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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Nuveen North Carolina Dividend Advantage Municipal Fund 3 IT IS A Newly Organized, Non-Diversified, Closed-End Management Invest | AMEX:NII | AMEX | Ordinary Share |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.00 | - |
Portfolio of Investments (Unaudited)
|
|||||
Nuveen North Carolina Dividend Advantage Municipal Fund 3 (NII)
|
|||||
February 29, 2012
|
|||||
Principal
|
Optional Call
|
||||
Amount (000)
|
Description (1)
|
Provisions (2)
|
Ratings (3)
|
Value
|
|
Consumer Staples – 3.3% (2.1% of Total Investments)
|
|||||
$ 2,000
|
Puerto Rico, The Children’s Trust Fund, Tobacco Settlement Asset-Backed Refunding Bonds,
|
5/12 at 100.00
|
Baa3
|
$ 1,974,800
|
|
Series 2002, 5.500%, 5/15/39
|
|||||
Education and Civic Organizations – 3.4% (2.1% of Total Investments)
|
|||||
30
|
Appalachian State University, North Carolina, Revenue Bonds, Series 2005, 5.250%, 7/15/17 –
|
No Opt. Call
|
Aa3
|
36,222
|
|
NPFG Insured
|
|||||
750
|
Fayetteville State University, North Carolina, Limited Obligation Revenue Bonds, Student
|
4/21 at 100.00
|
AA–
|
797,543
|
|
Housing Project, Series 2011, 5.000%, 4/01/43 – AGM Insured
|
|||||
200
|
North Carolina Capital Facilities Financing Agency, Revenue Bonds, Johnson and Wales
|
4/13 at 100.00
|
N/R
|
201,562
|
|
University, Series 2003A, 5.000%, 4/01/33 – SYNCORA GTY Insured
|
|||||
440
|
University of North Carolina System, Pooled Revenue Refunding Bonds, Series 2002A, 5.000%,
|
No Opt. Call
|
A+
|
448,312
|
|
4/01/27 – AMBAC Insured
|
|||||
500
|
University of North Carolina Wilmington, Certificates of Participation, Student Housing
|
6/16 at 100.00
|
A–
|
546,675
|
|
Project Revenue Bonds, Series 2006, 5.000%, 6/01/21 – FGIC Insured
|
|||||
1,920
|
Total Education and Civic Organizations
|
2,030,314
|
|||
Health Care – 25.9% (16.5% of Total Investments)
|
|||||
Albemarle Hospital Authority, North Carolina, Health Care Facilities Revenue Bonds,
|
|||||
Series 2007:
|
|||||
695
|
5.250%, 10/01/27
|
10/17 at 100.00
|
N/R
|
654,725
|
|
70
|
5.250%, 10/01/38
|
10/17 at 100.00
|
N/R
|
62,132
|
|
1,200
|
Charlotte-Mecklenberg Hospital Authority, North Carolina, Carolinas HealthCare System Revenue
|
1/18 at 100.00
|
AA–
|
1,251,396
|
|
Bonds, Series 2008A, 5.000%, 1/15/47
|
|||||
500
|
Charlotte-Mecklenberg Hospital Authority, North Carolina, Health Care Refunding Revenue Bonds,
|
1/19 at 100.00
|
AA–
|
542,395
|
|
Carolinas HealthCare System, Series 2009A, 5.250%, 1/15/39
|
|||||
1,000
|
Charlotte-Mecklenberg Hospital Authority, North Carolina, Health Care Revenue Bonds, Carolinas
|
1/21 at 100.00
|
AA–
|
1,101,620
|
|
HealthCare System, Series 2011A, 5.250%, 1/15/42
|
|||||
580
|
Charlotte-Mecklenburg Hospital Authority, North Carolina, Healthcare System Revenue Bonds,
|
7/12 at 100.00
|
AA–
|
580,650
|
|
Carolinas Healthcare System, Series 2001A, 5.000%, 1/15/31
|
|||||
520
|
Johnston Memorial Hospital Authority, North Carolina, Mortgage Revenue Bonds, Johnston
|
4/18 at 100.00
|
AA–
|
564,008
|
|
Memorial Hospital Project, Series 2008A, 5.250%, 10/01/36 – AGM Insured
|
|||||
180
|
New Hanover County, North Carolina, Hospital Revenue Bonds, New Hanover Regional Medical
|
10/19 at 100.00
|
AA–
|
196,272
|
|
Center, Series 2006B, 5.125%, 10/01/31 – AGM Insured
|
|||||
North Carolina Medical Care Commission Health Care Facilities Revenue Bonds Novant Health
|
|||||
Inc., Series 2010A:
|
|||||
2,000
|
5.250%, 11/01/40
|
11/20 at 100.00
|
A+
|
2,125,040
|
|
500
|
5.000%, 11/01/43
|
11/20 at 100.00
|
A+
|
519,030
|
|
1,000
|
North Carolina Medical Care Commission, Health Care Facilities Refunding Revenue Bonds, Blue
|
1/20 at 100.00
|
A
|
1,015,810
|
|
Ridge HealthCare, Series 2010A, 5.000%, 1/01/36
|
|||||
1,000
|
North Carolina Medical Care Commission, Health Care Facilities Revenue Bonds, Appalachian
|
7/21 at 100.00
|
BBB+
|
1,148,180
|
|
Regional HealthCare System, Series 2011A, 6.500%, 7/01/31
|
|||||
1,000
|
North Carolina Medical Care Commission, Health Care Facilities Revenue Bonds, Cleveland County
|
1/21 at 100.00
|
A
|
1,091,410
|
|
Healthcare System, Refunding Series 2011A, 5.750%, 1/01/35
|
|||||
545
|
North Carolina Medical Care Commission, Health Care Facilities Revenue Bonds, WakeMed, Series
|
10/14 at 100.00
|
AA–
|
567,710
|
|
2009A, 5.625%, 10/01/38 – AGC Insured
|
|||||
2,000
|
North Carolina Medical Care Commission, Healthcare Facilities Revenue Bonds, Novant Health
|
11/13 at 100.00
|
A+
|
2,121,220
|
|
Obligated Group, Series 2003A, 5.000%, 11/01/18
|
|||||
1,000
|
North Carolina Medical Care Commission, Hospital Revenue Bonds, Wilson Medical Center, Series
|
11/17 at 100.00
|
A–
|
1,046,890
|
|
2007, 5.000%, 11/01/27
|
|||||
400
|
North Carolina Medical Care Commission, Revenue Bonds, Blue Ridge Healthcare System, Series
|
1/15 at 100.00
|
A
|
404,240
|
|
2005, 5.000%, 1/01/33 – FGIC Insured
|
|||||
150
|
Northern Hospital District of Surry County, North Carolina, Health Care Facilities Revenue
|
4/18 at 100.00
|
BBB
|
159,852
|
|
Bonds, Series 2008, 6.250%, 10/01/38
|
|||||
500
|
Onslow County Hospital Authority, North Carolina, FHA Insured Mortgage Revenue Bonds, Onslow
|
10/16 at 100.00
|
BBB
|
523,210
|
|
Memorial Hospital Project, Series 2006, 5.000%, 4/01/31 – NPFG Insured
|
|||||
14,840
|
Total Health Care
|
15,675,790
|
|||
Housing/Multifamily – 1.8% (1.1% of Total Investments)
|
|||||
1,000
|
Mecklenburg County, North Carolina, FNMA Multifamily Housing Revenue Bonds, Little Rock
|
7/13 at 105.00
|
AA+
|
1,063,850
|
|
Apartments, Series 2003, 5.150%, 1/01/22 (Alternative Minimum Tax)
|
|||||
Housing/Single Family – 3.3% (2.1% of Total Investments)
|
|||||
450
|
North Carolina Housing Finance Agency, Home Ownership Revenue Bonds, Series 2007-29A, 4.800%,
|
1/17 at 100.00
|
AA
|
456,665
|
|
7/01/33 (Alternative Minimum Tax)
|
|||||
1,000
|
North Carolina Housing Finance Agency, Home Ownership Revenue Bonds, Series 2011-1,
|
1/21 at 100.00
|
AA
|
1,052,090
|
|
4.500%, 1/01/28
|
|||||
495
|
North Carolina Housing Finance Agency, Home Ownership Revenue Bonds, Series 25-A, 4.900%,
|
7/16 at 100.00
|
AA
|
501,821
|
|
7/01/37 (Alternative Minimum Tax)
|
|||||
1,945
|
Total Housing/Single Family
|
2,010,576
|
|||
Long-Term Care – 1.7% (1.1% of Total Investments)
|
|||||
North Carolina Medical Care Commission, Healthcare Facilities Revenue Bonds, Presbyterian
|
|||||
Homes, Series 2006:
|
|||||
250
|
5.400%, 10/01/27
|
10/16 at 100.00
|
N/R
|
250,893
|
|
600
|
5.500%, 10/01/31
|
10/16 at 100.00
|
N/R
|
600,930
|
|
190
|
North Carolina Medical Care Commission, Revenue Bonds, Pines at Davidson, Series 2006A,
|
1/16 at 100.00
|
N/R
|
191,009
|
|
5.000%, 1/01/36
|
|||||
1,040
|
Total Long-Term Care
|
1,042,832
|
|||
Materials – 0.3% (0.2% of Total Investments)
|
|||||
200
|
Columbus County Industrial Facilities and Pollution Control Financing Authority, North
|
3/17 at 100.00
|
BBB
|
200,398
|
|
Carolina, Environmental Improvement Revenue Bonds, International Paper Company Project,
|
|||||
Series 2007A, 4.625%, 3/01/27
|
|||||
Tax Obligation/General – 1.5% (1.0% of Total Investments)
|
|||||
300
|
North Carolina State, General Obligation Bonds, Series 2004A, 5.000%, 3/01/22
|
3/14 at 100.00
|
AAA
|
324,924
|
|
550
|
Wake County, North Carolina, Limited Obligation Bonds, Series 2010, 5.000%, 1/01/37
|
1/20 at 100.00
|
AA+
|
613,091
|
|
850
|
Total Tax Obligation/General
|
938,015
|
|||
Tax Obligation/Limited – 23.9% (15.3% of Total Investments)
|
|||||
2,750
|
Charlotte, North Carolina, Certificates of Participation, Governmental Facilities Projects,
|
6/13 at 100.00
|
AA+
|
2,811,518
|
|
Series 2003G, 5.000%, 6/01/33
|
|||||
575
|
Charlotte, North Carolina, Certificates of Participation, Transit Projects Phase 2, Series
|
6/18 at 100.00
|
AA+
|
622,547
|
|
2008A, 5.000%, 6/01/33
|
|||||
800
|
Craven County, North Carolina, Certificates of Participation, Series 2007, 5.000%, 6/01/27 –
|
6/17 at 100.00
|
AA–
|
874,656
|
|
NPFG Insured
|
|||||
265
|
Government of Guam, Business Privilege Tax Bonds, Series 2011A, 5.125%, 1/01/42
|
1/22 at 100.00
|
A
|
287,803
|
|
200
|
Harnett County, North Carolina, Certificates of Participation, Series 2009, 5.000%, 6/01/28 –
|
6/19 at 100.00
|
AA–
|
221,564
|
|
AGC Insured
|
|||||
500
|
Lee County, North Carolina, Certificates of Participation, Public Schools and Community
|
4/14 at 100.00
|
AA–
|
532,970
|
|
College, Series 2004, 5.250%, 4/01/20 – AGM Insured
|
|||||
200
|
Mecklenburg County, North Carolina, Certificates of Participation, Series 2009A,
|
No Opt. Call
|
AA+
|
224,752
|
|
5.000%, 2/01/27
|
|||||
1,500
|
North Carolina Turnpike Authority, Monroe Connector System State Appropriation Bonds, Series
|
7/21 at 100.00
|
AA
|
1,686,120
|
|
2011, 5.000%, 7/01/41
|
|||||
2,625
|
Puerto Rico Sales Tax Financing Corporation, Sales Tax Revenue Bonds, Series 2010A,
|
No Opt. Call
|
A+
|
735,735
|
|
0.000%, 8/01/35
|
|||||
565
|
Raleigh, North Carolina, Certificates of Participation, Series 2007, 5.000%, 2/01/27
|
2/17 at 100.00
|
AA+
|
619,155
|
|
565
|
Rutherford County, North Carolina, Certificates of Participation, Series 2002, 5.000%, 9/01/21 –
|
9/12 at 101.00
|
A1
|
578,780
|
|
AMBAC Insured
|
|||||
1,000
|
Rutherford County, North Carolina, Certificates of Participation, Series 2007, 5.000%,
|
12/17 at 100.00
|
AA–
|
1,102,510
|
|
12/01/27 – AGM Insured
|
|||||
1,200
|
Sampson County, North Carolina, Certificates of Participation, Series 2006, 5.000%, 6/01/34 –
|
6/17 at 100.00
|
AA–
|
1,270,584
|
|
AGM Insured (UB)
|
|||||
1,785
|
Union County, North Carolina, Certificates of Participation, Series 2003, 5.000%, 6/01/20 –
|
6/13 at 101.00
|
Aa2
|
1,895,938
|
|
AMBAC Insured
|
|||||
500
|
Wilmington, North Carolina, Certificates of Participation, Series 2008A, 5.000%, 6/01/29
|
6/18 at 100.00
|
AA
|
553,470
|
|
400
|
Wilson County, North Carolina, Certificates of Participation, School Facilities Project,
|
4/17 at 100.00
|
Aa3
|
435,316
|
|
Series 2007, 5.000%, 4/01/25 – AMBAC Insured
|
|||||
15,430
|
Total Tax Obligation/Limited
|
14,453,418
|
|||
Transportation – 10.5% (6.7% of Total Investments)
|
|||||
500
|
Charlotte, North Carolina, Airport Revenue Bonds, Charlotte Douglas International Refunding
|
7/20 at 100.00
|
Aa3
|
545,310
|
|
Series 2010A, 5.000%, 7/01/39
|
|||||
700
|
Charlotte, North Carolina, Airport Revenue Bonds, Charlotte Douglas International, Series
|
No Opt. Call
|
Aa3
|
739,809
|
|
2010B, 5.000%, 7/01/36 (Alternative Minimum Tax)
|
|||||
660
|
North Carolina State Ports Authority, Port Facilities Revenue Bonds, Senior Lien Series 2010A,
|
2/20 at 100.00
|
A3
|
717,110
|
|
5.250%, 2/01/40
|
|||||
North Carolina Turnpike Authority, Triangle Expressway System Revenue Bonds, Series 2009A:
|
|||||
810
|
5.500%, 1/01/29 – AGC Insured
|
1/19 at 100.00
|
AA–
|
915,349
|
|
1,155
|
5.750%, 1/01/39 – AGC Insured
|
1/19 at 100.00
|
AA–
|
1,294,998
|
|
North Carolina Turnpike Authority, Triangle Expressway System Senior Lien Revenue Bonds,
|
|||||
Series 2009B:
|
|||||
2,295
|
0.000%, 1/01/35 – AGC Insured
|
No Opt. Call
|
AA–
|
779,566
|
|
140
|
0.000%, 1/01/37 – AGC Insured
|
No Opt. Call
|
AA–
|
42,743
|
|
300
|
0.000%, 1/01/38 – AGC Insured
|
No Opt. Call
|
AA–
|
86,661
|
|
1,100
|
Raleigh Durham Airport Authority, North Carolina, Airport Revenue Bonds, Refunding Series
|
No Opt. Call
|
Aa3
|
1,215,929
|
|
2010A, 5.000%, 5/01/36
|
|||||
7,660
|
Total Transportation
|
6,337,475
|
|||
U.S. Guaranteed – 28.2% (18.1% of Total Investments) (4)
|
|||||
1,800
|
Catawba County, North Carolina, Certificates of Participation, Series 2004, 5.250%, 6/01/22
|
6/14 at 100.00
|
Aa2 (4)
|
2,000,214
|
|
(Pre-refunded 6/01/14) – NPFG Insured
|
|||||
200
|
Charlotte-Mecklenburg Hospital Authority, North Carolina, Healthcare System Revenue Bonds, DBA
|
1/15 at 100.00
|
AA+ (4)
|
226,482
|
|
Carolinas Healthcare System, Series 2005A, 5.000%, 1/15/45 (Pre-refunded 1/15/15)
|
|||||
3,000
|
Dare County, North Carolina, Certificates of Participation, Series 2002, 5.000%, 6/01/23
|
12/12 at 100.00
|
AA– (4)
|
3,109,230
|
|
(Pre-refunded 12/01/12) – AMBAC Insured
|
|||||
Forsyth County, North Carolina, Certificates of Participation, Public Facilities and Equipment
|
|||||
Project, Series 2002:
|
|||||
1,325
|
5.125%, 1/01/16 (Pre-refunded 1/01/13)
|
1/13 at 101.00
|
AA+ (4)
|
1,391,555
|
|
770
|
5.250%, 1/01/19 (Pre-refunded 1/01/13)
|
1/13 at 101.00
|
AA+ (4)
|
809,486
|
|
Lincoln County, North Carolina, General Obligation Bonds, Series 2002A:
|
|||||
850
|
5.000%, 6/01/19 (Pre-refunded 6/01/12) – FGIC Insured
|
6/12 at 101.00
|
AA– (4)
|
869,108
|
|
900
|
5.000%, 6/01/20 (Pre-refunded 6/01/12) – FGIC Insured
|
6/12 at 101.00
|
AA– (4)
|
920,232
|
|
1,050
|
5.000%, 6/01/21 (Pre-refunded 6/01/12) – FGIC Insured
|
6/12 at 101.00
|
AA– (4)
|
1,073,604
|
|
1,600
|
North Carolina Capital Facilities Financing Agency, Revenue Bonds, Duke University, Series
|
10/12 at 100.00
|
Aaa
|
1,646,976
|
|
2002A, 5.125%, 7/01/42 (Pre-refunded 10/01/12)
|
|||||
500
|
North Carolina Medical Care Commission, Revenue Bonds, Northeast Medical Center, Series 2004,
|
11/14 at 100.00
|
Aa3 (4)
|
560,230
|
|
5.000%, 11/01/24 (Pre-refunded 11/01/14)
|
|||||
1,000
|
North Carolina, Certificates of Participation, Repair and Renovation Project, Series 2004B,
|
6/14 at 100.00
|
AA+ (4)
|
1,105,620
|
|
5.000%, 6/01/20 (Pre-refunded 6/01/14)
|
|||||
400
|
Raleigh, North Carolina, General Obligation Bonds, Series 2002, 5.000%, 6/01/21
|
6/12 at 100.00
|
AAA
|
404,992
|
|
(Pre-refunded 6/01/12)
|
|||||
1,435
|
Rutherford County, North Carolina, Certificates of Participation, Series 2002, 5.000%, 9/01/21
|
9/12 at 101.00
|
A1 (4)
|
1,484,292
|
|
(Pre-refunded 9/01/12) – AMBAC Insured
|
|||||
University of North Carolina System, Pooled Revenue Refunding Bonds, Series 2002A:
|
|||||
265
|
5.000%, 4/01/27 (Pre-refunded 10/01/12) – AMBAC Insured
|
10/12 at 100.00
|
N/R (4)
|
272,505
|
|
610
|
5.000%, 4/01/27 (Pre-refunded 10/01/12) – AMBAC Insured
|
10/12 at 100.00
|
N/R (4)
|
627,464
|
|
585
|
5.000%, 4/01/27 (Pre-refunded 10/01/12) – AMBAC Insured
|
10/12 at 100.00
|
N/R (4)
|
601,678
|
|
16,290
|
Total U.S. Guaranteed
|
17,103,668
|
|||
Utilities – 13.9% (8.9% of Total Investments)
|
|||||
150
|
North Carolina Eastern Municipal Power Agency, Power System Revenue Bonds, Series 2003F,
|
1/13 at 100.00
|
A–
|
155,616
|
|
5.500%, 1/01/16
|
|||||
500
|
North Carolina Eastern Municipal Power Agency, Power System Revenue Bonds, Series 2005,
|
1/16 at 100.00
|
A–
|
566,180
|
|
5.250%, 1/01/20 – AMBAC Insured
|
|||||
1,400
|
North Carolina Eastern Municipal Power Agency, Power System Revenue Bonds, Series 2009B,
|
1/19 at 100.00
|
A–
|
1,570,520
|
|
5.000%, 1/01/26
|
|||||
North Carolina Eastern Municipal Power Agency, Power System Revenue Refunding Bonds,
|
|||||
Series 1993B:
|
|||||
1,210
|
5.500%, 1/01/17 – FGIC Insured
|
7/12 at 100.00
|
Baa1
|
1,214,453
|
|
95
|
6.000%, 1/01/22
|
No Opt. Call
|
A–
|
121,783
|
|
15
|
6.000%, 1/01/22 – FGIC Insured
|
No Opt. Call
|
Baa1
|
19,199
|
|
275
|
North Carolina Municipal Power Agency 1, Catawba Electric Revenue Bonds, Refunding Series
|
1/19 at 100.00
|
A
|
302,957
|
|
2009A, 5.000%, 1/01/30
|
|||||
2,665
|
North Carolina Municipal Power Agency 1, Catawba Electric Revenue Bonds, Series 2003A, 5.250%,
|
1/13 at 100.00
|
A
|
2,770,934
|
|
1/01/15 – AMBAC Insured
|
|||||
250
|
North Carolina Municipal Power Agency 1, Catawba Electric Revenue Bonds, Series 2008A,
|
1/18 at 100.00
|
A
|
293,280
|
|
5.250%, 1/01/20
|
|||||
1,400
|
Wake County Industrial Facilities and Pollution Control Financing Authority, North Carolina,
|
2/13 at 100.50
|
A1
|
1,419,502
|
|
Revenue Refunding Bonds, Carolina Power and Light Company, Series 2002, 5.375%, 2/01/17
|
|||||
7,960
|
Total Utilities
|
8,434,424
|
|||
Water and Sewer – 38.7% (24.8% of Total Investments)
|
|||||
2,000
|
Brunswick County, North Carolina, Enterprise System Revenue Bonds, Series 2008A, 5.000%,
|
4/18 at 100.00
|
AA–
|
2,228,700
|
|
4/01/31 – AGM Insured
|
|||||
425
|
Cape Fear Public Utility Authority, North Carolina, Water & Sewer System Revenue Bonds, Series
|
8/18 at 100.00
|
AA
|
496,651
|
|
2008, 5.000%, 8/01/28
|
|||||
Dare County, North Carolina, Utilities System Revenue Bonds, Series 2011:
|
|||||
1,320
|
5.000%, 2/01/36
|
2/21 at 100.00
|
AA
|
1,481,872
|
|
500
|
5.000%, 2/01/41
|
2/21 at 100.00
|
AA
|
555,620
|
|
300
|
Durham County, North Carolina, Enterprise System Revenue Bonds, Series 2002, 5.000%, 6/01/18 –
|
6/13 at 100.00
|
AA
|
315,480
|
|
NPFG Insured
|
|||||
3,050
|
Durham, North Carolina, Utility System Revenue Bonds, Refunding Series 2011, 5.000%, 6/01/41
|
6/21 at 100.00
|
AAA
|
3,443,596
|
|
1,535
|
Mooresville, North Carolina, Enterprise System Revenue Bonds, Refunding Series 2012, 5.000%,
|
5/22 at 100.00
|
AA–
|
1,832,821
|
|
5/01/28 (WI/DD, Settling 3/20/12)
|
|||||
600
|
Oak Island, North Carolina, Enterprise System Revenue Bonds, Series 2008A, 5.000%, 6/01/23 –
|
6/18 at 100.00
|
A2
|
665,064
|
|
NPFG Insured
|
|||||
Oak Island, North Carolina, Enterprise System Revenue Bonds, Series 2009A:
|
|||||
70
|
6.000%, 6/01/34 – AGC Insured
|
6/19 at 100.00
|
AA–
|
80,278
|
|
20
|
6.000%, 6/01/36 – AGC Insured
|
6/19 at 100.00
|
AA–
|
22,855
|
|
300
|
Oak Island, North Carolina, Enterprise System Revenue Bonds, Series 2011, 5.750%, 6/01/36 –
|
6/21 at 100.00
|
AA–
|
345,144
|
|
AGC Insured
|
|||||
500
|
Onslow County, North Carolina, Combined Enterprise System Revenue Bonds, Series 2004B, 5.000%,
|
6/14 at 100.00
|
A+
|
539,935
|
|
6/01/23 – SYNCORA GTY Insured
|
|||||
Raleigh, North Carolina, Combined Enterprise System Revenue Bonds, Series 2006A:
|
|||||
4,950
|
5.000%, 3/01/31 (UB)
|
3/16 at 100.00
|
AAA
|
5,532,071
|
|
3,000
|
5.000%, 3/01/36 (UB)
|
3/16 at 100.00
|
AAA
|
3,305,970
|
|
5
|
Raleigh, North Carolina, Combined Enterprise System Revenue Bonds, Series 2006A, Residuals
|
No Opt. Call
|
AAA
|
6,529
|
|
Series 11-R-645-2, 13.961%, 3/01/14 (IF)
|
|||||
2,375
|
Winston-Salem, North Carolina, Water and Sewer System Revenue Bonds, Series 2007A, 5.000%,
|
6/17 at 100.00
|
AAA
|
2,593,999
|
|
6/01/37 (UB)
|
|||||
20,950
|
Total Water and Sewer
|
23,446,585
|
|||
$ 92,085
|
Total Investments (cost $88,880,744) – 156.4%
|
94,712,145
|
|||
Floating Rate Obligations – (12.4)%
|
(7,480,000)
|
||||
MuniFund Term Preferred Shares, at Liquidation Value – (47.4)% (5)
|
(28,725,000)
|
||||
Other Assets Less Liabilities – 3.4%
|
2,037,695
|
||||
Net Assets Applicable to Common Shares – 100%
|
$ 60,544,840
|
Level 1
|
Level 2
|
Level 3
|
Total
|
|||||||||||||
Investments:
|
||||||||||||||||
Municipal Bonds
|
$ | — | $ | 94,712,145 | $ | — | $ | 94,712,145 |
Gross unrealized:
|
||||
Appreciation
|
$ | 5,899,332 | ||
Depreciation
|
(55,136 | ) | ||
Net unrealized appreciation (depreciation) of investments
|
$ | 5,844,196 |
(1)
|
All percentages shown in the Portfolio of Investments are based on net assets applicable to Common
|
|
shares unless otherwise noted.
|
||
(2)
|
Optional Call Provisions: Dates (month and year) and prices of the earliest optional call or redemption.
|
|
There may be other call provisions at varying prices at later dates. Certain mortgage-backed securities
|
||
may be subject to periodic principal paydowns.
|
||
(3)
|
Ratings: Using the highest of Standard & Poor’s Group (“Standard & Poor’s”), Moody’s Investors Service,
|
|
Inc. (“Moody’s”) or Fitch, Inc. (“Fitch”) rating. Ratings below BBB by Standard & Poor’s, Baa by Moody’s
|
||
or BBB by Fitch are considered to be below investment grade. Holdings designated N/R are not rated
|
||
by any of these national rating agencies.
|
||
(4)
|
Backed by an escrow or trust containing sufficient U.S. Government or U.S. Government agency securities,
|
|
which ensure the timely payment of principal and interest. Certain bonds backed by U.S. Government or
|
||
agency securities are regarded as having an implied rating equal to the rating of such securities.
|
||
(5)
|
MuniFund Term Preferred Shares, at Liquidation Value as a percentage of Total Investments is 30.3%.
|
|
N/R
|
Not rated.
|
|
WI/DD
|
Purchased on a when-issued or delayed delivery basis.
|
|
(IF)
|
Inverse floating rate investment.
|
|
(UB)
|
Underlying bond of an inverse floating rate trust reflected as a financing transaction.
|
a.
|
The registrant's principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrant's disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the "1940 Act") (17 CFR 270.30a-3(c))) are effective, as of a date within 90 days of the filing date of this report that includes the disclosure required by this paragraph, based on their evaluation of the controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rule 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934 (17 CFR 240.13a-15(b) or 240.15d-15(b)).
|
b.
|
There were no changes in the registrant's internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR 270.30a-3(d)) that occurred during the registrant's last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrant's internal control over financial reporting.
|
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