0001286207-13-000004.txt : 20130515 0001286207-13-000004.hdr.sgml : 20130515 20130515161010 ACCESSION NUMBER: 0001286207-13-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130515 DATE AS OF CHANGE: 20130515 EFFECTIVENESS DATE: 20130515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WESTERN INVESTMENT LLC CENTRAL INDEX KEY: 0001286207 IRS NUMBER: 870623442 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10869 FILM NUMBER: 13847083 BUSINESS ADDRESS: STREET 1: 7050 S. UNION PARK CENTER, SUITE 590 CITY: MIDVALE STATE: UT ZIP: 84047 BUSINESS PHONE: 801-568-1400 MAIL ADDRESS: STREET 1: 7050 S. UNION PARK CENTER, SUITE 590 CITY: MIDVALE STATE: UT ZIP: 84047 13F-HR 1 wi1q13.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 03/31/2013 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Western Investment LLC Address: 7050 South Union Park Center, Ste 590 Midvale, UT 84047 13F File Number: 028-10869 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Arthur Lipson Title: Managing Member Phone: 801-568-1400 Signature, Place, and Date of Signing: /s/Arthur Lipson Salt Lake City, UT May 14, 2013 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 20 Form 13F Information Table Value Total: $33,544 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADVENT CLAYMORE CV SECS & IN COM 00764C109 327 19290 SH Sole 19290 0 0 ALLIANZGI EQUITY & CONV INCO COM 018829101 356 19776 SH Sole 19776 0 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 155 38000 SH Sole 38000 0 0 AMERICAN CAP MTG INVT CORP COM 02504A104 517 20000 SH Sole 20000 0 0 ARMOUR RESIDENTIAL REIT INC COM 042315101 78 12000 SH Sole 12000 0 0 BLACKROCK CR ALLCTN INC TR COM 092508100 413 29476 SH Sole 29476 0 0 BOULDER GROWTH & INCOME FD I COM 101507101 81 11100 SH Sole 11100 0 0 CENTRAL SECS CORP COM 155123102 427 20546 SH Sole 20546 0 0 CREXUS INVT CORP COM 226553105 208 16000 SH Sole 16000 0 0 DYNEX CAP INC COM NEW 26817Q506 374 35000 SH Sole 35000 0 0 EATON VANCE ENHANCED EQ INC COM 278274105 476 40794 SH Sole 40794 0 0 EATON VANCE RISK MNGD DIV EQ COM 27829G106 8692 790896 SH Sole 790896 0 0 GABELLI DIVD & INCOME TR COM 36242H104 217 11441 SH Sole 11441 0 0 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 4942 233437 SH Sole 233437 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 1267 75700 SH Sole 75700 0 0 MVC CAPITAL INC COM 553829102 13492 1051578 SH Sole 1051578 0 0 NEWCASTLE INVT CORP COM 65105M108 378 33800 SH Sole 33800 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 421 6100 SH Sole 6100 0 0 ROYCE FOCUS TR COM 78080N108 175 25106 SH Sole 25106 0 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 548 32906 SH Sole 32906 0 0