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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Helios Multi-Secto | NYSE:HMH | NYSE | Ordinary Share |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 6.04 | 0.00 | 01:00:00 |
Helios Multi-Sector High Income Fund, Inc.
Schedule of Investments (Unaudited)
December 31, 2013
|
||||||
Interest
Rate
|
Maturity
|
Principal
Amount (000s)
|
Value
|
|||
CORPORATE BONDS - 126.6%
|
|
|||||
Automotive - 6.6%
|
|
|||||
American Axle & Manufacturing, Inc.
|
6.25%
|
03/15/21
|
$ 475
|
$ |
504,688
|
|
American Axle & Manufacturing, Inc.
|
7.75
|
11/15/19
|
275
|
312,813
|
||
Chrysler Group LLC/CG Co-Issuer, Inc.
1
|
8.25
|
06/15/21
|
625
|
710,937
|
||
Ford Motor Co.
1
|
6.50
|
08/01/18
|
525
|
606,776
|
||
Jaguar Land Rover Automotive PLC
2,3,4
|
8.13
|
05/15/21
|
475
|
540,312
|
||
Motors Liquidation Co.
5,6
|
8.38
|
07/15/33
|
1,500
|
150
|
||
Servus Luxembourg Holding SCA
2,3,4
|
7.75
|
06/15/18
|
475
|
687,440
|
||
Total Automotive
|
|
3,363,116
|
||||
Banking - 0.7%
|
|
|||||
Bilbao Luxembourg SA
4,7
|
10.50
|
12/01/18
|
250
|
337,048
|
||
Total Banking
|
|
337,048
|
||||
Basic Industry - 22.5%
|
|
|||||
AK Steel Corp.
1
|
7.63
|
05/15/20
|
500
|
498,750
|
||
Alpha Natural Resources, Inc.
1
|
6.25
|
06/01/21
|
750
|
641,250
|
||
Arch Coal, Inc.
1
|
7.25
|
06/15/21
|
1,100
|
841,500
|
||
Associated Materials LLC/AMH New Finance, Inc.
1
|
9.13
|
11/01/17
|
625
|
667,187
|
||
Building Materials Corporation of America
2,3
|
6.75
|
05/01/21
|
300
|
324,750
|
||
Cascades, Inc.
1,4
|
7.75
|
12/15/17
|
625
|
651,562
|
||
FMG Resources August 2006 Property Ltd.
2,3,4
|
6.88
|
04/01/22
|
400
|
436,000
|
||
Georgia-Pacific LLC
|
7.25
|
6/1/2028
|
240
|
289,291
|
||
Georgia-Pacific LLC
|
7.38
|
12/01/25
|
285
|
351,684
|
||
Hexion US Finance Corp.
1
|
9.00
|
11/15/20
|
850
|
847,875
|
||
Huntsman International LLC
1
|
8.63
|
03/15/21
|
550
|
621,500
|
||
INEOS Group Holdings SA
1,2,3,4
|
6.13
|
08/15/18
|
700
|
703,500
|
||
Masonite International Corp.
1,2,3,4
|
8.25
|
04/15/21
|
625
|
687,500
|
||
Millar Western Forest Products Ltd.
|
8.50
|
04/01/21
|
325
|
333,937
|
||
Ply Gem Industries, Inc.
|
8.25
|
02/15/18
|
559
|
595,335
|
||
Steel Dynamics, Inc.
1
|
7.63
|
03/15/20
|
325
|
352,625
|
||
Tembec Industries, Inc.
1,4
|
11.25
|
12/15/18
|
625
|
684,375
|
||
Trinseo Materials Operating SCA/Trinseo
Materials Finance, Inc.
2,3,4
|
8.75
|
02/01/19
|
525
|
542,063
|
||
USG Corp.
1
|
9.75
|
01/15/18
|
675
|
798,188
|
||
Xerium Technologies, Inc.
|
8.88
|
06/15/18
|
525
|
551,250
|
||
Total Basic Industry
|
|
11,420,122
|
||||
Capital Goods - 10.2%
|
|
|||||
AAR Corp.
|
7.25
|
01/15/22
|
225
|
240,750
|
||
AAR Corp.
2,3
|
7.25
|
01/15/22
|
125
|
133,750
|
||
Ardagh Packaging Finance PLC
2,3,4
|
7.00
|
11/15/20
|
675
|
681,750
|
||
Berry Plastics Corp.
1
|
9.50
|
05/15/18
|
625
|
670,312
|
||
Coleman Cable, Inc.
|
9.00
|
02/15/18
|
300
|
315,000
|
||
Crown Cork & Seal Company, Inc.
1
|
7.38
|
12/15/26
|
775
|
856,375
|
||
Mueller Water Products, Inc.
1
|
7.38
|
06/01/17
|
625
|
640,625
|
||
Reynolds Group Issuer, Inc./Reynolds Group Issuer LLC
1
|
9.00
|
04/15/19
|
625
|
670,313
|
||
Tekni-Plex, Inc.
2,3
|
9.75
|
06/01/19
|
253
|
287,155
|
||
Terex Corp.
|
6.50
|
04/01/20
|
225
|
240,750
|
||
Terex Corp.
|
6.00
|
05/15/21
|
425
|
439,344
|
||
Total Capital Goods
|
|
5,176,124
|
||||
Consumer Cyclical - 7.9%
|
|
|||||
ACCO Brands Corp.
|
6.75
|
04/30/20
|
675
|
666,563
|
||
DineEquity, Inc.
1
|
9.50
|
10/30/18
|
600
|
666,000
|
||
Levi Strauss & Co.
1
|
7.63
|
05/15/20
|
675
|
740,812
|
||
Limited Brands, Inc.
|
7.60
|
07/15/37
|
375
|
381,094
|
||
Limited Brands, Inc.
|
8.50
|
06/15/19
|
250
|
300,000
|
||
Michaels Stores, Inc.
|
7.75
|
11/01/18
|
475
|
515,375
|
||
New Albertsons, Inc.
|
7.75
|
06/15/26
|
600
|
486,000
|
||
Sally Holdings LLC/Sally Capital, Inc.
|
6.88
|
11/15/19
|
250
|
276,250
|
||
Total Consumer Cyclical
|
|
4,032,094
|
||||
Consumer Non-Cyclical – 2.2%
|
|
|||||
C&S Group Enterprises LLC
2,3
|
8.38
|
05/01/17
|
534
|
566,040
|
||
Easton-Bell Sports, Inc.
1
|
9.75
|
12/01/16
|
525
|
549,943
|
||
Total Consumer Non-Cyclical
|
|
1,115,983
|
||||
Energy - 17.5%
|
|
|||||
AmeriGas Partners LP
|
7.00
|
05/20/22
|
325
|
352,625
|
||
Atlas Pipeline Partners LP/Atlas Pipeline Finance Corp.
2,3
|
5.88
|
08/01/23
|
725
|
690,563
|
BreitBurn Energy Partners LP/BreitBurn Finance Corp.
1
|
8.63
|
10/15/20
|
625
|
671,875
|
||
Calfrac Holdings LP
1,2,3
|
7.50
|
12/01/20
|
650
|
663,000
|
||
Crosstex Energy LP/Crosstex Energy Finance Corp.
1
|
8.88
|
02/15/18
|
550
|
578,187
|
||
EV Energy Partners LP/EV Energy Finance Corp.
1
|
8.00
|
04/15/19
|
625
|
628,125
|
||
GMX Resources, Inc.
1,6
|
11.00
|
12/01/17
|
233
|
205,084
|
||
Hilcorp Energy I LP/Hilcorp Finance Co.
1,2,3
|
8.00
|
02/15/20
|
675
|
730,687
|
||
Key Energy Services, Inc.
|
6.75
|
03/01/21
|
375
|
384,375
|
||
Linn Energy LLC/Linn Energy Finance Corp.
1
|
8.63
|
04/15/20
|
660
|
712,800
|
||
Niska Gas Storage US LLC/Niska Gas Storage Canada ULC
1
|
8.88
|
03/15/18
|
600
|
624,000
|
||
Pioneer Natural Resources Co.
|
6.65
|
03/15/17
|
400
|
456,077
|
||
Precision Drilling Corp.
4
|
6.63
|
11/15/20
|
225
|
240,187
|
||
RKI Exploration & Production LLC
2,3
|
8.50
|
08/01/21
|
450
|
473,625
|
||
Trinidad Drilling Ltd.
1,2,3,4
|
7.88
|
01/15/19
|
625
|
664,063
|
||
Venoco, Inc.
|
8.88
|
02/15/19
|
600
|
591,000
|
||
W&T Offshore, Inc.
|
8.50
|
06/15/19
|
220
|
232,650
|
||
Total Energy
|
|
8,898,923
|
||||
Finance & Investment - 0.9%
|
|
|||||
Numericable Finance & Company SCA
|
12.38
|
02/15/19
|
276
|
463,647
|
||
Total Finance & Investment
|
|
463,647
|
||||
Healthcare - 9.0%
|
|
|||||
CHS/Community Health Systems, Inc.
|
7.13
|
07/15/20
|
675
|
700,313
|
||
DJO Finance LLC/DJO Finance Corp.
|
9.88
|
04/15/18
|
475
|
510,625
|
||
HCA, Inc.
1
|
8.00
|
10/01/18
|
625
|
738,281
|
||
inVentiv Health, Inc.
2,3
|
11.00
|
08/15/18
|
245
|
216,212
|
||
Jaguar Holding Company II/Jaguar Merger Sub, Inc.
1,2,3
|
9.50
|
12/01/19
|
625
|
703,125
|
||
Kindred Healthcare, Inc.
1
|
8.25
|
06/01/19
|
650
|
692,250
|
||
Polymer Group, Inc.
1
|
7.75
|
02/01/19
|
600
|
639,750
|
||
Service Corporation International
1
|
6.75
|
04/01/16
|
325
|
354,250
|
||
Total Healthcare
|
|
4,554,806
|
||||
Media - 8.9%
|
|
|||||
Cablevision Systems Corp.
1
|
8.63
|
09/15/17
|
750
|
873,750
|
||
CCO Holdings LLC/CCO Holdings Capital Corp.
1
|
8.13
|
04/30/20
|
675
|
732,375
|
||
Cenveo Corp.
1
|
8.88
|
02/01/18
|
675
|
675,000
|
||
Clear Channel Communications, Inc.
1
|
9.00
|
03/01/21
|
650
|
656,500
|
||
Cumulus Media Holdings, Inc.
1
|
7.75
|
05/01/19
|
650
|
685,750
|
||
Mediacom LLC/Mediacom Capital Corp.
1
|
9.13
|
08/15/19
|
625
|
675,781
|
||
National CineMedia LLC
|
6.00
|
04/15/22
|
225
|
232,313
|
||
Total Media
|
|
4,531,469
|
||||
Real Estate - 1.4%
|
|
|||||
Realogy Corp.
1,2,3
|
7.88
|
02/15/19
|
625
|
685,938
|
||
Total Real Estate
|
|
685,938
|
||||
Services - 21.1%
|
|
|||||
AMC Entertainment, Inc.
1
|
8.75
|
06/01/19
|
600
|
641,250
|
||
Avis Budget Car Rental LLC/Avis Budget Finance, Inc.
1
|
8.25
|
01/15/19
|
625
|
681,250
|
||
Avis Budget Car Rental LLC/Avis Budget Finance, Inc.
|
5.50
|
04/01/23
|
350
|
339,063
|
||
Boyd Gaming Corp.
1
|
9.00
|
07/01/20
|
650
|
711,750
|
||
Casella Waste Systems, Inc.
1
|
7.75
|
02/15/19
|
825
|
845,625
|
||
Chester Downs & Marina LLC
1,2,3
|
9.25
|
02/01/20
|
700
|
701,750
|
||
GLP Capital LP/GLP Financing II, Inc.
2,3
|
5.38
|
11/01/23
|
400
|
393,000
|
||
Iron Mountain, Inc.
1
|
8.38
|
08/15/21
|
275
|
296,312
|
• Level 1
-
|
quoted prices in active markets for identical assets or liabilities
|
• Level 2
-
|
quoted prices in markets that are not active or other significant observable inputs (including, but not limited to: quoted prices for similar assets or liabilities, quoted prices based on recently executed transactions, interest rates, credit risk, etc.)
|
• Level 3
-
|
significant unobservable inputs (including each Fund’s own assumptions in determining the fair value of assets or liabilities)
|
Valuation Inputs
|
Level 1
|
Level 2
|
Level 3
|
Total
|
||||||||||||
Corporate Bonds
|
$ | - | $ | 79,127,661 | $ | 175 | $ | 79,127,836 | ||||||||
Term Loans
|
- | 1,942,746 | - | 1,942,746 | ||||||||||||
Common Stocks
|
1,104,751 | - | - | 1,104,751 | ||||||||||||
Warrants
|
401,366 | - | - | 401,366 | ||||||||||||
Total
|
$ | 1,506,117 | $ | 81,070,407 | $ | 175 | $ | 82,576,699 |
Valuation Inputs
|
Other Financial
Instruments*
|
|||||||||||||||
Level 1 - Quoted Prices
|
$ | (63,488 | ) | |||||||||||||
Level 2 - Quoted Prices in Inactive Markets or Other Significant Observable Inputs
|
- | |||||||||||||||
Level 3 - Significant Unobservable Inputs
|
- | |||||||||||||||
Total
|
$ | (63,488 | ) | |||||||||||||
* Other financial instruments includes forward foreign currency contracts
|
Valuation Inputs
|
Corporate
Bonds
|
Total
|
||||||
Balance as of March 31, 2013
|
$ | 200 | $ | 200 | ||||
Accrued Discounts (Premiums)
|
- | - | ||||||
Realized Gain/(Loss)
|
(25 | ) | (25 | ) | ||||
Change in Unrealized Appreciation (Depreciation)
|
- | - | ||||||
Purchases at cost
|
- | - | ||||||
Sales proceeds
|
- | - | ||||||
Transfers out of Level 3
|
- | - | ||||||
Balance as of December 31, 2013
|
$ | 175 | $ | 175 | ||||
Change in unrealized gains or losses relating to assets still held at reporting date
|
$ | - | $ | - | ||||
Valuation Inputs
|
Level 1
|
Level 2
|
Level 3
|
Total
|
||||||||||||
Corporate Bonds
|
$ | - | $ | 57,433,614 | $ | 125 | $ | 57,433,739 | ||||||||
Term Loans
|
- | 1,440,500 | - | 1,440,500 | ||||||||||||
Common Stocks
|
796,298 | - | - | 796,298 | ||||||||||||
Warrants
|
301,092 | - | - | 301,092 | ||||||||||||
Total
|
$ | 1,097,390 | $ | 58,874,114 | $ | 125 | $ | 59,971,629 | ||||||||
Valuation Inputs
|
Other Financial
Instruments*
|
|||||||||||||||
Level 1 - Quoted Prices
|
$ | (44,486 | ) | |||||||||||||
Level 2 - Quoted Prices in Inactive Markets or Other Significant Observable Inputs
|
- | |||||||||||||||
Level 3 - Significant Unobservable Inputs
|
- | |||||||||||||||
Total
|
$ | (44,486 | ) | |||||||||||||
* Other financial instruments includes forward foreign currency contracts
|
Valuation Inputs
|
Residential
Mortgage-
Backed
Securities
|
Corporate
Bonds
|
Total
|
|||||||||||||
Balance as of March 31, 2013
|
$ | 37,162 | $ | 150 | $ | 37,312 | ||||||||||
Accrued Discounts (Premiums)
|
- | - | - | |||||||||||||
Realized Gain/(Loss)
|
120,571 | (25 | ) | 120,546 | ||||||||||||
Change in Unrealized Appreciation (Depreciation)
|
- | - | - | |||||||||||||
Purchases at cost
|
- | - | - | |||||||||||||
Sales proceeds
|
(157,733 | ) | - | (157,733 | ) | |||||||||||
Transfers out of Level 3
|
- | - | - | |||||||||||||
Balance as of December 31, 2013
|
$ | - | $ | 125 | $ | 125 | ||||||||||
Change in unrealized gains or losses relating to assets still held
at reporting date
|
$ | - | $ | - | $ | - | ||||||||||
Valuation Inputs
|
Level 1
|
Level 2
|
Level 3
|
Total
|
||||||||||||
Corporate Bonds
|
$ | - | $ | 64,313,086 | $ | 150 | $ | 64,313,236 | ||||||||
Term Loans
|
- | 1,608,123 | - | 1,608,123 | ||||||||||||
Common Stocks
|
896,670 | - | - | 896,670 | ||||||||||||
Warrants
|
351,202 | - | - | 351,202 | ||||||||||||
Total
|
$ | 1,247,872 | $ | 65,921,209 | $ | 150 | $ | 67,169,231 | ||||||||
Valuation Inputs
|
Residential
Mortgage-
Backed
Securities
|
Corporate
Bonds
|
Total
|
|||||||||||||
Balance as of March 31, 2013
|
$ | 37,162 | $ | 175 | $ | 37,337 | ||||||||||
Accrued Discounts (Premiums)
|
- | - | - | |||||||||||||
Realized Gain/(Loss)
|
120,571 | (25 | ) | 120,546 | ||||||||||||
Change in Unrealized Appreciation (Depreciation)
|
- | - | - | |||||||||||||
Purchases at cost
|
- | - | - | |||||||||||||
Sales proceeds
|
(157,733 | ) | - | (157,733 | ) | |||||||||||
Transfers out of Level 3
|
- | - | - | |||||||||||||
Balance as of December 31, 2013
|
$ | - | $ | 150 | $ | 150 | ||||||||||
Change in unrealized gains or losses relating to assets still held
at reporting date
|
$ | - | $ | - | $ | - | ||||||||||
Valuation Inputs
|
Level 1
|
Level 2
|
Level 3
|
Total
|
||||||||||||
Commercial Mortgage-Backed Securities
|
$ | - | $ | 1,542,552 | $ | - | $ | 1,542,552 | ||||||||
Corporate Bonds
|
- | 50,751,023 | 125 | 50,751,148 | ||||||||||||
Term Loans
|
- | 1,066,978 | - | 1,066,978 | ||||||||||||
Common Stocks
|
2,925,884 | - | - | 2,925,884 | ||||||||||||
Warrants
|
301,092 | - | - | 301,092 | ||||||||||||
Total
|
$ | 3,226,976 | $ | 53,360,553 | $ | 125 | $ | 56,587,654 | ||||||||
Valuation Inputs
|
Corporate Bonds
|
Total
|
||||||||||||||
Balance as of March 31, 2013
|
$ | 150 | $ | 150 | ||||||||||||
Accrued Discounts (Premiums)
|
- | - | ||||||||||||||
Realized Gain/(Loss)
|
(25 | ) | (25 | ) | ||||||||||||
Change in Unrealized Appreciation (Depreciation)
|
- | - | ||||||||||||||
Purchases at cost
|
- | - | ||||||||||||||
Sales proceeds
|
- | - | ||||||||||||||
Transfers out of Level 3
|
- | - | ||||||||||||||
Balance as of December 31, 2013
|
$ | 125 | $ | 125 | ||||||||||||
Change in unrealized gains or losses relating to assets still held
at reporting date
|
$ | - | $ | - | ||||||||||||
Settlement
Date
|
Currency to
be Delivered
|
U.S. $
Value at
December 31, 2013
|
Currency to
be Received
|
U.S. $
Value at
December 31, 2013
|
Unrealized
Depreciation
|
|||||||||||||||||
01/13/14
|
2,185,000 |
Euros
|
$ | 3,005,869 | 2,943,331 |
U.S. Dollars
|
$ | 2,943,331 | $ | (62,538 | ) | |||||||||||
01/13/14
|
282,965 |
U.S.
Dollars
|
282,965 | 205,000 |
Euros
|
282,015 | (950 | ) | ||||||||||||||
$ | (63,488 | ) | ||||||||||||||||||||
Settlement
Date
|
Currency to
be Delivered
|
U.S. $
Value at
December 31, 2013
|
Currency to
be Received
|
U.S. $
Value at
December 31, 2013
|
Unrealized
Depreciation
|
|||||||||||||||||
01/13/14
|
1,530,000 |
Euros
|
$ | 2,104,796 | 2,061,005 |
U.S. Dollars
|
$ | 2,061,005 | $ | (43,791 | ) | |||||||||||
01/13/14
|
207,047 |
U.S.
Dollars
|
207,047 | 150,000 |
Euros
|
206,352 | (695 | ) | ||||||||||||||
$ | (44,486 | ) | ||||||||||||||||||||
Settlement
Date
|
Currency to
be Delivered
|
U.S. $
Value at
December 31, 2013
|
Currency to
be Received
|
U.S. $
Value at
December 31, 2013
|
Unrealized
Depreciation
|
|||||||||||||||||
01/13/14
|
1,790,000 |
Euros
|
$ | 2,462,474 | 2,411,241 |
U.S. Dollars
|
$ | 2,411,241 | $ | (51,233 | ) | |||||||||||
01/13/14
|
227,752 |
U.S.
Dollars
|
227,752 | 165,000 |
Euros
|
226,988 | (764 | ) | ||||||||||||||
$ | (51,997 | ) | ||||||||||||||||||||
Helios
Advantage
Income Fund,
Inc.
|
Helios High
Income Fund,
Inc.
|
Helios Multi-
Sector High
Income Fund, Inc.
|
Helios Strategic
Income Fund,
Inc.
|
|
Total line of credit amount available
|
$27,000,000
|
$19,000,000
|
$22,000,000
|
$18,000,000
|
Line of credit outstanding at December 31, 2013
|
21,100,000
|
16,650,000
|
17,900,000
|
15,250,000
|
Line of credit amount unused at December 31, 2013
|
5,900,000
|
2,350,000
|
4,100,000
|
2,750,000
|
Average balance outstanding during the period
|
23,369,091
|
17,326,364
|
19,558,182
|
16,599,091
|
Interest expense incurred on line of credit during the period
|
209,240
|
149,832
|
171,727
|
146,819
|
Fund
|
Cost of
Investments
|
Gross Unrealized
Appreciation
|
Gross Unrealized
Depreciation
|
Net Unrealized
Appreciation
|
Helios Advantage Income Fund, Inc.
|
$ 78,547,602
|
$ 4,840,138
|
$ (811,041)
|
$ 4,029,097
|
Helios High Income Fund, Inc.
|
57,096,339
|
3,514,561
|
(639,271)
|
2,875,290
|
Helios Multi-Sector High Income Fund, Inc.
|
63,939,613
|
3,908,222
|
(678,604)
|
3,229,618
|
Helios Strategic Income Fund, Inc.
|
53,930,072
|
3,721,998
|
(1,064,416)
|
2,657,582
|
1 Year Helios Multi-Secto Chart |
1 Month Helios Multi-Secto Chart |
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