 | P | 2020-03-04 | $397 | $818 | -$421 | -$421 |
| PUT SPDR S&P 500 | P | 2020-03-04 | $851 | $1,800 | -$949 | -$949 |
| PUT SPDR S&P 500 | P | 2020-06-03 | $1,084 | $95 | $989 | $989 |
| PUT SPDR S&P 500 | P | 2020-04-13 | $1,070 | $1,070 | $1,070 | |
| PUT SPDR S&P 500 | P | 2020-03-05 | $736 | $464 | $272 | $272 |
| PUT SPDR S&P 500 | P | 2020-03-05 | $1,567 | $533 | $1,034 | $1,034 |
| PUT SPDR S&P 500 | P | 2020-03-05 | $1,253 | $639 | $614 | $614 |
| PUT SPDR S&P 500 | P | 2020-03-05 | $2,193 | $1,118 | $1,075 | $1,075 |
| PUT SPDR S&P 500 | P | 2020-03-05 | $2,507 | $1,237 | $1,270 | $1,270 |
| PUT SPDR S&P 500 | P | 2020-03-13 | $313 | $2,367 | -$2,054 | -$2,054 |
| PUT SPDR S&P 500 | P | 2020-03-13 | $1,567 | $10,168 | -$8,601 | -$8,601 |
| PUT SPDR S&P 500 | P | 2020-04-13 | $3,190 | -$3,190 | -$3,190 | |
| PUT SPDR S&P 500 | P | 2020-06-02 | $179 | $914 | -$735 | -$735 |
| PUT SPDR S&P 500 | P | 2020-03-04 | $449 | $883 | -$434 | -$434 |
| PUT SPDR S&P 500 | P | 2020-03-04 | $449 | $1,042 | -$593 | -$593 |
| PUT SPDR S&P 500 | P | 2020-03-09 | $2,301 | $1,042 | $1,259 | $1,259 |
| PUT SPDR S&P 500 | P | 2020-03-09 | $2,604 | $1,042 | $1,562 | $1,562 |
| PUT SPDR S&P 500 | P | 2020-03-09 | $2,799 | $1,042 | $1,757 | $1,757 |
| PUT SPDR S&P 500 | P | 2020-03-12 | $4,789 | $1,042 | $3,747 | $3,747 |
| PUT SPDR S&P 500 | P | 2020-03-12 | $4,532 | $1,475 | $3,057 | $3,057 |
| PUT SPDR S&P 500 | P | 2020-03-12 | $18,129 | $4,167 | $13,962 | $13,962 |
| PUT SPDR S&P 500 | P | 2020-02-04 | $57 | -$57 | -$57 | |
| PUT SPDR S&P 500 | P | 2020-02-04 | $57 | -$57 | -$57 | |
| PUT SPDR S&P 500 | P | 2020-02-04 | $1 | $113 | -$112 | -$112 |
| PUT SPDR S&P 500 | P | 2020-02-04 | $2 | $397 | -$395 | -$395 |
| PUT SPDR S&P 500 | P | 2020-02-04 | $4 | $737 | -$733 | -$733 |
| PUT SPDR S&P 500 | P | 2020-02-04 | $5 | $907 | -$902 | -$902 |
| PUT SPDR S&P 500 | P | 2020-02-05 | $1,867 | $40 | $1,827 | $1,827 |
| PUT SPDR S&P 500 | P | 2020-02-05 | $1,493 | $48 | $1,445 | $1,445 |
| PUT SPDR S&P 500 | P | 2020-02-05 | $2,240 | $72 | $2,168 | $2,168 |
| PUT SPDR S&P 500 | P | 2020-02-05 | $163 | $733 | -$570 | -$570 |
| PUT SPDR S&P 500 | P | 2020-02-05 | $244 | $1,100 | -$856 | -$856 |
| PUT SPDR S&P 500 | P | 2020-02-04 | $95 | $593 | -$498 | -$498 |
| PUT SPDR S&P 500 | P | 2020-02-04 | $95 | $593 | -$498 | -$498 |
| PUT SPDR S&P 500 | P | 2020-02-04 | $95 | $593 | -$498 | -$498 |
| PUT SPDR S&P 500 | P | 2020-02-04 | $284 | $1,780 | -$1,496 | -$1,496 |
| PUT SPDR S&P 500 | P | 2020-02-04 | $379 | $2,373 | -$1,994 | -$1,994 |
| PUT SPDR S&P 500 | P | 2020-02-07 | $13 | $311 | -$298 | -$298 |
| PUT SPDR S&P 500 | P | 2020-02-07 | $20 | $466 | -$446 | -$446 |
| SPDR S&P 500 | P | 2020-01-21 | $160,936 | $162,500 | -$1,564 | -$1,564 |
| SPDR S&P 500 | P | 2020-01-24 | $32,850 | $32,801 | $49 | $49 |
| SPDR S&P 500 | P | 2020-01-24 | $65,699 | $65,601 | $98 | $98 |
| SPDR S&P 500 | P | 2020-01-24 | $65,699 | $65,601 | $98 | $98 |
| TEMPLETON EMERGING MARKETS FUND | P | 2020-01-31 | $34,028 | $33,445 | $583 | $583 |
| VANGUARD SMALL CAP INDEX FUND SHARES | P | 2020-01-24 | $86,126 | $60,150 | $25,976 | $25,976 |
| NUVEEN QUALITY MUNI INCOME FUND | P | 2020-01-24 | $55,538 | $47,811 | $7,727 | $7,727 |
| NUVEEN QUALITY MUNI INCOME FUND | P | 2020-01-28 | $416,061 | $356,656 | $59,405 | $59,405 |
| CORNERSTONE STRATEGIC VALUE | P | 2020-02-03 | $103,970 | $103,970 | $0 | $0 |
| VANGUARD S P 500 ETF | P | 2020-02-18 | $170,363 | $95,378 | $74,985 | $74,985 |
| VANGUARD SMALL CAP INDEX FUND SHARES | P | 2020-02-24 | $88,348 | $61,330 | $27,018 | $27,018 |
| BLACKROCK INCOME TR | P | 2020-02-19 | $91,268 | $93,515 | -$2,247 | -$2,247 |
| BLACKROCK INCOME TR | P | 2020-02-26 | $209,543 | $211,994 | -$2,451 | -$2,451 |
| SARATOGA INVESTMENT CORP 6.750% PFD - FULL CALL | P | 2020-02-07 | $40,525 | $40,412 | $113 | $113 |
| ALLEGRO MERGER CORP | P | 2020-03-13 | $348,152 | $325,030 | $23,122 | $23,122 |
| BLACKROCK HEALTH SCI TR II | P | 2020-03-27 | $20,639 | $16,311 | $4,328 | $4,328 |
| BLACKROCK HEALTH SCI TR II | P | 2020-03-30 | $34,045 | $26,302 | $7,743 | $7,743 |
| BLACKROCK SCIENCE TECHNOLOGY TRUST II | P | 2020-03-27 | $288 | $238 | $50 | $50 |
| BLACKROCK SCIENCE TECHNOLOGY TRUST II | P | 2020-03-30 | $8,717 | $7,051 | $1,666 | $1,666 |
| CALAMOS MARKET NEUTRAL INCOME FUND INSTITUTIONAL CLASS | P | 2020-03-17 | $83,851 | $89,000 | -$5,149 | -$5,149 |
| CLEARBRIDGE MLP AND MIDSTREAM FUND INC | P | 2020-03-12 | $39,216 | $94,554 | -$55,338 | -$55,338 |
| CORNERSTONE STRATEGIC VALUE | P | 2020-03-09 | $115,862 | $113,629 | $2,233 | $2,233 |
| DOUBLELINE SHILLER ENHANCED CAPE I | P | 2020-03-20 | $196,931 | $277,154 | -$80,223 | -$80,223 |
| EATON VANCE TAX MANAGED GLOBAL DIVERSIFIED EQUITY INCOME FUND | P | 2020-03-31 | $102,186 | $104,473 | -$2,287 | -$2,287 |
| ISHARES CORE DIVIDEND GROWTH ETF | P | 2021-03-16 | $174,927 | $202,334 | -$27,407 | -$27,407 |
| ISHARES EDGE MSCI USA QUALITY FACTOR | P | 2020-03-20 | $160,583 | $222,123 | -$61,540 | -$61,540 |
| ISHARES MSCI CANADA ETF | P | 2020-03-25 | $12,426 | $18,110 | -$5,684 | -$5,684 |
| ISHARES MSCI JAPAN ETF | P | 2020-03-20 | $65,391 | $80,685 | -$15,294 | -$15,294 |
| LF CAPITAL ACQUISITION COR A | P | 2020-03-12 | $390,704 | $366,513 | $24,191 | $24,191 |
| NETFIN AQUISITION CORP CL A | P | 2020-03-19 | $558,130 | $576,225 | -$18,095 | -$18,095 |
| OPES ACQUISITION CORP | P | 2020-03-13 | $579,687 | $562,550 | $17,137 | $17,137 |
| T ROWE PRICE GLOBAL STOCK FUND I CLASS #1071 | P | 2020-03-23 | $12,680 | $15,488 | -$2,808 | -$2,808 |
| T ROWE PRICE GLOBAL STOCK FUND I CLASS #1071 | P | 2020-03-25 | $26,740 | $30,558 | -$3,818 | -$3,818 |
| TOTTENHAM ACQUISITION I LTD | P | 2020-03-17 | $353,252 | $328,440 | $24,812 | $24,812 |
| VANGUARD FTSE EUROPE INDEX FUND SHARES ETF | P | 2020-03-20 | $41,372 | $43,106 | -$1,734 | -$1,734 |
| VANGUARD FTSE EUROPE INDEX FUND SHARES ETF | P | 2020-03-20 | $22,540 | $33,279 | -$10,739 | -$10,739 |
| VANGUARD FTSE EUROPE INDEX FUND SHARES ETF | P | 2020-03-23 | $73,645 | $120,537 | -$46,892 | -$46,892 |
| VANGUARD FTSE EUROPE INDEX FUND SHARES ETF | P | 2020-03-25 | $29,114 | $43,112 | -$13,998 | -$13,998 |
| VANGUARD FTSE EUROPE INDEX FUND SHARES ETF | P | 2020-03-30 | $102,439 | $135,152 | -$32,713 | -$32,713 |
| VANGUARD FTSE EUROPE INDEX FUND SHARES ETF | P | 2020-03-30 | $8,306 | $8,931 | -$625 | -$625 |
| VANGUARD FTSE PACIFIC INDEX FUND SHARES ETF | P | 2020-03-23 | $34,414 | $36,780 | -$2,366 | -$2,366 |
| VANGUARD S P 500 ETF | P | 2020-03-19 | $129,460 | $100,581 | $28,879 | $28,879 |
| VANGUARD S P 500 ETF | P | 2020-03-25 | $36,326 | $30,348 | $5,978 | $5,978 |
| VANGUARD S P 500 ETF | P | 2020-03-25 | $97,560 | $116,095 | -$18,535 | -$18,535 |
| VANGUARD S P 500 ETF | P | 2020-03-25 | $131,613 | $142,353 | -$10,740 | -$10,740 |
| VANGUARD S P 500 ETF | P | 2020-03-27 | $91,632 | $133,368 | -$41,736 | -$41,736 |
| MVC CAPITAL INC 6.25% PFD SER - PARTIAL CALL | P | 2020-03-26 | $60,225 | $60,225 | $0 | $0 |
| OXFORD LANE CAPITAL CORP 7.50% PFD - PARTIAL CALL | P | 2020-03-12 | $19,875 | $19,978 | -$103 | -$103 |
| VANGUARD LONG TERM BOND INDEX FUND SHARES | P | 2020-03-03 | $448,752 | $397,877 | $50,875 | $50,875 |
| VANGUARD LONG TERM BOND INDEX FUND SHARES | P | 2020-03-10 | $295,931 | $255,055 | $40,876 | $40,876 |
| PURE ACQUISITION CORP | P | 2020-03-11 | $519,489 | $515,500 | $3,989 | $3,989 |
| EATON VANCE TAX ADV DVD INC | P | 2020-03-30 | $82,196 | $60,903 | $21,293 | $21,293 |
| EATON VANCE TAX ADV GLBL DVD INCOME | P | 2020-03-27 | $9,785 | $9,675 | $110 | $110 |
| NUVEEN QUALITY MUNI INCOME FUND | P | 2020-04-14 | $124,448 | $124,448 | $0 | $0 |
| BLACKROCK HEALTH SCI TR II | P | 2020-04-22 | $56,064 | $38,943 | $17,121 | $17,121 |
| KAYNE ANDERSON MDSTM ENERGY COM | P | 2020-04-06 | $7,218 | $23,003 | -$15,785 | -$15,785 |
| KAYNE ANDERSON MDSTM ENERGY COM | P | 2020-04-16 | $20,876 | $51,659 | -$30,783 | -$30,783 |
| VANGUARD S P 500 ETF | P | 2020-04-07 | $69,223 | $78,299 | -$9,076 | -$9,076 |
| VANGUARD S P 500 ETF | P | 2020-04-08 | $45,896 | $48,122 | -$2,226 | -$2,226 |
| CALAMOS STRATEGIC TOTAL RETURN FD | P | 2020-05-07 | $58,840 | $38,163 | $20,677 | $20,677 |
| CORNERSTONE STRATEGIC VALUE | P | 2020-05-14 | $4 | $4 | $0 | $0 |
| CORNERSTONE STRATEGIC VALUE | P | 2020-05-14 | $54,731 | $49,181 | $5,550 | $5,550 |
| EATON VANCE ENH EQTY INC FD II | P | 2020-05-26 | $71,831 | $49,578 | $22,253 | $22,253 |
| ISHARES MSCI CANADA ETF | P | 2020-05-08 | $16,611 | $17,995 | -$1,384 | -$1,384 |
| NUVEEN NASDAQ 100 DYNAMIC OVERWRITE | P | 2020-05-06 | $70,078 | $57,535 | $12,543 | $12,543 |
| NUVEEN NASDAQ 100 DYNAMIC OVERWRITE | P | 2020-05-11 | $14,755 | $11,784 | $2,971 | $2,971 |
| VANGUARD ESG U S STOCK ETF | P | 2020-05-07 | $205,875 | $227,382 | -$21,507 | -$21,507 |
| VANGUARD FTSE EMERGING MARKETS INDEX FUND SHARES ETF | P | 2020-05-08 | $91,181 | $86,404 | $4,777 | $4,777 |
| VANGUARD FTSE EUROPE INDEX FUND SHARES ETF | P | 2020-05-08 | $48,612 | $49,466 | -$854 | -$854 |
| VANGUARD FTSE PACIFIC INDEX FUNDSHARES ETF | P | 2020-05-08 | $57,229 | $52,771 | $4,458 | $4,458 |
| VANGUARD S P 500 ETF | P | 2020-05-07 | $138,573 | $109,952 | $28,621 | $28,621 |
| VANGUARD S P 500 ETF | P | 2020-05-07 | $58,069 | $54,559 | $3,510 | $3,510 |
| VANGUARD ULTRA SHORT TERM BOND ADMIRAL | P | 2020-06-16 | $329,640 | $327,672 | $1,968 | $1,968 |
| NUVEEN QUALITY MUNI INCOME FUND | P | 2020-06-25 | $387,650 | $423,425 | -$35,775 | -$35,775 |
| ABERDEEN EMERGING MARKETS EQUITY INCOME FUND INC | P | 2020-06-16 | $38,178 | $58,294 | -$20,116 | -$20,116 |
| BLACKROCK ENHANCED CAP INCOME FD INC | P | 2020-06-16 | $19,913 | $16,838 | $3,075 | $3,075 |
| BLACKROCK ENHANCED GLOBAL DIVIDEND TRUST | P | 2020-06-16 | $20,023 | $16,088 | $3,935 | $3,935 |
| BLACKROCK ENHANCED INTERNATIONAL DIVIDEND TRUST | P | 2020-06-16 | $20,270 | $19,942 | $328 | $328 |
| BLACKROCK SCIENCE TECHNOLOGY TRUST II | P | 2020-06-16 | $101,531 | $66,092 | $35,439 | $35,439 |
| CALAMOS STRATEGIC TOTAL RETURN FD | P | 2020-06-05 | $65,400 | $38,163 | $27,237 | $27,237 |
| COHEN & STEERS QUALITY INCOME RLTY | P | 2020-06-16 | $49,322 | $64,224 | -$14,902 | -$14,902 |
| CORNERSTONE STRATEGIC VALUE | P | 2020-06-04 | $19,998 | $17,054 | $2,944 | $2,944 |
| CORNERSTONE STRATEGIC VALUE | P | 2020-06-10 | $59,986 | $43,917 | $16,069 | $16,069 |
| CORNERSTONE STRATEGIC VALUE | P | 2020-06-15 | $2 | $2 | $0 | $0 |
| CORNERSTONE STRATEGIC VALUE | P | 2020-06-15 | $59,788 | $44,059 | $15,729 | $15,729 |
| EAGLE POINT CREDIT CO 6.687% PFD | P | 2020-06-16 | $155,816 | $166,064 | -$10,248 | -$10,248 |
| EAGLE POINT CREDIT CO 6.687% PFD | P | 2020-06-17 | $34,841 | $36,937 | -$2,096 | -$2,096 |
| EAGLE POINT CREDIT CO 6.687% PFD | P | 2020-06-18 | $65,163 | $69,020 | -$3,857 | -$3,857 |
| EAGLE POINT CREDIT CO 6.687% PFD | P | 2020-06-19 | $34,113 | $36,407 | -$2,294 | -$2,294 |
| EAGLE POINT CREDIT CO 6.687% PFD | P | 2020-06-22 | $21,341 | $23,255 | -$1,914 | -$1,914 |
| EAGLE POINT CREDIT CO 6.687% PFD | P | 2020-06-23 | $48,977 | $51,280 | -$2,303 | -$2,303 |
| EAGLE POINT CREDIT CO 6.687% PFD | P | 2020-06-24 | $16,339 | $16,818 | -$479 | -$479 |
| EATON VANCE ENH EQTY INC FD II | P | 2020-06-16 | $31,182 | $21,147 | $10,035 | $10,035 |
| EATON VANCE ENH EQTY INC FD II | P | 2020-06-17 | $41,369 | $28,666 | $12,703 | $12,703 |
| EATON VANCE TAX ADV GLBL DVD INCOME | P | 2020-06-16 | $32,201 | $26,307 | $5,894 | $5,894 |
| EATON VANCE TAX ADV GLBL DVD INCOME | P | 2020-06-17 | $111,569 | $88,436 | $23,133 | $23,133 |
| EATON VANCE TAX MANAGED GLOBAL DIVERSIFIED EQUITY INCOME FUND | P | 2020-06-16 | $81,661 | $71,340 | $10,321 | $10,321 |
| EATON VANCE TX MGD DIV EQ INCOM FD | P | 2020-06-16 | $21,357 | $17,517 | $3,840 | $3,840 |
| GABELLI DIVID & INCOME TR | P | 2020-06-16 | $35,969 | $25,252 | $10,717 | $10,717 |
| ISHARES MSCI CANADA | P | 2020-06-16 | $20,019 | $20,471 | -$452 | -$452 |
| ISHARES RUSSELL 1000 | P | 2020-06-16 | $32,150 | $30,050 | $2,100 | $2,100 |
| JAPAN SMALLER CAPITALIZATION FD INC | P | 2020-06-16 | $30,913 | $37,542 | -$6,629 | -$6,629 |
| JOHN HANCOCK TAX ADVANTAGE GLOBAL SHAREHOLDER YIELD FUND | P | 2020-06-16 | $6,740 | $9,409 | -$2,669 | -$2,669 |
| JOHN HANCOCK TAX ADVANTAGE GLOBAL SHAREHOLDER YIELD FUND | P | 2020-06-17 | $157,840 | $199,034 | -$41,194 | -$41,194 |
| LAZARD GLOBAL TOT RT & INC | P | 2020-06-16 | $27,569 | $30,469 | -$2,900 | -$2,900 |
| LAZARD GLOBAL TOT RT & INC | P | 2020-06-17 | $16,831 | $19,043 | -$2,212 | -$2,212 |
| OXFORD LANE CAPITAL CORP 6.25% PFD SER 2027 | P | 2020-06-16 | $80,455 | $85,015 | -$4,560 | -$4,560 |
| TEKLA HEALTHCARE INVESTORS COMMON | P | 2020-06-16 | $101,412 | $78,441 | $22,971 | $22,971 |
| TEKLA HEALTHCARE INVESTORS COMMON | P | 2020-06-17 | $18,056 | $14,143 | $3,913 | $3,913 |
| TRI CONTINENTAL CORP | P | 2020-06-16 | $74,518 | $60,235 | $14,283 | $14,283 |
| TRI CONTINENTAL CORP | P | 2020-06-17 | $34,721 | $28,781 | $5,940 | $5,940 |
| VANGUARD FTSE EMERGING MARKETS INDEX FUND SHARES ETF | P | 2020-06-16 | $82,966 | $71,553 | $11,413 | $11,413 |
| VANGUARD FTSE EMERGING MARKETS INDEX FUND SHARES ETF | P | 2020-06-16 | $22,698 | $26,296 | -$3,598 | -$3,598 |
| VANGUARD FTSE EUROPE INDEX FUND SHARES ETF | P | 2020-06-16 | $63,105 | $57,940 | $5,165 | $5,165 |
| VANGUARD FTSE PACIFIC INDEX FUND SHARES ETF | P | 2020-06-16 | $107,170 | $89,284 | $17,886 | $17,886 |
| VANGUARD GROWTH INDEX FUND SHARES ETF | P | 2020-06-16 | $247,854 | $202,213 | $45,641 | $45,641 |
| VANGUARD S P 500 ETF | P | 2020-06-16 | $516,962 | $387,450 | $129,512 | $129,512 |
| VANGUARD S P 500 ETF | P | 2020-06-16 | $287,822 | $259,598 | $28,224 | $28,224 |
| VANGUARD SMALL CAP INDEX FUND SHARES | P | 2020-06-16 | $153,289 | $127,377 | $25,912 | $25,912 |
| BLACKROCK MUNIYIELD QUALITY FUND III | P | 2020-07-10 | $35,922 | $34,383 | $1,539 | $1,539 |
| EATON VANCE INSURED MUNI BND | P | 2020-07-28 | $51,206 | $41,372 | $9,834 | $9,834 |
| NUVEEN ENHANCED AMT-FREE QUALITY MUNICIPAL INCOME FUND | P | 2020-07-10 | $436,323 | $383,296 | $53,027 | $53,027 |
| MORGAN STANLEY INDIA INVESTMENT FUND INC | P | 2020-07-24 | $8,826 | $11,609 | -$2,783 | -$2,783 |
| NUVEEN ENHANCED AMT-FREE QUALITY MUNICIPAL INCOME FUND | P | 2020-08-06 | $259,814 | $258,346 | $1,468 | $1,468 |
| NUVEEN ENHANCED AMT-FREE QUALITY MUNICIPAL INCOME FUND | P | 2020-08-07 | $178,552 | $179,140 | -$588 | -$588 |
| GABELLI DVD & INC TRUST 1.708% PFD AUCTION RATE SER E | P | 2020-09-10 | $109,375 | $117,969 | -$8,594 | -$8,594 |
| BLACKROCK INCOME TR | P | 2020-10-16 | $171,873 | $172,255 | -$382 | -$382 |
| VANGUARD TOTAL BOND MARKET INDEX FUND SHARES ETF | P | 2020-10-13 | $206,502 | $206,450 | $52 | $52 |
| VANGUARD ULTRA SHORT TERM BOND ADMIRAL | P | 2020-10-09 | $127,650 | $126,573 | $1,077 | $1,077 |
| NUVEEN QUALITY MUNI INCOME FUND | P | 2020-10-09 | $36,317 | $37,998 | -$1,681 | -$1,681 |
| KCAP FINANCIAL INC 6.125% PFD | P | 2020-10-09 | $95,938 | $99,600 | -$3,662 | -$3,662 |
| OXFORD LANE CAPITAL CORP 6.75% PFD SER 2024 | P | 2020-10-14 | $21,609 | $22,500 | -$891 | -$891 |
| OXFORD LANE CAPITAL CORP 7.5% PFD | P | 2020-10-14 | $45,151 | $45,360 | -$209 | -$209 |
| VANGUARD ULTRA SHORT TERM BOND ADMIRAL | P | 2020-11-03 | $247,723 | $245,755 | $1,968 | $1,968 |
| NUVEEN QUALITY MUNI INCOME FUND | P | 2020-11-06 | $194,363 | $203,667 | -$9,304 | -$9,304 |
| TUSCAN HOLDING CORP | P | 2020-11-30 | $444,655 | $396,802 | $47,853 | $47,853 |
| BLACKROCK CREDIT ALLOCATION INCOME | P | 2020-12-08 | $443,021 | $321,958 | $121,063 | $121,063 |
| WESTERN ASSET INFLATION LINKED INCOME FUND | P | 2020-12-31 | $303,331 | $238,884 | $64,447 | $64,447 |
| BLACKROCK MUNIYIELD QUALITY FUND III | P | 2020-12-11 | $5,690 | $5,094 | $596 | $596 |
| BLACKROCK MUNIYIELD QUALITY FUND III | P | 2020-12-15 | $176,154 | $144,087 | $32,067 | $32,067 |
| EATON VANCE INSURED MUNI BND | P | 2020-12-15 | $263,896 | $222,128 | $41,768 | $41,768 |
| NUVEEN ENHANCED AMT-FREE QUALITY MUNICIPAL INCOME FUND | P | 2020-12-08 | $193,702 | $191,988 | $1,714 | $1,714 |
| EATON VANCE TX MGD DIV EQ INCOM FD | P | 2020-12-22 | $59,673 | $41,576 | $18,097 | $18,097 |
| EATON VANCE TX MGD DIV EQ INCOM FD | P | 2020-12-24 | $43,001 | $29,730 | $13,271 | $13,271 |
| EATON VANCE TX MGD DIV EQ INCOM FD | P | 2020-12-28 | $23,263 | $16,127 | $7,136 | $7,136 |
| GREENROSE ACQUISITION CORP WARRANT EXPIRE 8/11/2026 | P | 2020-12-31 | $3,196 | $320 | $2,876 | $2,876 |
| MANNING NAPIER INC | P | 2020-12-21 | $48,830 | $14,049 | $34,781 | $34,781 |
| MANNING NAPIER INC | P | 2020-12-22 | $269,616 | $79,535 | $190,081 | $190,081 |
| MANNING NAPIER INC | P | 2020-12-24 | $35,299 | $10,576 | $24,723 | $24,723 |
| MANNING NAPIER INC | P | 2020-12-28 | $229,225 | $67,226 | $161,999 | $161,999 |
| TUSCAN HOLDING CORP | P | 2020-12-01 | $462,793 | $362,948 | $99,845 | $99,845 |
| CAPITAL GAINS DIVIDENDS | P | $53,946 | $53,946 | $53,946 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $1,345,162 | CapitalGainNetIncomeAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Income Excise Tax | $27,497 | InvestmentIncomeExciseTaxAmt |
| Tax Under Section511 | $0 | TaxUnderSection511Amt |
| Subtotal | $27,497 | SubtotalAmt |
| Subtitle A Tax | $0 | SubtitleATaxAmt |
| Tax Based On Investment Income | $27,497 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $32,000 | EstimatedPlusOvpmtIncmTxAmt |
| Exempt Frgn Org Tax Wthld At Srce | $0 | ExemptFrgnOrgTaxWthldAtSrceAmt |
| Extsn Request Income Tax Paid | $0 | ExtsnRequestIncomeTaxPaidAmt |
| Backup Withholding Withheld | $0 | BackupWithholdingWithheldAmt |
| Total Payments And Credits | $32,000 | TotalPaymentsAndCreditsAmt |
| Es Penalty | $8 | EsPenaltyAmt |
| Overpayment | $4,495 | OverpaymentAmt |
| Applied To ES Tax | $4,495 | AppliedToESTaxAmt |
| Refund | $0 | RefundAmt |
Statements Regarding Acty StatementsRegardingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Acty | 0 | LegislativePoliticalActyInd |
| More Than100 Spent | 0 | MoreThan100SpentInd |
| Form1120 POL Filed | 0 | Form1120POLFiledInd |
| Section4955 Organization Tax | $0 | Section4955OrganizationTaxAmt |
| Section4955 Managers Tax | $0 | Section4955ManagersTaxAmt |
| Tax Reimbursed | $0 | TaxReimbursedAmt |
| Activities Not Previously Rpt | 0 | ActivitiesNotPreviouslyRptInd |
| Changes To Articles Or Bylaws | 0 | ChangesToArticlesOrBylawsInd |
| Unrelated Bus Incm Over Limit | 0 | UnrelatedBusIncmOverLimitInd |
| Organization Dissolved Etc | 0 | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | Yes (1) | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (1) | AtLeast5000InAssetsInd |
| Form990 PF Filed With Atty Gen | Yes (1) | Form990PFFiledWithAttyGenInd |
| Private Operating Foundation | 0 | PrivateOperatingFoundationInd |
| New Substantial Contributors | 0 | NewSubstantialContributorsInd |
| Own Controlled Entity | 0 | OwnControlledEntityInd |
| Donor Advised Fund | 0 | DonorAdvisedFundInd |
| Comply With Public Insp Rqr | Yes (1) | ComplyWithPublicInspRqrInd |
| Website Address | N/A | WebsiteAddressTxt |
| Individual With Books | ANTHONY MIRRIONE | IndividualWithBooksNm |
| Phone | 5853891643 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 183 SULLYS TRAIL | AddressLine1Txt |
| City | PITTSFORD | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 14534 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Accounts Question | 0 | ForeignAccountsQuestionInd |
Statements Regarding Acty4720 StatementsRegardingActy4720Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exch Disqualified Prsn | 0 | SaleOrExchDisqualifiedPrsnInd |
| Brrw Or Lend Disqualified Prsn | 0 | BrrwOrLendDisqualifiedPrsnInd |
| Furn Goods Disqualified Prsn | 0 | FurnGoodsDisqualifiedPrsnInd |
| Pay Comp Disqualified Prsn | 0 | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | 0 | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | 0 | PaymentToGovernmentOfficialInd |
| Uncorrected Prior Acts | 0 | UncorrectedPriorActsInd |
| Undistributed Income PY | 0 | UndistributedIncomePYInd |
| Business Holdings | 0 | BusinessHoldingsInd |
| Jeopardy Investments | 0 | JeopardyInvestmentsInd |
| Uncorrected PY Jeopardy Invst | 0 | UncorrectedPYJeopardyInvstInd |
| Influence Legislation | 0 | InfluenceLegislationInd |
| Influence Election | 0 | InfluenceElectionInd |
| Grants To Individuals | 0 | GrantsToIndividualsInd |
| Grants To Organizations | 0 | GrantsToOrganizationsInd |
| Noncharitable Purpose | 0 | NoncharitablePurposeInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | 0 | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | 0 | PayPremiumsPrsnlBnftCntrctInd |
| Prohibited Tax Shelter Trans | 0 | ProhibitedTaxShelterTransInd |
| Subj To Tax Rmnrtn Ex Prcht Pymt | 0 | SubjToTaxRmnrtnExPrchtPymtInd |
Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp
Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (7 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt | Employee Benefit ProgramEmployeeBenefitProgramAmt | Expense Account Other AllwncExpenseAccountOtherAllwncAmt |
|---|---|---|---|---|---|---|---|---|
| GEORGE W KARPUS | ||||||||
| 28921 GIRARD TERRACE | NAPLES | FL | 34119 | PRESIDENT, DIRECTOR | 0.00 | $0 | $0 | $0 |
| KATHLEEN P KARPUS | ||||||||
| 21 WOODBURY PLACE | ROCHESTER | NY | 14618 | VICE PRESIDENT, DIRECTOR | 0.00 | $0 | $0 | $0 |
| ANTHONY MIRRIONE | ||||||||
| 183 SULLYS TRAIL | PITTSFORD | NY | 14534 | SECRETARY/TREASURER,DIRECT | 0.00 | $0 | $0 | $0 |
| RODD RIESENBERGER | ||||||||
| 784 SOMERDALE DRIVE | WEBSTER | NY | 14580 | DIRECTOR | 0.00 | $0 | $0 | $0 |
| PAUL LIPARI | ||||||||
| 183 SULLYS TRAIL | PITTSFORD | NY | 14534 | DIRECTOR | 0.00 | $0 | $0 | $0 |
| JOAN RIESENBERGER | ||||||||
| 183 SULLYS TRAIL | PITTSFORD | NY | 14534 | DIRECTOR | 0.00 | $0 | $0 | $0 |
| GERALD WENZKE | ||||||||
| 183 SULLYS TRAIL | PITTSFORD | NY | 14534 | DIRECTOR | 0.00 | $0 | $0 | $0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Hghst Pd Empl Or NONE | NONE | CompOfHghstPdEmplOrNONETxt |
| Other Employee Paid Over50k | 0 | OtherEmployeePaidOver50kCnt |
Compensation Of Hghst Pd Cntrct CompensationOfHghstPdCntrctGrp (2 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | Service TypeServiceTypeTxt | CompensationCompensationAmt |
|---|---|---|---|---|---|
| US BANK | |||||
| 1555 N RIVERCENTER DRIVE | MILWAUKEE | WI | 53212 | INVESTMENT MANAGEMENT FEES | $153,082 |
| EMPRIENTE CONSULTING LLC | |||||
| 2401 MONROE AVENUE | ROCHESTER | NY | 14618 | PHILANTHROPY CONSULTING | $55,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contractor Paid Over50k | 0 | ContractorPaidOver50kCnt |
Sum Of Program Related Invst SumOfProgramRelatedInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Minimum Investment Return MinimumInvestmentReturnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Average Monthly FMV Of Sec | $18,328,045 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $905,321 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $0 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $19,233,366 | TotalFMVOfUnusedAssetsAmt |
| Reduction Claimed | $0 | ReductionClaimedAmt |
| Acquisition Indebtedness | $0 | AcquisitionIndebtednessAmt |
| Adjusted Total FMV Of Unused Ast | $19,233,366 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $288,500 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $18,944,866 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $947,243 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $947,243 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $27,497 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $27,497 | TotalTaxAmt |
| Distributable Before Adj | $919,746 | DistributableBeforeAdjAmt |
| Recoveries Qualfied Distri | $0 | RecoveriesQualfiedDistriAmt |
| Distributable Before Ded | $919,746 | DistributableBeforeDedAmt |
| Deduction From Distributable | $0 | DeductionFromDistributableAmt |
| Distributable As Adjusted | $919,746 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $923,962 | ExpensesAndContributionsAmt |
| Program Related Invst Total | $0 | ProgramRelatedInvstTotalAmt |
| Qualifying Distributions | $923,962 | QualifyingDistributionsAmt |
| Pct Sect4940e Org Net Invst Incm | $0 | PctSect4940eOrgNetInvstIncmAmt |
| Adjusted Qualifying Distri | $923,962 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $919,746 | DistributableAsAdjustedAmt |
| Undistributed Income PY | $881,126 | UndistributedIncomePYAmt |
| Total For Prior Years | $0 | TotalForPriorYearsAmt |
| Total Excess Distribution Cyov | $0 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $923,962 | QualifyingDistributionsAmt |
| Applied To Year1 | $881,126 | AppliedToYear1Amt |
| Applied To Prior Years | $0 | AppliedToPriorYearsAmt |
| Treated As Distri From Corpus | $0 | TreatedAsDistriFromCorpusAmt |
| Applied To Current Year | $42,836 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $0 | RemainingDistriFromCorpusAmt |
| Excess Distri Cyov App CY Corpus | $0 | ExcessDistriCyovAppCYCorpusAmt |
| Excess Distribution Cyov App CY | $0 | ExcessDistributionCyovAppCYAmt |
| Total Corpus | $0 | TotalCorpusAmt |
| Prior Year Undistributed Incm | $0 | PriorYearUndistributedIncmAmt |
| Prior Year Deficiency Or Tax | $0 | PriorYearDeficiencyOrTaxAmt |
| Taxable1 | $0 | Taxable1Amt |
| Taxable2 | $0 | Taxable2Amt |
| Undistributed Income CY | $876,910 | UndistributedIncomeCYAmt |
| Corpus Distri170b1 E Or4942g3 | $0 | CorpusDistri170b1EOr4942g3Amt |
| Excess Distri Cyov From Yr5 | $0 | ExcessDistriCyovFromYr5Amt |
| Excess Distri Cyov To Next Yr | $0 | ExcessDistriCyovToNextYrAmt |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributing Manager | GEORGE W KARPUS | ContributingManagerNm |
| Only Contri To Preselected | Yes (X) | OnlyContriToPreselectedInd |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (28 entries)
| Address Line1RecipientUSAddress/AddressLine1Txt | CityRecipientUSAddress/CityNm | State AbbreviationRecipientUSAddress/StateAbbreviationCd | ZIPRecipientUSAddress/ZIPCd | Recipient RelationshipRecipientRelationshipTxt | Recipient Foundation StatusRecipientFoundationStatusTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt |
|---|---|---|---|---|---|---|---|
| ANGELS OF MERCY | |||||||
| 692 WINTON ROAD | ROCHESTER | NY | 14609 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $12,000 |
| BOYS AND GIRLS CLUB OF ROCHESTER | |||||||
| 500 GENESEE STREET | ROCHESTER | NY | 14611 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $5,000 |
| BUILDING HOMES FOR HEROES | |||||||
| 4584 AUSTIN BLVD | ISLAND PARK | NY | 11558 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $75,000 |
| CAMERON COMMUNITY MINISTRIES | |||||||
| 48 CAMERON STREET | ROCHESTER | NY | 14606 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $7,500 |
| CAMP GOOD DAYS & SPECIAL TIMES | |||||||
| 1332 PITTSFORD MENDON ROAD | MENDON | NY | 14506 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $25,000 |
| CANCER ALLIANCE OF NAPLES | |||||||
| 3384 WOODS EDGE CIRCLE 102 | BONITA SPRINGS | FL | 34134 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $40,000 |
| COMPASS CARE PREGNANCY SERVICES | |||||||
| 2024 WEST HENRIETTA RD SUITE 6D | ROCHESTER | NY | 14623 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $35,000 |
| CONSERVATIVE PARTNERSHIP INSTITUTE | |||||||
| 300 INDEPENDENCE AVENUE SE | WASHINGTON | DC | 20003 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $35,000 |
| DAILY CALLER NEWS FOUNDATION | |||||||
| 1920 L STREET NW SUITE 205 | WASHINGTON | DC | 20036 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $20,000 |
| EQUICENTER | |||||||
| 3247 RUSH MENDON ROAD | HONEOYE FALLS | NY | 14472 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $25,000 |
| FRIENDS OF BREAKTHROUGH SCHOOLS | |||||||
| 3615 SUPERIOR AVENUE 3103A | CLEVELAND | OH | 44114 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $25,000 |
| GOLISANO AUTISM CENTER | |||||||
| 50 SCIENCE PARKWAY | ROCHESTER | NY | 14620 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $100,000 |
| HERITAGE FOUNDATION | |||||||
| 214 MASSACHUSETTS AVENUE NE | WASHINGTON | DC | 20002 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $50,000 |
| HILLSDALE COLLEGE | |||||||
| 33 E COLLEGE STREET | HILLSDALE | MI | 49242 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $13,150 |
| HOMELESS HOUNDS ANIMAL RESCUE | |||||||
| PO BOX 521 | COLLEYVILLE | TX | 76034 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $10,000 |
| HOPE HALL SCHOOL | |||||||
| 1612 BUFFALO ROAD | ROCHESTER | NY | 14624 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $40,000 |
| K9S FOR WARRIORS | |||||||
| 114 CAMP K9 ROAD | PONTE VEDRA | FL | 32081 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $50,000 |
| LOLLYPOP FARM | |||||||
| 99 VICTOR ROAD | FAIRPORT | NY | 14450 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $35,000 |
| MEDIA RESEARCH CENTER | |||||||
| 1900 CAMPUS COMMONS DRIVE SUITE 600 | RESTON | VA | 20191 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $25,000 |
| NATE'S HONOR ANIMAL RESCUE | |||||||
| 8437 COOPER CREEK BLVD | BRADENTON | FL | 34201 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $40,000 |
| NEUROENDOCRINE TUMOR RESEARCH FOUNDATION | |||||||
| 321 COLUMBUS AVENUE SUITE 5R | BOSTON | MA | 02116 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $50,000 |
| ONE SOLDIER AT A TIME | |||||||
| 24 SMITH ROAD | WEBSTER | NY | 14580 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $6,200 |
| ROBERTS WESLEYAN COLLEGE | |||||||
| 2301 WESTSIDE DRIVE | ROCHESTER | NY | 14624 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $25,000 |
| SATCHEL'S LAST RESORT | |||||||
| 8101 COASH ROAD | SARASOTA | FL | 34241 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $10,000 |
| SEMPER FI FUND | |||||||
| 825 COLLEGE BLVD SUITE 102 PMB 609 | OCEANSIDE | CA | 92057 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $45,000 |
| THE EMPOWERMENT PLAN | |||||||
| 1401 VERMONT ST | DETROIT | MI | 48216 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $20,000 |
| THE LEADERSHIP INSTITUTE | |||||||
| 1101 N HIGHLAND STREET | ARLINGTON | VA | 22201 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $25,000 |
| TRUE THE VOTE | |||||||
| PO BOX 3109 19128 | HOUSTON | TX | 77253 | NONE | PUBLIC CHARITY | GENERAL PURPOSE | $10,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $858,850 | TotalGrantOrContriPdDurYrAmt |
| Total Grant Or Contri Apprv Fut | $0 | TotalGrantOrContriApprvFutAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $786,089 | ExclusionAmt |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 18 | ExclusionCd |
| Exclusion | $1,345,162 | ExclusionAmt |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Unrelated Business Taxbl Incm | $0 | UnrelatedBusinessTaxblIncmAmt |
| Exclusion | $2,131,251 | ExclusionAmt |
| Related Or Exempt Function Incm | $0 | RelatedOrExemptFunctionIncmAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $2,131,251 | TotalIncomeProducingActyAmt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | 0 | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | 0 | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | 0 | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | 0 | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | 0 | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | 0 | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | 0 | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | 0 | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | 0 | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | 0 | RelationshipsNonchrtblEOInd |
Schedule B IRS990ScheduleB
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| General Rule | Yes (X) | GeneralRuleInd |
Contributor Information ContributorInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributor | 1 | ContributorNum |
| Contributor Person | GEORGE KARPUS | ContributorPersonNm |
Contributor US Address ContributorUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 28921 GIRARD TERRACE | AddressLine1Txt |
| City | NAPLES | CityNm |
| State Abbreviation | FL | StateAbbreviationCd |
| ZIP | 34119 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Contributions | $869,604 | TotalContributionsAmt |
| Noncash Contribution | Yes (X) | NoncashContributionInd |
Non Cash Property Contribution NonCashPropertyContributionGrp (2 entries)
| ContributorContributorNum | Noncash PropertyNoncashPropertyDesc | Fair Market ValueFairMarketValueAmt | ReceivedReceivedDt |
|---|---|---|---|
| 1 | 17,410 SHS BLACKROCK MUNIYIELD INSURED STOCK | $247,104 | 2020-12-14 |
| 1 | 100,000 SHS MANNING & NAPIER INC STOCK | $622,500 | 2020-12-14 |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees Detail AccountingFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | ACCOUNTING FEES | CategoryTxt |
| Amt | $5,400 | Amt |
| Net Investment Income | $0 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $5,400 | DisbursementsCharitablePrpsAmt |
Applied To Prior Year Election AppliedToPriorYearElection
| Field | Value | IRS element (for citing) |
|---|---|---|
| Election | PURSUANT TO IRC SEC 4942(H)(2) AND REG. 53.4942(A)-3(D)(2) THE KARPUS FAMILY FOUNDATION ELECTS TO TREAT CURRENT YEAR QUALIFYING DISTRIBUTIONS IN EXCESS OF THE IMMEDIATELY PRECEDING TAX YEAR'S UNDISTRIBUTED INCOME AS BEING MADE OUT OF UNDISTRIBUTED INCOME FROM THE TAX YEAR ENDING 2016 IN THE AMOUNT OF $19,232. | ElectionDesc |
Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule
Investments Corporate Bonds InvestmentsCorporateBondsGrp (10 entries)
| BondBondNm | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|
| BLACKROCK INCOME TR | $386,140 | $393,336 |
| BLACKROCK MUNIYIELD QUALITY FUND III | $787,766 | $894,960 |
| M F S GOVT MKTS INCOME TR | $565,008 | $573,750 |
| M F S INTER INCOME TR | $299,987 | $329,843 |
| NUVEEN NY AMT FREE MUNI COMMON | $347,634 | $404,209 |
| NUVEEN QUALITY MUNI INCOME | $780,558 | $815,809 |
| PIONEER DIVERSIFIED HIGH INC | $603,469 | $682,861 |
| VANGUARD LONG TERM BOND INDEX FUND | $1,898,753 | $1,865,305 |
| VANGUARD TOTAL BOND MARKET INDEX | $2,113,267 | $2,116,560 |
| WESTERN ASSET INFLATION LINKED | $639,915 | $762,722 |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp (43 entries)
| StockStockNm | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|
| ABERDEEN TOTAL DYNAMIC DIVID | $54,720 | $90,491 |
| ALLIANZGI AI TECH OPPORTUNITIES | $74,235 | $122,357 |
| ALLIANZGI EQUITY CONVERTIBLE INCOME | $76,240 | $127,543 |
| BLACKROCK ENHANCED CAP INCOME FD INC | $101,045 | $144,246 |
| BLACKROCK ENHANCED GLOBAL | $88,891 | $131,411 |
| BLACKROCK ENHANCED INTERNATIONAL | $98,664 | $130,038 |
| BURGUNDY TECHNOLOGY ACQUISITION CORP | $603,467 | $645,899 |
| CAPITALA FINANCE CORP | $456,655 | $471,900 |
| COHEEN & STEERS QUALITY INCOME RITTY | $141,700 | $138,260 |
| EATON VANCE TAX ADV DVD INC | $49,006 | $54,750 |
| FIDUS INVESTMENT CORP - PFD | $540,329 | $601,108 |
| FIDUS INVESTMENT CORP - 6.00% PFD SER | $378,265 | $397,371 |
| GABELLI DVD & INC. TRUST | $86,317 | $150,220 |
| GOOD WORKS ACQUISITION CORP COM | $487,000 | $497,500 |
| GREAT ELM CAPITAL CORP | $395,293 | $384,800 |
| GREENROSE ACQUISITION CORP | $393,525 | $402,668 |
| GREENROSE ACQUISITION CORP - WARRANT | $3,655 | $36,378 |
| GREENVISION ACQUISITION CORP | $590,400 | $618,600 |
| ISHARES MSCI CANADA | $35,131 | $40,092 |
| ISHARES MSCI EAFE GROWTH | $60,014 | $80,728 |
| ISHARES RUSSELL 1000 | $329,232 | $382,371 |
| JAPAN SMALLER CAPITALIZATION FD INC | $173,565 | $180,827 |
| JOHN HANCOCK TAX ADVANTAGE GLOBAL | $60,733 | $102,360 |
| LIBERTY ALL STAR EQUITY FD | $28,066 | $32,396 |
| MEDLEY CAPITAL CORP | $320,905 | $320,907 |
| MERIDIA MERGER CORP I | $745,500 | $765,000 |
| MONROE CAPITAL CORP | $412,733 | $422,100 |
| MORGAN STANLEY INDIA INVESTMENT FUND | $39,831 | $32,791 |
| MVC CAPITAL INC | $460,044 | $489,960 |
| NEXPOINT STRATEGIC OPPORTUNITIES | $346,595 | $249,850 |
| OTR ACQUISITION CORP UNIT | $401,968 | $419,600 |
| OXFORD LANE CAPITAL CORP | $67,519 | $65,124 |
| OXFORD SQUARE CAPITAL CO | $468,736 | $478,559 |
| PROSPECT CAPITAL CORP | $350,078 | $366,369 |
| ROYCE MICRO CAP TR INC | $75,364 | $77,924 |
| T ROWE PRICE GLOBAL STOCK FUND I | $57,454 | $90,440 |
| VANGUARD ESG INTERNATIONAL STOCK | $60,218 | $66,382 |
| VANGUARD FTSE EMERGING MARKETS ETF | $278,998 | $321,205 |
| VANGUARD FTSE EUROPE INDEX FUND | $117,915 | $120,781 |
| VANGUARD FTSE PACIFIC ETF | $92,918 | $103,467 |
| VANGUARD GROWTH INDEX FUND | $212,376 | $292,607 |
| VANGUARD S P 500 ETF | $517,079 | $713,156 |
| VANGUARD SMALL CAP ETF | $263,475 | $336,795 |
Other Decreases Schedule OtherDecreasesSchedule
Other Decreases Detail OtherDecreasesDetail (2 entries)
| DescDesc | AmtAmt |
|---|---|
| BOOK TO TAX DIFFERENCE ON STOCK SALES | $416,102 |
| ADJUSTMENT TO COST BASIS OF SECURITIES STILL ON HAND | $493,394 |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (2 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|---|
| OFFICE EXPENSE | $612 | $0 | $612 |
| DELAWARE FILING FEE | $25 | $0 | $0 |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees Detail OtherProfessionalFeesDetail (2 entries)
| CategoryCategoryTxt | AmtAmt | Net Investment IncomeNetInvestmentIncomeAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|---|
| INVESTMENT FEE | $153,082 | $153,082 | $0 |
| CONSULTING FEES | $55,000 | $0 | $55,000 |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | US DEPT OF TREASURY | CategoryTxt |
| Amt | $34,057 | Amt |
| Net Investment Income | $0 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $0 | DisbursementsCharitablePrpsAmt |