|
|
|
|
|
|
|
|
Portfolio of Investments (Unaudited)
|
|
|
|
|
|
Nuveen New York Investment Quality Municipal Fund, Inc. (NQN)
|
|
|
|
|
|
December 31, 2012
|
|
|
|
|
|
|
Principal
|
|
|
Optional Call
|
|
|
Amount (000)
|
|
Description (1)
|
Provisions (2)
|
Ratings (3)
|
Value
|
|
|
|
Consumer Staples – 2.4% (1.6% of Total Investments)
|
|
|
|
$ 7,720
|
|
TSASC Inc., New York, Tobacco Asset-Backed Bonds, Series 2006, 5.125%, 6/01/42
|
6/16 at 100.00
|
B+
|
$ 6,621,598
|
|
|
Education and Civic Organizations – 25.6% (16.7% of Total Investments)
|
|
|
|
1,475
|
|
Dormitory Authority of the State of New York, 853 Schools Program Insured Revenue Bonds, St.
|
3/13 at 100.00
|
N/R
|
1,479,823
|
|
|
Anne Institute, Issue 2, Series 1998E, 5.000%, 7/01/18 – AMBAC Insured
|
|
|
|
3,000
|
|
Dormitory Authority of the State of New York, General Revenue Bonds, Saint Johns University,
|
7/17 at 100.00
|
A–
|
3,344,340
|
|
|
Series 2007A, 5.250%, 7/01/32 – NPFG Insured
|
|
|
|
935
|
|
Dormitory Authority of the State of New York, Housing Revenue Bonds, Fashion Institute of
|
No Opt. Call
|
BBB
|
1,086,938
|
|
|
Technology, Series 2007, 5.250%, 7/01/34 – FGIC Insured
|
|
|
|
6,500
|
|
Dormitory Authority of the State of New York, Insured Revenue Bonds, New York Medical College,
|
No Opt. Call
|
BBB
|
6,520,800
|
|
|
Series 1998, 5.000%, 7/01/21 – NPFG Insured
|
|
|
|
3,000
|
|
Dormitory Authority of the State of New York, Lease Revenue Bonds, State University Dormitory
|
7/13 at 100.00
|
Aa2
|
3,072,840
|
|
|
Facilities, Series 2003B, 5.250%, 7/01/32 (Mandatory put 7/01/13) – SYNCORA GTY Insured
|
|
|
|
1,730
|
|
Dormitory Authority of the State of New York, Lease Revenue Bonds, State University Dormitory
|
7/15 at 100.00
|
Aa2
|
1,861,878
|
|
|
Facilities, Series 2004A, 5.000%, 7/01/29 – NPFG Insured
|
|
|
|
2,080
|
|
Dormitory Authority of the State of New York, Lease Revenue Bonds, State University Dormitory
|
7/16 at 100.00
|
Aa2
|
2,279,576
|
|
|
Facilities, Series 2006A, 5.000%, 7/01/31 – NPFG Insured
|
|
|
|
1,000
|
|
Dormitory Authority of the State of New York, Lease Revenue Bonds, State University Dormitory
|
7/21 at 100.00
|
Aa2
|
1,135,020
|
|
|
Facilities, Series 2011A, 5.000%, 7/01/41
|
|
|
|
550
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Barnard College, Series 2007A,
|
7/17 at 100.00
|
BBB
|
598,906
|
|
|
5.000%, 7/01/37 – FGIC Insured
|
|
|
|
1,150
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Canisius College, Series 2005,
|
7/15 at 100.00
|
Baa2
|
1,200,485
|
|
|
5.000%, 7/01/21 – NPFG Insured
|
|
|
|
1,980
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Convent of the Sacred Heart,
|
5/21 at 100.00
|
AA–
|
2,350,656
|
|
|
Series 2011, 5.750%, 11/01/40 – AGM Insured
|
|
|
|
740
|
|
Dormitory Authority of the State of New York, Revenue Bonds, New York University, Series 2007,
|
7/17 at 100.00
|
AA–
|
819,106
|
|
|
5.000%, 7/01/32 – AMBAC Insured
|
|
|
|
2,400
|
|
Dormitory Authority of the State of New York, Revenue Bonds, New York University, Series 2009A,
|
7/19 at 100.00
|
AA–
|
2,864,832
|
|
|
5.250%, 7/01/34
|
|
|
|
3,000
|
|
Dormitory Authority of the State of New York, Revenue Bonds, New York University, Series 2009B,
|
7/19 at 100.00
|
AA–
|
3,476,040
|
|
|
5.000%, 7/01/39
|
|
|
|
1,200
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Non State Supported Debt, Cornell
|
7/20 at 100.00
|
Aa1
|
1,379,664
|
|
|
University, Series 2008C, 5.000%, 7/01/37
|
|
|
|
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Non State Supported Debt, Cornell
|
|
|
|
|
|
University, Series 2010A:
|
|
|
|
5,000
|
|
5.000%, 7/01/35
|
7/20 at 100.00
|
Aa1
|
5,792,600
|
6,695
|
|
5.000%, 7/01/40
|
7/20 at 100.00
|
Aa1
|
7,697,375
|
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Rochester Institute of Technology,
|
|
|
|
|
|
Series 2006A:
|
|
|
|
575
|
|
5.250%, 7/01/20 – AMBAC Insured
|
No Opt. Call
|
A1
|
710,188
|
460
|
|
5.250%, 7/01/21 – AMBAC Insured
|
No Opt. Call
|
A1
|
572,668
|
4,500
|
|
Dormitory Authority of the State of New York, State and Local Appropriation Lease Bonds, Upstate
|
7/15 at 100.00
|
AA–
|
4,911,750
|
|
|
Community Colleges, Series 2005A, 5.000%, 7/01/19 – FGIC Insured
|
|
|
|
|
|
New York City Industrial Development Agency, New York, PILOT Revenue Bonds, Queens Baseball
|
|
|
|
|
|
Stadium Project, Series 2006:
|
|
|
|
1,030
|
|
4.750%, 1/01/42 – AMBAC Insured
|
1/17 at 100.00
|
Ba1
|
1,014,056
|
2,390
|
|
5.000%, 1/01/46 – AMBAC Insured
|
1/17 at 100.00
|
Ba1
|
2,391,721
|
|
|
New York City Industrial Development Authority, New York, PILOT Revenue Bonds, Yankee Stadium
|
|
|
|
|
|
Project, Series 2006:
|
|
|
|
890
|
|
5.000%, 3/01/31 – FGIC Insured
|
9/16 at 100.00
|
BBB
|
937,250
|
6,080
|
|
5.000%, 3/01/36 – NPFG Insured
|
9/16 at 100.00
|
BBB
|
6,343,082
|
3,685
|
|
4.500%, 3/01/39 – FGIC Insured
|
9/16 at 100.00
|
BBB
|
3,742,412
|
2,000
|
|
New York City Trust for Cultural Resources, New York, Revenue Bonds, American Museum of
|
7/14 at 100.00
|
AA
|
2,104,980
|
|
|
Natural History, Series 2004A, 5.000%, 7/01/36 – NPFG Insured
|
|
|
|
800
|
|
Troy Capital Resource Corporation, New York, Revenue Bonds, Rensselaer Polytechnic Institute,
|
9/20 at 100.00
|
A–
|
888,136
|
|
|
Series 2010A, 5.125%, 9/01/40
|
|
|
|
64,845
|
|
Total Education and Civic Organizations
|
|
|
70,577,122
|
|
|
Financials – 1.5% (1.0% of Total Investments)
|
|
|
|
3,590
|
|
Liberty Development Corporation, New York, Goldman Sachs Headquarter Revenue Bonds, Series
|
No Opt. Call
|
A
|
4,193,802
|
|
|
2005, 5.250%, 10/01/35
|
|
|
|
|
|
Health Care – 7.8% (5.1% of Total Investments)
|
|
|
|
590
|
|
Dormitory Authority of the State of New York, FHA-Insured Mortgage Hospital Revenue Bonds,
|
8/19 at 100.00
|
AA+
|
730,131
|
|
|
Hospital for Special Surgery, Series 2009, 6.250%, 8/15/34
|
|
|
|
1,715
|
|
Dormitory Authority of the State of New York, FHA-Insured Mortgage Revenue Bonds, Hudson
|
8/17 at 100.00
|
AA–
|
1,939,734
|
|
|
Valley Hospital Center, Series 2007, 5.000%, 8/15/27 – AGM Insured
|
|
|
|
2,575
|
|
Dormitory Authority of the State of New York, FHA-Insured Mortgage Revenue Bonds, Montefiore
|
2/15 at 100.00
|
BBB
|
2,729,912
|
|
|
Hospital, Series 2004, 5.000%, 8/01/29 – FGIC Insured
|
|
|
|
3,535
|
|
Dormitory Authority of the State of New York, FHA-Insured Revenue Bonds, Montefiore Medical
|
2/15 at 100.00
|
BBB
|
3,800,726
|
|
|
Center, Series 2005, 5.000%, 2/01/22 – FGIC Insured
|
|
|
|
1,325
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Health Quest System Inc., Series
|
7/17 at 100.00
|
AA–
|
1,508,831
|
|
|
2007B, 5.250%, 7/01/27 – AGC Insured
|
|
|
|
1,860
|
|
Dormitory Authority of the State of New York, Revenue Bonds, New York and Presbyterian Hospital,
|
8/14 at 100.00
|
AA–
|
2,007,349
|
|
|
Series 2004A, 5.250%, 8/15/15 – AGM Insured
|
|
|
|
|
|
New York City Health and Hospitals Corporation, New York, Health System Revenue Bonds,
|
|
|
|
|
|
Series 2003A:
|
|
|
|
3,150
|
|
5.250%, 2/15/21 – AMBAC Insured
|
2/13 at 100.00
|
Aa3
|
3,166,191
|
2,100
|
|
5.250%, 2/15/22 – AMBAC Insured
|
2/13 at 100.00
|
Aa3
|
2,112,222
|
2,225
|
|
Suffolk County Economic Development Corp / Nassau County Local Economic Assistance &
|
7/21 at 100.00
|
A–
|
2,541,462
|
|
|
Financing Corp., New York, Revenue Bonds, Catholic Health Services of Long Island Obligated
|
|
|
|
|
|
Group Project, Series 2011, 5.000%, 7/01/28
|
|
|
|
935
|
|
Westchester County Health Care Corporation, New York, Senior Lien Revenue Bonds, Series
|
11/20 at 100.00
|
A3
|
1,107,816
|
|
|
2010-C2, 6.125%, 11/01/37
|
|
|
|
20,010
|
|
Total Health Care
|
|
|
21,644,374
|
|
|
Housing/Multifamily – 3.5% (2.3% of Total Investments)
|
|
|
|
|
|
New York City Housing Development Corporation, New York, Capital Fund Program Revenue Bonds,
|
|
|
|
|
|
Series 2005A:
|
|
|
|
1,230
|
|
5.000%, 7/01/14 – FGIC Insured
|
No Opt. Call
|
AA–
|
1,306,777
|
1,230
|
|
5.000%, 7/01/16 – FGIC Insured
|
7/15 at 100.00
|
AA–
|
1,360,196
|
5,740
|
|
New York City Housing Development Corporation, New York, Capital Fund Program Revenue Bonds,
|
7/15 at 100.00
|
AA–
|
6,226,695
|
|
|
Series 2005A, 5.000%, 7/01/25 – NPFG Insured (UB) (4)
|
|
|
|
450
|
|
New York State Housing Finance Agency, Affordable Housing Revenue Bonds, Series 2009B,
|
5/19 at 100.00
|
Aa2
|
487,575
|
|
|
4.500%, 11/01/29
|
|
|
|
|
|
New York State Housing Finance Agency, Mortgage Revenue Refunding Bonds, Housing Project,
|
|
|
|
|
|
Series 1996A:
|
|
|
|
65
|
|
6.100%, 11/01/15 – AGM Insured
|
3/13 at 100.00
|
AA–
|
65,304
|
130
|
|
6.125%, 11/01/20 – AGM Insured
|
3/13 at 100.00
|
AA–
|
130,334
|
8,845
|
|
Total Housing/Multifamily
|
|
|
9,576,881
|
|
|
Tax Obligation/General – 14.7% (9.6% of Total Investments)
|
|
|
|
3,000
|
|
Dormitory Authority of the State of New York, School Districts Revenue Bond Financing Program,
|
10/15 at 100.00
|
Aa3
|
3,250,890
|
|
|
Peekskill City School District, Series 2005D, 5.000%, 10/01/33 – NPFG Insured
|
|
|
|
1,200
|
|
Erie County, New York, General Obligation Bonds, Series 2003A, 5.250%, 3/15/16 – NPFG Insured
|
3/13 at 100.00
|
A2
|
1,211,652
|
635
|
|
Erie County, New York, General Obligation Bonds, Series 2004B, 5.250%, 4/01/13 – NPFG Insured
|
No Opt. Call
|
A2
|
641,883
|
400
|
|
New York City, New York, General Obligation Bonds, Fiscal 2009 Series E, 5.000%, 8/01/28
|
8/19 at 100.00
|
AA
|
475,980
|
3,000
|
|
New York City, New York, General Obligation Bonds, Fiscal 2010 Series C, 5.000%, 8/01/23
|
8/19 at 100.00
|
AA
|
3,581,520
|
4,610
|
|
New York City, New York, General Obligation Bonds, Fiscal 2013 Series C, 5.000%, 8/01/25
|
8/22 at 100.00
|
AA
|
5,625,306
|
2,300
|
|
New York City, New York, General Obligation Bonds, Fiscal Series 2005J, 5.000%, 3/01/19 –
|
3/15 at 100.00
|
AA
|
2,513,693
|
|
|
FGIC Insured
|
|
|
|
1,000
|
|
New York City, New York, General Obligation Bonds, Series 2011D-I, 5.000%, 10/01/29
|
10/21 at 100.00
|
AA
|
1,179,420
|
2,200
|
|
New York City, New York, General Obligation Bonds, Subseries G-1 Fiscal Series 2012,
|
4/22 at 100.00
|
AA
|
2,649,614
|
|
|
5.000%, 4/01/26
|
|
|
|
|
|
New York City, New York, General Obligation Bonds, Series 2004E:
|
|
|
|
3,000
|
|
5.000%, 11/01/19 – AGM Insured (UB)
|
11/14 at 100.00
|
AA
|
3,245,280
|
2,300
|
|
5.000%, 11/01/20 – AGM Insured (UB)
|
11/14 at 100.00
|
AA
|
2,488,048
|
|
|
Pavilion Central School District, Genesee County, New York, General Obligation Bonds, Series 2005:
|
|
|
|
1,650
|
|
5.000%, 6/15/16 – AGM Insured
|
6/15 at 100.00
|
AA–
|
1,798,368
|
1,815
|
|
5.000%, 6/15/18 – AGM Insured
|
6/15 at 100.00
|
AA–
|
2,001,019
|
1,145
|
|
Three Village Central School District, Brookhaven and Smithtown, Suffolk County, New York,
|
No Opt. Call
|
Aa2
|
1,373,908
|
|
|
General Obligation Bonds, Series 2005, 5.000%, 6/01/18 – FGIC Insured
|
|
|
|
1,620
|
|
West Islip Union Free School District, Suffolk County, New York, General Obligation Bonds,
|
10/15 at 100.00
|
Aa3
|
1,807,969
|
|
|
Series 2005, 5.000%, 10/01/16 – AGM Insured
|
|
|
|
6,110
|
|
Yonkers, New York, General Obligation Bonds, Series 2005A, 5.000%, 8/01/16 – NPFG Insured
|
8/15 at 100.00
|
BBB+
|
6,625,012
|
35,985
|
|
Total Tax Obligation/General
|
|
|
40,469,562
|
|
|
Tax Obligation/Limited – 57.5% (37.6% of Total Investments)
|
|
|
|
1,575
|
|
Dormitory Authority of the State of New York, Department of Health Revenue Bonds, Series 2005A,
|
7/15 at 100.00
|
AA–
|
1,736,564
|
|
|
5.250%, 7/01/24 – CIFG Insured
|
|
|
|
1,095
|
|
Dormitory Authority of the State of New York, Insured Revenue Bonds, 853 Schools Program –
|
3/13 at 100.00
|
N/R
|
1,099,260
|
|
|
Anderson School, Series 1999E, Issue 2, 5.750%, 7/01/19 – AMBAC Insured
|
|
|
|
2,000
|
|
Dormitory Authority of the State of New York, Insured Revenue Bonds, Special Act School District
|
3/13 at 100.00
|
BBB
|
2,007,640
|
|
|
Program, Series 1999, 5.750%, 7/01/19 – NPFG Insured
|
|
|
|
1,500
|
|
Dormitory Authority of the State of New York, Lease Revenue Bonds, Wayne-Finger Lakes Board of
|
8/14 at 100.00
|
AA–
|
1,600,365
|
|
|
Cooperative Education Services, Series 2004, 5.000%, 8/15/23 – AGM Insured
|
|
|
|
2,410
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Department of Health, Series 2004-2,
|
7/14 at 100.00
|
AA–
|
2,572,241
|
|
|
5.000%, 7/01/20 – FGIC Insured
|
|
|
|
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Mental Health Services Facilities
|
|
|
|
|
|
Improvements, Series 2005D-1:
|
|
|
|
2,120
|
|
5.000%, 2/15/15 – FGIC Insured
|
No Opt. Call
|
AA–
|
2,316,164
|
1,200
|
|
5.000%, 8/15/23 – FGIC Insured
|
2/15 at 100.00
|
AA–
|
1,300,236
|
10
|
|
Dormitory Authority of the State of New York, Revenue Bonds, School Districts Financing Program,
|
3/13 at 100.00
|
A+
|
10,039
|
|
|
Series 2002D, 5.250%, 10/01/23 – NPFG Insured
|
|
|
|
13,500
|
|
Dormitory Authority of the State of New York, State Personal Income Tax Revenue Bonds, General
|
3/21 at 100.00
|
AAA
|
15,434,546
|
|
|
Purpose Series 2011C, 5.000%, 3/15/41
|
|
|
|
20
|
|
Dormitory Authority of the State of New York, State Personal Income Tax Revenue Bonds, Series
|
3/15 at 100.00
|
AAA
|
21,909
|
|
|
2005F, 5.000%, 3/15/21 – AGM Insured
|
|
|
|
2,400
|
|
Erie County Industrial Development Agency, New York, School Facility Revenue Bonds, Buffalo
|
5/19 at 100.00
|
AA–
|
2,747,088
|
|
|
City School District Project, Series 2009A, 5.000%, 5/01/31
|
|
|
|
5,630
|
|
Erie County Industrial Development Agency, New York, School Facility Revenue Bonds, Buffalo
|
5/17 at 100.00
|
AA–
|
6,519,484
|
|
|
City School District, Series 2007A, 5.750%, 5/01/28 – AGM Insured (UB)
|
|
|
|
1,780
|
|
Erie County Industrial Development Agency, New York, School Facility Revenue Bonds, Buffalo
|
5/18 at 100.00
|
AA–
|
2,117,506
|
|
|
City School District, Series 2008A, 5.750%, 5/01/27 – AGM Insured (UB)
|
|
|
|
5,400
|
|
Hudson Yards Infrastructure Corporation, New York, Revenue Bonds, Senior Fiscal 2012 Series
|
2/21 at 100.00
|
A
|
6,416,928
|
|
|
2011A, 5.750%, 2/15/47
|
|
|
|
10,735
|
|
Hudson Yards Infrastructure Corporation, New York, Revenue Bonds, Series 2006A, 5.000%,
|
2/17 at 100.00
|
A
|
11,356,986
|
|
|
2/15/47 – FGIC Insured
|
|
|
|
4,500
|
|
Metropolitan Transportation Authority, New York, State Service Contract Refunding Bonds,
|
No Opt. Call
|
AA–
|
5,535,405
|
|
|
Series 2002A, 5.750%, 7/01/18 – AGM Insured (UB)
|
|
|
|
4,820
|
|
Nassau County Interim Finance Authority, New York, Sales and Use Tax Revenue Bonds, Series
|
No Opt. Call
|
AAA
|
5,032,803
|
|
|
2004H, 5.250%, 11/15/13 – AMBAC Insured
|
|
|
|
|
|
New York City Sales Tax Asset Receivable Corporation, New York, Dedicated Revenue Bonds, Local
|
|
|
|
|
|
Government Assistance Corporation, Series 2004A:
|
|
|
|
2,200
|
|
5.000%, 10/15/25 – NPFG Insured (UB) (4)
|
10/14 at 100.00
|
AAA
|
2,368,278
|
1,600
|
|
5.000%, 10/15/26 – NPFG Insured (UB) (4)
|
10/14 at 100.00
|
AAA
|
1,713,040
|
6,640
|
|
5.000%, 10/15/29 – AMBAC Insured (UB) (4)
|
10/14 at 100.00
|
AAA
|
7,095,637
|
1,500
|
|
5.000%, 10/15/32 – AMBAC Insured (UB) (4)
|
10/14 at 100.00
|
AAA
|
1,601,550
|
1,000
|
|
New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Fiscal 2012
|
2/22 at 100.00
|
AAA
|
1,153,240
|
|
|
Series E-1, 5.000%, 2/01/42
|
|
|
|
10,400
|
|
New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Fiscal 2012
|
5/22 at 100.00
|
AAA
|
12,022,296
|
|
|
Series F-1, 5.000%, 5/01/39
|
|
|
|
35
|
|
New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Fiscal
|
2/13 at 100.00
|
AAA
|
35,141
|
|
|
Series 2003E, 5.250%, 2/01/22 – NPFG Insured
|
|
|
|
5
|
|
New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Fiscal
|
2/14 at 100.00
|
AAA
|
5,248
|
|
|
Series 2004C, 5.000%, 2/01/19 – SYNCORA GTY Insured
|
|
|
|
3,000
|
|
New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Series 2009A-1,
|
5/19 at 100.00
|
AAA
|
3,387,000
|
|
|
5.000%, 5/01/36
|
|
|
|
|
|
New York City, New York, Educational Construction Fund, Revenue Bonds, Series 2011A:
|
|
|
|
3,785
|
|
5.750%, 4/01/33 – AGM Insured
|
4/21 at 100.00
|
AA+
|
4,585,187
|
1,000
|
|
5.750%, 4/01/41
|
4/21 at 100.00
|
AA–
|
1,193,560
|
|
|
New York Convention Center Development Corporation, Hotel Fee Revenue Bonds, Tender Option
|
|
|
|
|
|
Bonds Trust 3095:
|
|
|
|
700
|
|
13.599%, 11/15/30 – AMBAC Insured (IF) (4)
|
11/15 at 100.00
|
AA+
|
838,397
|
3,195
|
|
13.585%, 11/15/44 – AMBAC Insured (IF) (4)
|
11/15 at 100.00
|
AA+
|
3,676,582
|
3,000
|
|
New York State Local Government Assistance Corporation, Revenue Bonds, Series 1993E, 5.250%,
|
No Opt. Call
|
AAA
|
3,368,280
|
|
|
4/01/16 – AGM Insured (UB)
|
|
|
|
|
|
New York State Thruway Authority, Highway and Bridge Trust Fund Bonds, Second General,
|
|
|
|
|
|
Series 2005B:
|
|
|
|
7,350
|
|
5.500%, 4/01/20 – AMBAC Insured
|
No Opt. Call
|
AA
|
9,359,490
|
1,500
|
|
5.000%, 4/01/21 – AMBAC Insured
|
10/15 at 100.00
|
AA
|
1,668,735
|
1,750
|
|
New York State Thruway Authority, State Personal Income Tax Revenue Bonds, Series 2004A,
|
9/14 at 100.00
|
AAA
|
1,879,395
|
|
|
5.000%, 3/15/24 – AMBAC Insured
|
|
|
|
|
|
New York State Tobacco Settlement Financing Corporation, Tobacco Settlement Asset-Backed and
|
|
|
|
|
|
State Contingency Contract-Backed Bonds, Series 2003A-1:
|
|
|
|
6,300
|
|
5.250%, 6/01/20 – AMBAC Insured
|
6/13 at 100.00
|
AA–
|
6,425,811
|
1,000
|
|
5.250%, 6/01/21 – AMBAC Insured
|
6/13 at 100.00
|
AA–
|
1,019,630
|
4,500
|
|
5.250%, 6/01/22 – AMBAC Insured
|
6/13 at 100.00
|
AA–
|
4,587,570
|
800
|
|
New York State Urban Development Corporation, State Personal Income Tax Revenue Bonds, Series
|
3/15 at 100.00
|
AAA
|
839,200
|
|
|
2005B, 5.000%, 3/15/30 – AGM Insured
|
|
|
|
1,000
|
|
Niagara Falls City School District, Niagara County, New York, Certificates of Participation, High
|
6/15 at 100.00
|
AA–
|
1,052,210
|
|
|
School Facility, Series 2005, 5.000%, 6/15/28 – AGM Insured
|
|
|
|
2,000
|
|
Puerto Rico Sales Tax Financing Corporation, Sales Tax Revenue Bonds, First Subordinate Series
|
2/20 at 100.00
|
AA–
|
2,079,060
|
|
|
2010A, 5.000%, 8/01/40 – AGM Insured
|
|
|
|
295
|
|
Puerto Rico Sales Tax Financing Corporation, Sales Tax Revenue Bonds, First Subordinate Series
|
8/20 at 100.00
|
AA–
|
309,721
|
|
|
2010C, 5.125%, 8/01/42 – AGM Insured
|
|
|
|
|
|
Puerto Rico Sales Tax Financing Corporation, Sales Tax Revenue Bonds, Senior Series 2011C:
|
|
|
|
22,000
|
|
0.000%, 8/01/37
|
No Opt. Call
|
AA–
|
5,720,440
|
5,000
|
|
0.000%, 8/01/39
|
No Opt. Call
|
AA–
|
1,138,350
|
|
|
Puerto Rico Sales Tax Financing Corporation, Sales Tax Revenue Bonds, Series 2007A:
|
|
|
|
7,700
|
|
0.000%, 8/01/45 – NPFG Insured
|
No Opt. Call
|
AA–
|
1,195,502
|
54,600
|
|
0.000%, 8/01/46 – NPFG Insured
|
No Opt. Call
|
AA–
|
7,856,394
|
11,395
|
|
0.000%, 8/01/47 – AMBAC Insured
|
No Opt. Call
|
AA–
|
1,522,828
|
1,090
|
|
Suffolk County Industrial Development Agency, New York, Revenue Bonds, Hampton Bays Public
|
4/13 at 100.00
|
Baa2
|
1,094,022
|
|
|
Library, Series 1999A, 6.000%, 10/01/19 – NPFG Insured
|
|
|
|
227,035
|
|
Total Tax Obligation/Limited
|
|
|
158,616,958
|
|
|
Transportation – 10.0% (6.5% of Total Investments)
|
|
|
|
|
|
Metropolitan Transportation Authority, New York, Transportation Revenue Bonds, Series 2005A:
|
|
|
|
700
|
|
4.750%, 11/15/27 – NPFG Insured
|
11/15 at 100.00
|
AA–
|
763,399
|
3,000
|
|
4.750%, 11/15/30 – AMBAC Insured
|
11/15 at 100.00
|
A
|
3,216,480
|
1,655
|
|
New York Liberty Development Corporation, Liberty Revenue Bonds, 4 World Trade Center Project,
|
11/21 at 100.00
|
A+
|
1,859,657
|
|
|
Series 2011, 5.000%, 11/15/44
|
|
|
|
710
|
|
New York State Thruway Authority, General Revenue Bonds, Refunding Series 2007H, 5.000%,
|
1/18 at 100.00
|
A+
|
815,790
|
|
|
1/01/25 – FGIC Insured
|
|
|
|
|
|
New York State Thruway Authority, General Revenue Bonds, Series 2005F:
|
|
|
|
1,955
|
|
5.000%, 1/01/20 – AMBAC Insured
|
1/15 at 100.00
|
A+
|
2,114,548
|
5,360
|
|
5.000%, 1/01/30 – AMBAC Insured
|
1/15 at 100.00
|
A+
|
5,753,049
|
1,500
|
|
New York State Thruway Authority, General Revenue Bonds, Series 2005G, 5.000%, 1/01/30 –
|
7/15 at 100.00
|
AA–
|
1,631,250
|
|
|
AGM Insured (UB)
|
|
|
|
|
|
Port Authority of New York and New Jersey, Consolidated Revenue Bonds, One Hundred Fortieth
|
|
|
|
|
|
Series 2005:
|
|
|
|
2,080
|
|
5.000%, 12/01/19 – AGM Insured
|
6/15 at 101.00
|
AA–
|
2,317,286
|
2,625
|
|
5.000%, 12/01/28 – SYNCORA GTY Insured
|
6/15 at 101.00
|
AA–
|
2,860,646
|
1,475
|
|
5.000%, 12/01/31 – SYNCORA GTY Insured
|
6/15 at 101.00
|
AA–
|
1,597,853
|
870
|
|
Port Authority of New York and New Jersey, Consolidated Revenue Bonds, One Hundred Forty
|
8/17 at 100.00
|
AA–
|
1,259,168
|
|
|
Eighth Series 2008, Tender Option Bond Trust 2920, 17.424%, 8/15/32 – AGM Insured (IF)
|
|
|
|
|
|
Triborough Bridge and Tunnel Authority, New York, Subordinate Lien General Purpose Revenue
|
|
|
|
|
|
Refunding Bonds, Series 2002E:
|
|
|
|
780
|
|
5.500%, 11/15/20 – NPFG Insured
|
No Opt. Call
|
A+
|
995,865
|
2,300
|
|
5.250%, 11/15/22 – NPFG Insured
|
3/13 at 100.00
|
A+
|
2,308,993
|
25,010
|
|
Total Transportation
|
|
|
27,493,984
|
|
|
U.S. Guaranteed – 10.2% (6.7% of Total Investments) (5)
|
|
|
|
485
|
|
Dormitory Authority of the State of New York, Judicial Facilities Lease Revenue Bonds, Suffolk
|
No Opt. Call
|
Aaa
|
545,741
|
|
|
County Issue, Series 1986, 7.375%, 7/01/16 – BIGI Insured (ETM)
|
|
|
|
6,000
|
|
Dormitory Authority of the State of New York, Revenue Bonds, Memorial Sloan-Kettering Cancer
|
7/13 at 100.00
|
AA (5)
|
6,140,940
|
|
|
Center, Series 2003-1, 5.000%, 7/01/21 (Pre-refunded 7/01/13) – NPFG Insured
|
|
|
|
1,560
|
|
Dormitory Authority of the State of New York, Revenue Bonds, The New York and Presbyterian
|
8/14 at 100.00
|
AA– (5)
|
1,675,253
|
|
|
Hospital Project, Series 2007, 5.000%, 8/15/36 (Pre-refunded 8/15/14) – AGM Insured
|
|
|
|
355
|
|
Dormitory Authority of the State of New York, State Personal Income Tax Revenue Bonds, Series
|
3/15 at 100.00
|
AA– (5)
|
390,546
|
|
|
2005F, 5.000%, 3/15/21 (Pre-refunded 3/15/15) – AGM Insured
|
|
|
|
1,290
|
|
Erie County Industrial Development Agency, New York, School Facility Revenue Bonds, Buffalo
|
5/14 at 100.00
|
AA– (5)
|
1,383,254
|
|
|
City School District, Series 2004, 5.750%, 5/01/26 (Pre-refunded 5/01/14) – AGM Insured
|
|
|
|
2,620
|
|
Long Island Power Authority, New York, Electric System General Revenue Bonds, Series 2003C,
|
9/13 at 100.00
|
A (5)
|
2,703,814
|
|
|
5.000%, 9/01/16 (Pre-refunded 9/01/13) – CIFG Insured
|
|
|
|
945
|
|
Metropolitan Transportation Authority, New York, Commuter Facilities Revenue Bonds, Series
|
3/13 at 100.00
|
N/R (5)
|
986,041
|
|
|
1997B, 5.000%, 7/01/20 – AMBAC Insured (ETM)
|
|
|
|
5,090
|
|
Metropolitan Transportation Authority, New York, Dedicated Tax Fund Bonds, Series 1998A,
|
10/15 at 100.00
|
AA+ (5)
|
5,708,791
|
|
|
5.000%, 4/01/23 (Pre-refunded 10/01/15) – FGIC Insured
|
|
|
|
1,000
|
|
Metropolitan Transportation Authority, New York, Dedicated Tax Fund Bonds, Series 1999A,
|
10/14 at 100.00
|
AA+ (5)
|
1,080,410
|
|
|
5.000%, 4/01/29 (Pre-refunded 10/01/14) – AGM Insured
|
|
|
|
|
|
Nassau County Interim Finance Authority, New York, Sales Tax Secured Revenue Bonds,
|
|
|
|
|
|
Series 2003A:
|
|
|
|
2,115
|
|
5.000%, 11/15/18 (Pre-refunded 11/15/13) – AMBAC Insured
|
11/13 at 100.00
|
AAA
|
2,202,371
|
1,305
|
|
4.750%, 11/15/21 (Pre-refunded 11/15/13) – AMBAC Insured
|
11/13 at 100.00
|
AAA
|
1,356,078
|
1,305
|
|
4.750%, 11/15/22 (Pre-refunded 11/15/13) – AMBAC Insured
|
11/13 at 100.00
|
AAA
|
1,356,078
|
205
|
|
New York City Municipal Water Finance Authority, New York, Water and Sewerage System
|
6/14 at 100.00
|
Aa1 (5)
|
219,002
|
|
|
Revenue Bonds, Fiscal Series 2004C, 5.000%, 6/15/35 (Pre-refunded 6/15/14) – AMBAC Insured
|
|
|
|
1,995
|
|
New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Fiscal
|
2/14 at 100.00
|
AAA
|
2,096,625
|
|
|
Series 2004C, 5.000%, 2/01/19 (Pre-refunded 2/01/14) – SYNCORA GTY Insured
|
|
|
|
200
|
|
New York State Urban Development Corporation, State Personal Income Tax Revenue Bonds, Series
|
3/15 at 100.00
|
AA– (5)
|
220,026
|
|
|
2005B, 5.000%, 3/15/30 (Pre-refunded 3/15/15) – AGM Insured
|
|
|
|
26,470
|
|
Total U.S. Guaranteed
|
|
|
28,064,970
|
|
|
Utilities – 8.0% (5.3% of Total Investments)
|
|
|
|
210
|
|
Guam Power Authority, Revenue Bonds, Series 2012A, 5.000%, 10/01/34
|
10/22 at 100.00
|
BBB
|
234,240
|
|
|
Long Island Power Authority, New York, Electric System General Revenue Bonds, Series 2006A:
|
|
|
|
4,540
|
|
5.000%, 12/01/23 – FGIC Insured
|
6/16 at 100.00
|
A
|
5,042,215
|
6,160
|
|
5.000%, 12/01/25 – FGIC Insured
|
6/16 at 100.00
|
A
|
6,817,642
|
3,000
|
|
5.000%, 12/01/26 – AGC Insured
|
6/16 at 100.00
|
AA+
|
3,320,280
|
625
|
|
Long Island Power Authority, New York, Electric System General Revenue Bonds, Series 2006B,
|
6/16 at 100.00
|
A
|
681,444
|
|
|
5.000%, 12/01/35 – CIFG Insured
|
|
|
|
3,310
|
|
Long Island Power Authority, New York, Electric System Revenue Bonds, Series 2008A, 5.500%,
|
5/19 at 100.00
|
AA+
|
3,915,399
|
|
|
5/01/33 – BHAC Insured
|
|
|
|
1,355
|
|
Niagara Area Development Corporation, New York, Solid Waste Disposal Facility Revenue
|
No Opt. Call
|
BB+
|
1,377,588
|
|
|
Refunding Bonds, Covanta Energy Project, Series 2012B, 4.000%, 11/01/24
|
|
|
|
760
|
|
Power Authority of the State of New York, General Revenue Bonds, Series 2006A, 5.000%,
|
11/15 at 100.00
|
Aa2
|
853,480
|
|
|
11/15/19 – FGIC Insured
|
|
|
|
19,960
|
|
Total Utilities
|
|
|
22,242,288
|
|
|
Water and Sewer – 11.6% (7.6% of Total Investments)
|
|
|
|
3,000
|
|
New York City Municipal Water Finance Authority, New York, Water and Sewer System Revenue
|
6/19 at 100.00
|
AA+
|
3,585,600
|
|
|
Bonds, Second Generation Resolution, Fiscal 2010 Series 2009BB, 5.000%, 6/15/27
|
|
|
|
5,330
|
|
New York City Municipal Water Finance Authority, New York, Water and Sewer System Revenue
|
12/21 at 100.00
|
AA+
|
6,060,743
|
|
|
Bonds, Second Generation Resolution, Fiscal 2012 Series BB, 5.000%, 6/15/44
|
|
|
|
2,575
|
|
New York City Municipal Water Finance Authority, New York, Water and Sewer System Revenue
|
6/16 at 100.00
|
AAA
|
2,852,225
|
|
|
Bonds, Series 2006B, 5.000%, 6/15/36 – NPFG Insured (UB)
|
|
|
|
5,030
|
|
New York City Municipal Water Finance Authority, New York, Water and Sewerage System
|
6/15 at 100.00
|
AAA
|
5,495,577
|
|
|
Revenue Bonds, Fiscal Series 2005C, 5.000%, 6/15/27 – NPFG Insured (UB)
|
|
|
|
2,795
|
|
New York City Municipal Water Finance Authority, New York, Water and Sewerage System
|
6/14 at 100.00
|
AAA
|
2,937,461
|
|
|
Revenue Bonds, Fiscal Series 2004C, 5.000%, 6/15/35 – AMBAC Insured
|
|
|
|
3,845
|
|
New York State Environmental Facilities Corporation, Revenue Bonds, State Revolving Funds
|
4/20 at 100.00
|
AAA
|
4,463,699
|
|
|
Master Financing, Series 2010C, 5.000%, 10/15/35
|
|
|
|
1,000
|
|
New York State Environmental Facilities Corporation, Revenue Bonds, State Revolving Funds
|
2/22 at 100.00
|
AAA
|
1,158,110
|
|
|
Master Financing, Series 2012B, 5.000%, 2/15/42
|
|
|
|
5,200
|
|
Suffolk County Water Authority, New York, Waterworks Revenue Bonds, Series 2005C, 5.000%,
|
6/15 at 100.00
|
AAA
|
5,503,524
|
|
|
6/01/28 – NPFG Insured (UB)
|
|
|
|
28,775
|
|
Total Water and Sewer
|
|
|
32,056,939
|
$ 468,245
|
|
Total Investments (cost $392,793,653) – 152.8%
|
|
|
421,558,478
|
|
|
Floating Rate Obligations – (13.2)%
|
|
|
(36,495,000)
|
|
|
Variable Rate Demand Preferred Shares, at Liquidation Value – (40.7)% (6)
|
|
|
(112,300,000)
|
|
|
Other Assets Less Liabilities – 1.1%
|
|
|
3,211,383
|
|
|
Net Assets Applicable to Common Shares – 100%
|
|
|
$ 275,974,861
|