SMALL CAP PREMIUM AND DIVIDEND INCOME CLOSED-END FUND
RCC
PART LIST OF HOLDINGS do your dd THE LIST IS TO LONG TO PUT IT HERE SEE THE NQ
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| Sector and Holdings Summary | top | |
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As of 3/31/2009 |
Holding | Dollar Value | % of Total Portfolio |
Myriad Genetics, Inc. | N/A | 0.6 |
Ralcorp Holdings, Inc. | N/A | 0.4 |
Alexion Pharmaceuticals, Inc. | N/A | 0.4 |
ITC Holdings Corp. | N/A | 0.3 |
Waste Connections, Inc. | N/A | 0.3 |
Watson Wyatt Worldwide Inc. | N/A | 0.3 |
Wendy's/Arby's Group, Inc. | N/A | 0.3 |
Realty Income Corp. | N/A | 0.3 |
Sybase Inc | N/A | 0.3 |
OSI Pharmaceuticals, Inc. | N/A | 0.3 |
151,656
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Auto, Trucks & Parts - 0.1%
Commercial Vehicle Group, Inc. (a)
3,500
1,925
Force Protection, Inc. (a)
12,000
57,480
Modine Manufacturing Co.
5,200
13,000
Spartan Motors, Inc.
4,400
17,688
Wabash National Corp.
5,200
6,396
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96,489
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Banks: New York City - 0.1%
Signature Bank (a)
5,700
160,911
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Banks: Non U.S. Banks - 0.0%
Banco Latinoamericano de Exportaciones, SA ‘E’
4,300
40,291
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Banks: Outside New York City - 5.9%
1st Source Corp.
2,300
41,515
Amcore Financial, Inc.
3,913
6,261
Ameris Bancorp
2,200
10,362
Ames National Corp.
1,000
16,760
Arrow Financial Corp.
1,700
40,273
Bancfirst Corp.
1,200
43,680
BancTrust Financial Group, Inc.
3,300
20,889
Bank of the Ozarks, Inc.
1,900
43,852
Banner Corp.
2,400
6,984
Boston Private Financial Holdings, Inc.
8,500
29,835
Bryn Mawr Bank Corp.
1,100
18,535
CVB Financial Corp.
10,842
71,882
Camden National Corp.
1,200
27,420
Capital City Bank Group, Inc.
2,000
22,920
2
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Small Cap Premium & Dividend Income Fund Inc.
Schedule of Investments as of March 31, 2009 (Unaudited)
(Percentages shown are based on Net Assets)
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Industry
Common Stocks
Shares
Held
Value
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Capitol Bancorp Ltd.
2,300
$
9,545
Cardinal Financial Corp.
4,600
26,404
Cascade Bancorp
3,800
6,156
Cathay General Bancorp
8,300
86,569
Centerstate Banks of Florida, Inc.
1,400
15,414
Central Pacific Financial Corp.
5,000
28,000
Chemical Financial Corp.
4,000
83,240
Citizens & Northern Corp.
1,400
22,736
Citizens Banking Corp. (a)
19,400
30,070
City Holding Co.
2,800
76,412
CityBank
2,200
7,238
CoBiz Financial, Inc.
2,800
14,700
The Colonial BancGroup, Inc.
34,800
31,320
Columbia Banking System, Inc.
3,100
19,840
Community Bank System, Inc.
5,100
85,425
Community Trust Bancorp, Inc.
2,500
66,875
Corus Bankshares, Inc. (a)
6,300
1,701
Danvers Bancorp, Inc.
2,800
38,668
East-West Bancorp, Inc.
10,800
49,356
Encore Bancshares, Inc.
(a)
1,000
8,870
Enterprise Financial Services Corp.
1,700
16,592
F.N.B. Corp.
14,346
110,034
Farmers Capital Bank Corp.
1,200
18,804
Financial Institutions, Inc.
2,100
16,002
First Bancorp, Inc.
1,300
20,618
First Bancorp, North Carolina
2,100
25,137
First BanCorp, Puerto Rico
12,300
52,398
First Busey Corp.
3,900
30,264
First Commonwealth Financial Corp.
13,700
121,519
First Community Bancshares, Inc.
1,500
17,505
First Financial Bancorp
6,700
63,851
First Financial Bankshares, Inc.
3,500
168,595
First Financial Corp.
2,000
73,800
First Merchants Corp.
3,700
39,923
First Midwest Bancorp, Inc.
8,100
69,579
First South Bancorp, Inc.
1,350
14,337
FirstMerit Corp.
13,800
251,160
Frontier Financial Corp.
8,350
9,185
Glacier Bancorp, Inc.
9,850
154,744
Greene County Bancshares, Inc.
1,917
16,870
Guaranty Bancorp (a)
8,900
15,575
Hancock Holding Co.
4,300
134,504
Hanmi Financial Corp.
6,700
8,710
Harleysville National Corp.
7,403
44,862
Heartland Financial USA, Inc.
2,100
28,434
Heritage Commerce Corp.
1,900
9,975
Home Bancshares, Inc.
2,026
40,459
3
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Small Cap Premium & Dividend Income Fund Inc.
Schedule of Investments as of March 31, 2009 (Unaudited)
(Percentages shown are based on Net Assets)
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Industry
Common Stocks
Shares
Held
Value
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IBERIABANK Corp.
2,500
$
114,850
Independent Bank Corp./MA
2,700
39,825
Integra Bank Corp.
3,500
6,615
International Bancshares Corp.
8,526
66,503
Investors Bancorp, Inc.
(a)
7,400
62,678
Lakeland Bancorp, Inc.
2,966
23,817
Lakeland Financial Corp.
2,000
38,380
MB Financial, Inc.
5,777
78,567
MainSource Financial Group, Inc.
3,080
24,763
Meridian Interstate Bancorp, Inc. (a)
1,600
13,472
Midwest Banc Holdings, Inc.
3,000
3,030
NASB Financial, Inc.
400
9,340
NBT Bancorp, Inc.
5,400
116,856
Nara Bancorp, Inc.
3,800
11,172
National Penn Bancshares, Inc.
13,686
113,594
Old National Bancorp
11,400
127,338
Old Second Bancorp, Inc.
2,353
14,942
Oriental Financial Group
3,400
16,592
Pacific Capital Bancorp
7,800
52,806
Pacific Continental Corp.
1,700
19,788
PacWest Bancorp
4,129
59,169
Park National Corp.
1,900
105,925
Peapack-Gladstone Financial Corp.
1,300
23,439
Pennsylvania Commerce Bancorp, Inc. (a)
1,000
18,400
Peoples Bancorp, Inc.
1,700
22,066
Pinnacle Financial Partners, Inc. (a)
3,800
90,098
Premierwest Bancorp
3,990
15,840
PrivateBancorp, Inc.
3,400
49,164
Prosperity Bancshares, Inc.
6,700
183,245
Provident Bankshares Corp.
5,700
40,185
Provident Financial Services, Inc.
10,100
109,181
Renasant Corp.
3,250
40,820
Republic Bancorp, Inc.
Class A
1,511
28,210
Rockville Financial, Inc.
1,400
12,740
Roma Financial Corp.
1,100
14,245
S&T Bancorp, Inc.
4,100
86,961
SCBT Financial Corp.
1,660
34,694
SVB Financial Group (a)
4,800
96,048
SY Bancorp, Inc.
2,385
57,956
Sandy Spring Bancorp, Inc.
2,800
31,248
Santander BanCorp
400
3,152
Seacoast Banking Corp. of Florida
2,500
7,575
Shore Bancshares, Inc.
1,600
26,800
Sierra Bancorp
1,000
9,730
Simmons First National Corp. Class A
2,300
57,937
Smithtown Bancorp, Inc.
1,900
21,432
The South Financial Group, Inc.
12,300
13,530
4
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Small Cap Premium & Dividend Income Fund Inc.
Schedule of Investments as of March 31, 2009 (Unaudited)
(Percentages shown are based on Net Assets)
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Industry
Common Stocks
Shares
Held
Value
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Southside Bancshares, Inc.
1,871
$
35,362
Southwest Bancorp, Inc.
2,500
23,450
State Bancorp, Inc.
2,300
17,710
StellarOne Corp.
3,700
44,067
Sterling Bancorp
3,260
32,274
Sterling Bancshares, Inc.
12,400
81,096
Sterling Financial Corp.
6,560
13,579
Suffolk Bancorp
1,700
44,183
Sun Bancorp, Inc. (a)
2,509
13,022
Susquehanna Bancshares, Inc.
14,674
136,908
Texas Capital Bancshares, Inc. (a)
4,300
48,418
Tompkins Trustco, Inc.
1,090
46,870
Towne Bank
3,400
55,522
Trico Bancshares
2,300
38,502
TrustCo Bank Corp. NY
12,800
77,056
Trustmark Corp.
8,500
156,230
UCBH Holdings, Inc.
17,700
26,727
UMB Financial Corp.
5,200
220,948
Umpqua Holdings Corp.
10,188
92,303
Union Bankshares Corp.
2,150
29,778
United Bankshares, Inc.
6,400
110,336
United Community Banks, Inc.
6,444
26,808
United Security Bancshares
1,121
8,251
Univest Corp. of Pennsylvania
2,000
35,000
Washington Trust Bancorp, Inc.
2,200
35,750
WesBanco, Inc.
4,700
107,301
West Bancorp., Inc.
3,300
24,585
West Coast Bancorp
2,600
5,772
Westamerica Bancorp.
4,700
214,132
Western Alliance Bancorp (a)
3,200
14,592
Wilshire Bancorp, Inc.
2,800
14,448
Wintrust Financial Corp.
4,000
49,200
Yardkin Valley Financial Corp.
2,200
16,390
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6,794,431
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Beverage: Brewers(Wineries) - 0.0%
Boston Beer Co., Inc.
Class A (a)
1,500
31,290
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Beverage: Soft Drinks - 0.2%
Coca-Cola Bottling Co.
Consolidated
600
31,230
Farmer Bros. Co.
900
16,020
Green Mountain Coffee Roasters, Inc. (a)
2,900
139,200
National Beverage Corp.
(a)
1,680
15,406
Peet’s Coffee & Tea, Inc. (a)
2,000
43,240
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245,096
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Biotechnology Research & Production - 4.9%
AMAG Pharmaceuticals, Inc.
(a)
2,690
98,911
Acadia Pharmaceuticals, Inc. (a)(b)
5,600
5,320
Accelrys, Inc. (a)
5,200
20,696
Acorda Therapeutics, Inc.
(a)
6,000
118,860
Affymax, Inc. (a)
2,000
32,220
Albany Molecular Research, Inc. (a)
4,300
40,549
5
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Small Cap Premium & Dividend Income Fund Inc.
Schedule of Investments as of March 31, 2009 (Unaudited)
(Percentages shown are based on Net Assets)
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Industry
Common Stocks
Shares
Held
Value
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Alexion Pharmaceuticals, Inc. (a)(b)
13,500
$
508,410
Allos Therapeutics, Inc.
(a)
8,600
53,148
Alnylam Pharmaceuticals, Inc. (a)
6,000
114,240
Amicus Therapeutics, Inc.
(a)
800
7,304
Arena Pharmaceuticals, Inc. (a)
12,500
37,625
Ariad Pharmaceuticals, Inc. (a)
12,700
15,113
Arqule, Inc. (a)
5,900
24,426
Array Biopharma, Inc. (a)
7,800
20,592
Biodel, Inc. (a)
1,700
8,857
BioMimetic Therapeutics, Inc. (a)
2,200
15,620
CV Therapeutics, Inc. (a)
10,300
204,764
Celera Corp. (a)
13,300
101,479
Cell Genesys, Inc. (a)
14,200
4,117
Celldex Therapeutics, Inc.
(a)
2,700
17,577
Cepheid, Inc. (a)
9,600
66,240
Clinical Data, Inc. (a)
1,600
17,280
Cougar Biotechnology, Inc.
(a)
2,400
77,280
Cubist Pharmaceuticals, Inc. (a)(b)
9,200
150,512
Cypress Bioscience, Inc.
(a)
6,400
45,376
Cytokinetics, Inc. (a)
4,700
7,990
Cytori Therapeutics, Inc.
(a)
3,800
6,536
Dendreon Corp. (a)
15,700
65,940
Discovery Laboratories, Inc. (a)
16,300
19,886
Dyax Corp. (a)
8,800
22,088
Emergent Biosolutions, Inc. (a)
2,100
28,371
Enzo Biochem, Inc. (a)
4,900
19,698
Enzon Pharmaceuticals, Inc. (a)
7,600
46,132
Exelixis, Inc. (a)
17,800
81,880
Facet Biotech Corp. (a)
4,080
38,760
GTx, Inc. (a)
2,900
30,682
Genomic Health, Inc. (a)
2,100
51,198
Geron Corp. (a)
13,700
61,239
Halozyme Therapeutics, Inc. (a)
10,300
56,238
Human Genome Sciences, Inc. (a)
23,500
19,505
Idenix Pharmaceuticals, Inc. (a)
4,200
12,936
Idera Pharmaceuticals, Inc. (a)
3,300
21,351
ImmunoGen, Inc. (a)
8,300
58,930
Immunomedics, Inc. (a)
11,000
10,560
Incyte Corp. (a)
12,200
28,548
InterMune, Inc. (a)
5,600
92,064
Kensey Nash Corp. (a)
1,200
25,524
Lexicon Genetics, Inc. (a)
12,600
13,734
Life Sciences Research, Inc. (a)
1,300
9,321
Ligand Pharmaceuticals, Inc. Class B (a)
15,900
47,382
MannKind Corp. (a)
8,700
30,276
Marshall Edwards, Inc. (a)
2,300
920
Martek Biosciences Corp.
5,600
102,200
6
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Small Cap Premium & Dividend Income Fund Inc.
Schedule of Investments as of March 31, 2009 (Unaudited)
(Percentages shown are based on Net Assets)
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Industry
Common Stocks
Shares
Held
Value
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Maxygen, Inc. (a)
3,700
$
25,160
Medarex, Inc. (a)
21,300
109,269
Medivation, Inc. (a)
4,100
74,907
Metabolix, Inc. (a)
3,500
23,870
Molecular Insight Pharmaceuticals, Inc. (a)
3,400
12,104
Momenta Pharmaceuticals, Inc. (a)
4,100
45,141
Myriad Genetics, Inc. (a)
14,800
672,956
NPS Pharmaceuticals, Inc.
(a)
7,700
32,340
Nabi Biopharmaceuticals (a)
9,400
34,780
Nanosphere, Inc. (a)
1,900
9,443
Nektar Therapeutics (a)
15,600
84,084
Neurocrine Biosciences, Inc. (a)
6,600
23,430
Novavax, Inc. (a)
10,100
10,302
OSI Pharmaceuticals, Inc.
(a)
9,600
367,296
Onyx Pharmaceuticals, Inc.
(a)
9,320
266,086
Opko Health, Inc. (a)
6,800
6,664
Orexigen Therapeutics, Inc. (a)
3,800
9,918
Osiris Therapeutics, Inc.
(a)
2,500
34,500
PDL BioPharma, Inc.
20,300
143,724
Pharmasset, Inc. (a)
3,100
30,411
Progenics Pharmaceuticals, Inc. (a)
4,500
29,655
Protalix BioTherapeutics, Inc. (a)
1,860
3,720
RTI Biologics, Inc. (a)
8,800
25,080
Regeneron Pharmaceuticals, Inc. (a)
10,100
139,986
Repligen Corp. (a)
5,900
28,261
Rexahn Pharmaceuticals, Inc. (a)
4,300
3,010
Rigel Pharmaceuticals, Inc. (a)
6,200
38,068
Sangamo Biosciences, Inc.
(a)
6,500
27,495
Savient Pharmaceuticals, Inc. (a)
9,104
45,065
Seattle Genetics, Inc. (a)
10,400
102,544
Sequenom, Inc. (a)
9,900
140,778
Sucampo Pharmaceuticals, Inc. Class A (a)
1,900
11,647
Synta Pharmaceuticals Corp.
(a)
3,300
7,062
Targacept, Inc. (a)
2,800
7,504
Theravance, Inc. (a)
8,600
146,200
ViroPharma, Inc. (a)
12,800
67,200
XOMA Ltd. (a)
22,300
11,819
ZymoGenetics, Inc. (a)
6,300
25,137
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5,693,021
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Building Materials - 0.7%
Acuity Brands, Inc. (b)
6,600
148,764
Ameron International Corp.
1,500
78,990
Gibraltar Industries, Inc.
4,700
22,184
Headwaters, Inc. (a)
7,400
23,236
LSI Industries, Inc.
3,000
15,510
Louisiana-Pacific Corp.
17,200
38,356
NCI Building Systems, Inc.
(a)
3,300
7,326