AbbVie Inc. COM

0001398344-20-017459.txt : 20200827 0001398344-20-017459.hdr.sgml : 20200827 20200827161913 ACCESSION NUMBER: 0001398344-20-017459 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200827 PERIOD START: 20200930 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ICON FUNDS CENTRAL INDEX KEY: 0001025770 IRS NUMBER: 752676133 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-07883 FILM NUMBER: 201143089 BUSINESS ADDRESS: STREET 1: 5299 DTC BOULEVARD STREET 2: SUITE 1200 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 BUSINESS PHONE: 3037901600 MAIL ADDRESS: STREET 1: 5299 DTC BOULEVARD STREET 2: SUITE 1200 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111

0001025770 S000005059 ICON Risk-Managed Balanced Fund

C000013839 Class C IOCCX

C000013840 Class S IOCZX

C000033810 Class A IOCAX

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COM 00287Y109 4561 NS USD 447798.98 1.8215095008 Long EC CORP US N 1 N N N AIR LEASE CORP 5493004NW4M4P8TMMK63 Air Lease Corporation CL A 00912X302 9485 NS USD 277815.65 1.1300692242 Long EC CORP US N 1 N N N AKERBP 5 7/8 03/31/25 549300NFTY73920OYK69 AKERBP 5.875 03/31/25 144A 00973RAC7 100000 PA USD 101635.07 0.4134204272 Long DBT CORP NO Y 2 2025-03-31 Fixed 5.875 N N N N N N ARGO 6 1/2 N/A Argo Group US, Inc. 6.5% SENIOR UNSECURED FIXED RATE NOTES DUE 2042 040130205 5900 NS USD 150509 0.6122246492 Long EP CORP US N 1 N N N AVTCAP 6 1/2 05/15/21 54930056OEYSV06OMD90 AVTCAP 6.5 05/15/21 144A 05351CAA5 150000 PA USD 111000 0.4515141026 Long DBT CORP LU Y 2 2021-05-15 Fixed 6.5 N N N N N N BEST BUY CO INC HL5XPTVRV0O8TUN5LL90 BEST BUY INC COM 086516101 7400 NS USD 645798 2.6269090488 Long EC CORP US N 1 N N N BHCCN 7 03/15/24 B3BS7ACMDUWISF18KY76 BHCCN 7 03/15/24 144A 91911KAK8 100000 PA USD 103750 0.4220233166 Long DBT CORP CA Y 2 2024-03-15 Fixed 7 N N N N N N BLACKROCK NY MUN EVL8NBXMMP00TWWZBK98 BLACKROCK NEW YORK MUN BD TR COM 09249P106 9915 NS USD 155764.65 0.6336030284 Long EC CORP US N 1 N N N BLRK-NY MU O-A N/A BLRK-NY MU O-A 09253A821 21828.9122 NS USD 236625.41 0.9625199067 Long EC CORP US N 1 N N N BMCAUS 5 3/8 11/15/24 N/A BMCAUS 5 3/8 11/15/24 120111BM0 100000 PA USD 102750 0.417955622 Long DBT CORP US Y 2 2024-11-15 Fixed 5.375 N N N N N N BRANDYWINEGLOBAL 549300P4CDQCJBGI0833 Brandywinegbl Gbl Incm Opp Fd Inc COM 10537L104 4832 NS USD 55761.28 0.2268198585 Long EC CORP US N 1 N N N BRISTOL-MYER SQB HLYYNH7UQUORYSJQCN42 Bristol-Myers Squibb Company COM 110122108 22000 NS USD 1293600 5.2619697575 Long EC CORP US N 1 N N N CAG 7 1/8 10/01/26 54930035UDEIH090K650 CAG 7.125 10/01/26 205887AF9 175000 PA USD 219608.91 0.8933019812 Long DBT CORP US N 2 2026-10-01 Fixed 7.125 N N N N N N CENT 6 1/8 11/15/23 5493004DVZLD37DJ0H83 CENT 6.125 11/15/23 153527AL0 260000 PA USD 265200 1.0787526126 Long DBT CORP US N 2 2023-11-15 Fixed 6.125 N N N N N N CSCHLD 10 7/8 10/15/25 3HG2WD2W22M120IUNG49 CSCHLD 10.875 10/15/25 144A 64072TAA3 200000 PA USD 215000 0.8745543428 Long DBT CORP US Y 2 2025-10-15 Fixed 10.875 N N N N N N DUFF &PH UTIL&CP 549300QV29DQ04EL0A12 Duff & Phelps Utility and Corporate Bond Trust Inc. COM 26432K108 46372 NS USD 433578.2 1.7636637105 Long EC CORP US N 1 N N N EASTMAN CHEMICAL FDPVHDGJ1IQZFK9KH630 Eastman Chemical Company COM 277432100 7000 NS USD 487480 1.9829197723 Long EC CORP US N 1 N N N EATON VAN CA MUN 5493000EWT76UUJKIW67 EATON VANCE CALIF MUN INCOME TR SH BEN INT 27826F101 8260 NS USD 108866.8 0.4428368964 Long EC CORP US N 1 N N N EATON VANCE FLOA 549300FS3DS8EW3OQA12 Eaton Vance Floating Rate Income Plus Fund COM SHS BEN INT 278284104 5900 NS USD 81597 0.3319116777 Long EC CORP US N 1 N N N EQIX 5 7/8 01/15/26 N/A EQIX 5 7/8 01/15/26 29444UAQ9 200000 PA USD 210480 0.8561683631 Long DBT CORP US N 2 2026-01-15 Fixed 5.875 N N N N N N ESCROW MORAINE WASTERV N/A ESCROW MORAINE 616ESC992 43843 NS USD 0 0 Long EC CORP US N N/A N N N FIRST TR ABRD GL 2HCZRZBY990FDYBUS727 First Trust/Aberde COM SHS 337319107 23882 NS USD 236909.44 0.963675254 Long EC CORP US N 1 N N N FL 8 1/2 01/15/22 549300X383CBNP6MTV94 FL 8.5 01/15/22 980883AC6 150000 PA USD 156000 0.6345603604 Long DBT CORP US N 2 2022-01-15 Fixed 8.5 N N N N N N GBLATL 8 5/8 04/15/21 N/A GBLATL 8.625 04/15/21 144A 34628TAB3 100000 PA USD 104642.35 0.4256531239 Long DBT CORP US Y 2 2021-04-15 Fixed 8.625 N N N N N N GRAPHIC PACKAGIN N/A Graphic Packaging Holding Company COM 388689101 25667 NS USD 359081.33 1.4606331934 Long EC CORP US N 1 N N N HUBBELL INC 54930088VDQ6840Y6597 Hubbell Incorporated COM 443510607 6200 NS USD 777232 3.1615424232 Long EC CORP US N 1 N N N INTL PAPER CO 824LMFJDH41EY779Q875 International Paper Company COM 460146103 11900 NS USD 418999 1.7043599771 Long EC CORP US N 1 N N N JPM FLOAT PERP 8I5DZWZKVSZI1NUHU748 JPM V0 PERP I 46625HHA1 170000 PA USD 154751 0.6294798098 Long DBT CORP US N 2 2500-12-31 Floating 4.23013 N N N N N N JPMORGAN CHASE 8I5DZWZKVSZI1NUHU748 JPMorgan Chase & Co. COM 46625H100 6353 NS USD 597563.18 2.4307045311 Long EC CORP US N 1 N N N JUNIPER NETWORKS AUHIXNGG7U2U7JEHM527 Juniper Networks COM 48203R104 30700 NS USD 701802 2.8547162181 Long EC CORP US N 1 N N N KEYCORP RKPI3RZGV1V1FJTH5T61 KEYCORP COM 493267108 21031 NS USD 256157.58 1.0419708095 Long EC CORP US N 1 N N N LINCOLN NATL CRP EFQMQROEDSNBRIP7LE47 Lincoln National Corporation COM 534187109 12700 NS USD 467233 1.9005611593 Long EC CORP US N 1 N N N MAGNA INTL 95RWVLFZX6VGDZNNTN43 Magna International Inc COM 559222401 11300 NS USD 503189 2.046819187 Long EC CORP CA N 1 N N N MARATHON PETROLE 3BNYRYQHD39K4LCKQF12 Marathon Petroleum Company COM 56585A102 5146 NS USD 192357.48 0.7824514861 Long EC CORP US N 1 N N N MASTERCARD INC-A AR5L2ODV9HN37376R084 MasterCard Incorporated CL A 57636Q104 2029 NS USD 599975.3 2.4405162986 Long EC CORP US N 1 N N N MPLX 6 1/4 10/15/22 5493000CZJ19CK4P3G36 MPLX 6.25 10/15/22 55336VBJ8 314000 PA USD 317615.1 1.2919612328 Long DBT CORP US N 2 2022-10-15 Fixed 6.25 N N N N N N MPLX 6 3/8 05/01/24 5493000CZJ19CK4P3G36 MPLX 6.375 05/01/24 55336VBL3 400000 PA USD 413009.08 1.6799948118 Long DBT CORP US N 2 2024-05-01 Fixed 6.375 N N N N N N MPW 6 3/8 03/01/24 WUQXXXF7PXTUPGROE843 MPW 6.375 03/01/24 55342UAF1 234000 PA USD 241020 0.9803957568 Long DBT CORP US N 2 2024-03-01 Fixed 6.375 N N N N N N NETAPP INC QTX3D84DZDD5JYOCYH15 NetApp Inc. COM 64110D104 11500 NS USD 510255 2.0755615172 Long EC CORP US N 1 N N N NEXSTAR MEDIA-A 52990083ZRR5UT591988 Nexstar Media Group Inc CL A 65336K103 8800 NS USD 736472 2.9957431905 Long EC CORP US N 1 N N N NORTHROP GRUMMAN RIMU48P07456QXSO0R61 Northrop Grumman Corporation COM 666807102 2400 NS USD 737856 3.0013728799 Long EC CORP US N 1 N N N NUV NY VAL FD 2 549300TFLBQ7LJSP8B20 Nuveen New York Municipal Value Fund 2 COM 670706100 3171 NS USD 43220.73 0.1758087308 Long EC CORP US N 1 N N N PACKAGING CORP 549300XZP8MFZFY8TJ84 Packaging Corporation of America COM 695156109 5600 NS USD 558880 2.273353168 Long EC CORP US N 1 N N N PFG Float 05/15/55 CUMYEZJOAF02RYZ1JJ85 PFG V0 05/15/55 74251VAL6 250000 PA USD 224050 0.9113669791 Long DBT CORP US N 2 2055-05-15 Floating 3.43638 N N N N N N PIONEER DIVERSIFIED HIGH GRH7C46DLKO4V5KVBT29 Pioneer Diversifie COM 723653101 13855 NS USD 166481.68 0.6771966337 Long EC CORP US N 1 N N N PRU 5 7/8 09/15/42 5PRBRS5FEH7NREC8OR45 PRU V5.875 09/15/42 744320AL6 250000 PA USD 266100 1.0824135378 Long DBT CORP US Y 2 2042-09-15 Fixed 5.875 N N N N N N PRU 8.3 07/01/25 X574KRZ6V5A7UBU45C31 PRU 8.3 07/01/25 144A 743917AH9 150000 PA USD 194640.45 0.7917379109 Long DBT CORP US Y 2 2025-07-01 Fixed 8.3 N N N N N N PRUDENTL FINL 5PRBRS5FEH7NREC8OR45 Prudential Financial, Inc. COM 744320102 14200 NS USD 864780 3.5176609515 Long EC CORP US N 1 N N N QUALCOMM INC H1J8DDZKZP6H7RWC0H53 QUALCOMM Incorporated COM 747525103 9300 NS USD 848253 3.4504341626 Long EC CORP US N 1 N N N RAYTHEON TECHNOL I07WOS4YJ0N7YRFE7309 Raytheon Technologies Corporation COM 75513E101 12171 NS USD 749977.02 3.0506774877 Long EC CORP US N 1 N N N RENT-A-CENTER 529900QUHE15UQNCCJ63 Rent-A-Center, Inc. COM 76009N100 30800 NS USD 856856 3.4854285394 Long EC CORP US N 1 N N N RLNCE 6 1/2 04/01/23 549300F3NZL11SQLVG51 RLNCE 6.5 04/01/23 144A 75947TAB0 101000 PA USD 101505 0.4128913422 Long DBT CORP CA Y 2 2023-04-01 Fixed 6.5 N N N N N N SIGNATURE BANK VLP5AP0XK2GM6GKD1007 Signature Bank COM 82669G104 4102 NS USD 438585.84 1.7840332608 Long EC CORP US N 1 N N N SILSEA 7 1/4 02/01/25 N/A SILSEA 7.25 02/01/25 144A 82845LAA8 150000 PA USD 141375 0.5750703266 Long DBT CORP BS Y 2 2025-02-01 Fixed 7.25 N N N N N N SMITH (A.O.)CORP 549300XG4US7UJNECY36 Smith(Ao)Corp COM 831865209 13507 NS USD 636449.84 2.5888835886 Long EC CORP US N 1 N N N SSB SWEEP N/A SSB SWEEP N/A 236848.22 NS USD 236848.22 0.9634262297 Long STIV CORP US N 1 N N N T 6.45 06/15/34 549300Z40J86GGSTL398 T 6.45 06/15/34 78387GAM5 100000 PA USD 129853.09 0.5282027153 Long DBT CORP US N 2 2034-06-15 Fixed 6.45 N N N N N N TCKBCN 6 1/8 10/01/35 T8KI5SQ2JRWHL7XY0E11 TCKBCN 6.125 10/01/35 878742AE5 100000 PA USD 113499.79 0.4616824849 Long DBT CORP CA N 2 2035-10-01 Fixed 6.125 N N N N N N TDG 6 1/2 07/15/24 88Q84GB3X55CF5OC7582 TDG 6.5 07/15/24 893647AX5 100000 PA USD 95479 0.3883794144 Long DBT CORP US N 2 2024-07-15 Fixed 6.5 N N N N N N TEVCN 7 5/8 12/01/21 N/A TEVCN 7.625 12/01/21 144A 88158UAA6 150000 PA USD 117750 0.4789710412 Long DBT CORP CA Y 2 2021-12-01 Fixed 7.625 N N N N N N TEXAS INSTRUMENT WDJNR2L6D8RWOEB8T652 Texas Instruments Incorporated COM 882508104 5600 NS USD 711032 2.8922610395 Long EC CORP US N 1 N N N THE OPTIONS CLEARING CORPORATION 549300CII6SLYGKNHA04 SPXW US 07/31/20 P2700 90A994YO5 10 NC USD 15700 0.0638628055 Long DE CORP US N 1 Dash Financial Technologies 549300VYG4AYVBIDN394 Put Purchased S&P 500 INDEX CBOE S&P 500 INDEX 100 2700 USD 2020-07-31 XXXX -81518.89 N N N UAN 9 1/4 06/15/23 529900LE0OS06MYQRP11 UAN 9.25 06/15/23 144A 12663QAA3 200000 PA USD 196000 0.7972681451 Long DBT CORP US Y 2 2023-06-15 Fixed 9.25 N N N N N N UNION PAC CORP 549300LMMRSZZCZ8CL11 Union Pacific Corporation COM 907818108 6029 NS USD 1019323.03 4.1462948029 Long EC CORP US N 1 N N N USG 5 1/2 03/01/25 FP4Y9QGZ4D2KY6M7GL79 USG 5.5 03/01/25 144A 903293BD9 175000 PA USD 175875 0.7154057909 Long DBT CORP US Y 2 2025-03-01 Fixed 5.5 N N N N N N VIACOMCBS INC-B 5KYC8KF17ROCY24M3H09 ViacomCBS Inc CL B 92556H206 29800 NS USD 694936 2.8267874269 Long EC CORP US N 1 N N N WESTERN ASSET GLOBAL HIGH 549300JWVV1XIQ66WD13 Western Asset Glb COM 95766B109 5000 NS USD 46250 0.1881308761 Long EC CORP US N 1 N N N WHIRLPOOL CORP WHENKOULSSK7WUM60H03 Whirlpool Corporation COM 963320106 5900 NS USD 764227 3.1086420546 Long EC CORP US N 1 N N N 2020-08-27 ICON FUNDS /s/ Jack Quillin Jack Quillin CCO XXXX NPORT-EX 2 fp0055837_nportex.htm

ICON Risk-Managed Balanced Fund

Portfolio of Investments (Unaudited)

6/30/2020

	Shares		Value
Common Stock (73.85%)

Basic Materials (3.70%)
Eastman Chemical Co		7,000		487,480
International Paper Co		11,900		418,999
Total Basic Materials				906,479

Communications (8.68%)
Juniper Networks Inc		30,700		701,802
Nexstar Media Group Inc		8,800		736,472
ViacomCBS Inc		29,800		694,936
Total Communications				2,133,210

Consumer, Cyclical (7.78%)
Best Buy Co Inc		7,400		645,798
Magna International Inc		11,300		503,189
Whirlpool Corp		5,900		764,227
Total Consumer, Cyclical				1,913,214

Consumer, Non-Cyclical (10.57%)
AbbVie Inc		4,561		447,799
Bristol-Myers Squibb Co		22,000		1,293,600
Rent-A-Center Inc		30,800		856,856
Total Consumer, Non-Cyclical				2,598,255

Energy (0.77%)
Marathon Petroleum Corp		5,146		192,357

Financial (14.25%)
Air Lease Corp		9,485		277,816
JPMorgan Chase & Co		6,353		597,563
KeyCorp		21,031		256,158
Lincoln National Corp		12,700		467,233
Mastercard Inc		2,029		599,975
Prudential Financial Inc		14,200		864,780
Signature Bank		4,102		438,586
Total Financial				3,502,111

Industrial (19.68%)
A O Smith Corp		13,507		636,450
Graphic Packaging Holding Co		25,667		359,081
Hubbell Inc		6,200		777,232
Northrop Grumman Corp		2,400		737,856
Packaging Corp of America		5,600		558,880
Raytheon Technologies Corp		12,171		749,977
Union Pacific Corp		6,029		1,019,323
Total Industrial				4,838,799

Technology (8.42%)
NetApp Inc		11,500		510,255
QUALCOMM Inc		9,300		848,253
Texas Instruments Inc		5,600		711,032
Total Technology				2,069,540

Total Common Stock (Cost $18,613,443)				18,153,965

Preferred Stock (0.61%)

Financial (0.61%)
Argo Group US Inc, 6.500% (Cost $137,308)		5,900		150,509

Mutual Funds (6.37%)

Financial (6.37%)
BlackRock New York Municipal Bond Trust		9,915		155,765
BlackRock New York Municipal Opportunities Fund		21,829		236,626
BrandywineGLOBAL Global Income Opportunities Fund Inc		4,832		55,761
Duff & Phelps Utility and Corporate Bond Trust Inc		46,372		433,579
Eaton Vance California Municipal Income Trust		8,260		108,867
Eaton Vance Floating-Rate Income Plus Fund		5,900		81,597
First Trust Aberdeen Global Opportunity Income Fund		23,882		236,909
Nuveen New York Municipal Value Fund 2		3,171		43,221
Pioneer Diversified High Income Trust		13,855		166,482
Western Asset Global High Income Fund Inc		5,000		46,250
Total Financial				1,565,057

Private Investment Funds (0.00%)
Moraine Waste Removal Escrow (Cost $0)		43,843		-

Total Mutual Funds (Cost $1,596,289)				1,565,057

Corporate Debt (18.19%)		Par Value

Basic Materials (1.26%)
CVR Partners LP / CVR Nitrogen Finance Corp, 9.250%, 6/15/2023 (144A)		200,000		196,000
Teck Resources Ltd, 6.125%, 10/1/2035		100,000		113,500
Total Basic Materials				309,500

Communications (1.40%)
AT&T Inc, 6.450%, 6/15/2034		100,000		129,853
CSC Holdings LLC, 10.875%, 10/15/2025 (144A)		200,000		215,000
Total Communications				344,853

Consumer, Cyclical (1.62%)
Foot Locker Inc, 8.500%, 1/15/2022		150,000		156,000
Reliance Intermediate Holdings LP, 6.500%, 4/1/2023 (144A)		101,000		101,505
Silversea Cruise Finance Ltd, 7.250%, 2/1/2025 (144A)		150,000		141,375
Total Consumer, Cyclical				398,880

Consumer, Non-Cyclical (2.39%)
Bausch Health Cos Inc, 7.000%, 3/15/2024 (144A)		100,000		103,750
Central Garden & Pet Co, 6.125%, 11/15/2023		260,000		265,200
Conagra Brands Inc, 7.125%, 10/1/2026		175,000		219,609
Total Consumer, Non-Cyclical				588,559

Energy (3.39%)
Aker BP ASA, 5.875%, 3/31/2025 (144A)		100,000		101,635
MPLX LP, 6.250%, 10/15/2022		314,000		317,615
MPLX LP, 6.375%, 5/1/2024		400,000		413,009
Total Energy				832,259

Financial (6.13%)
Avation Capital SA, 6.500%, 5/15/2021 (144A)		150,000		111,000
Equinix Inc, 5.875%, 1/15/2026		200,000		210,480
Global Atlantic Fin Co, 8.625%, 4/15/2021 (144A)		100,000		104,642
JPMorgan Chase & Co, 3M US LIBOR + 3.438%^(a),(b)		170,000		154,751
MPT Operating Partnership LP / MPT Finance Corp, 6.375%, 3/1/2024		234,000		241,020
Principal Financial Group Inc, 3.436%, 5/15/2055		250,000		224,050
Prudential Financial Inc, 3M US LIBOR + 5.575%, 9/15/2042^(a)		250,000		266,100
The Prudential Insurance Co of America, 3M US LIBOR + 8.000%, 7/1/2025 (144A)^(a)		150,000		194,640
Total Financial				1,506,683

Industrial (2.00%)
Standard Industries Inc/NJ, 5.375%, 11/15/2024		100,000		102,750
Tervita Corp, 7.625%, 12/1/2021 (144A)		150,000		117,750
TransDigm Inc, 6.500%, 7/15/2024		100,000		95,479
USG Corp, 5.500%, 3/1/2025 (144A)		175,000		175,875
Total Industrial				491,854

Total Corporate Debt (Cost $4,582,459)				4,472,588

Purchased Options - Puts (0.06%)		Contracts
S&P 500 Index Future (0.06%)
Notional amount $2,700,000, premiums paid $97,219, unrealized depreciation $(81,519), exercise price $2,700, expires 07/31/2020		10		15,700

Collateral for Securities on Loan (0.04%)		Shares
State Street Navigator Securities Lending Government Money Market Portfolio, 7-Day Yield 0.32% (Cost $9,985)		9,985		9,985

Total Investments (Cost $25,036,703) (99.08%)				24,357,819
Other Net Assets (0.92%)				226,131
Net Assets (100.00%)				24,583,950

*	Non-income producing security.

(a)	Floating or variable rate security. The reference rate is described above. The rate in effect as of June 30, 2020 is based on the reference rate plus the displayed spread as of the security's last reset date.
(b)	This security has no contractual maturity date, is not redeemable and contractually pays an indefinite stream of interest.

(144A)	Security was purchased pursuant to Rule 144A or Section 4(a)(2) under the Securities Act of 1933 and may be resold in transactions exempt from registration only to qualified institutional buyers. As of June 30, 2020, these securities had a total aggregate market value of $1,563,172, which represented approximately 6.36% of net assets.