Intercontinental Exchange, Inc.

0001752724-21-113365.txt : 20210526 0001752724-21-113365.hdr.sgml : 20210526 20210526162436 ACCESSION NUMBER: 0001752724-21-113365 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210526 PERIOD START: 20211231 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CORNERSTONE TOTAL RETURN FUND INC CENTRAL INDEX KEY: 0000033934 IRS NUMBER: 132727013 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-02363 FILM NUMBER: 21966554 BUSINESS ADDRESS: STREET 1: 225 PICTORIA DRIVE, SUITE 450 CITY: CINCINNATI STATE: OH ZIP: 45246 BUSINESS PHONE: (513) 587-3400 MAIL ADDRESS: STREET 1: 225 PICTORIA DRIVE, SUITE 450 CITY: CINCINNATI STATE: OH ZIP: 45246 FORMER COMPANY: FORMER CONFORMED NAME: EIS FUND INC DATE OF NAME CHANGE: 20020109 FORMER COMPANY: FORMER CONFORMED NAME: EXCELSIOR INCOME SHARES INC DATE OF NAME CHANGE: 19920703 NPORT-P 1 primary_doc.xml NPORT-P false 0000033934 XXXXXXXX Cornerstone Total Return Fund, Inc. 811-02363 0000033934 5493000TUAHPA5P8NM98 225 Pictoria Drive Suite 450 Cincinnati 45246 513-587-3400 Cornerstone Total Return Fund, Inc 5493000TUAHPA5P8NM98 2021-12-31 2021-03-31 N 392350415.26 5108433.60 387241981.66 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0 N Intercontinental Exchange Inc 5493000F4ZO33MV32P92 Intercontinental Exchange, Inc. 45866F104 6000.00000000 NS USD 670080.00000000 0.173039089699 Long EC CORP US N 1 N N N Royce Micro-Cap Trust, Inc. 254900D3WFIV4SD8EF19 Royce Micro-Cap Trust, Inc. 780915104 244753.00000000 NS USD 2765708.90000000 0.714206886387 Long EC RF US N 1 N N N The Kroger Co. 6CPEOKI6OYJ13Q6O7870 Kroger Company (The) 501044101 20000.00000000 NS USD 719800.00000000 0.185878606682 Long EC CORP US N 1 N N N Accenture Plc 549300JY6CF6DO4YFQ03 Accenture plc Class A G1151C101 7000.00000000 NS USD 1933750.00000000 0.499364761979 Long EC CORP US N 1 N N N Microsoft Corporation INR2EJN1ERAN0W5ZP974 Microsoft Corporation 594918104 75000.00000000 NS USD 17682750.00000000 4.566330831228 Long EC CORP US N 1 N N N Amgen Inc. 62QBXGPJ34PQ72Z12S66 Amgen, Inc. 031162100 6000.00000000 NS USD 1492860.00000000 0.385510887430 Long EC CORP US N 1 N N N The Charles Schwab Corporation 549300VSGCJ7E698NM85 Charles Schwab Corporation (The) 808513105 30000.00000000 NS USD 1955400.00000000 0.504955581421 Long EC CORP US N 1 N N N Technology Select Sector SPDR Fund (The) 5493008JJKIPMEX3CO91 Technology Select Sector SPDR Fund (The) 81369Y803 40000.00000000 NS USD 5312400.00000000 1.371855390582 Long EC RF US N 1 N N N Texas Instruments Incorporated WDJNR2L6D8RWOEB8T652 Texas Instruments, Inc. 882508104 10000.00000000 NS USD 1889900.00000000 0.488041093039 Long EC CORP US N 1 N N N SBA Communications Corporation 5299001HX8ZN8Y8QIT49 SBA Communications Corporation 78410G104 2000.00000000 NS USD 555100.00000000 0.143347061085 Long EC CORP US N 1 N N N Capital One Financial Corporation ZUE8T73ROZOF6FLBAR73 Capital One Financial Corporation 14040H105 5000.00000000 NS USD 636150.00000000 0.164277126481 Long EC CORP US N 1 N N N Travelers Companies, Inc. 549300Y650407RU8B149 Travelers Companies, Inc. 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ZXTILKJKG63JELOEG630 Amazon.com, Inc. 023135106 10200.00000000 NS USD 31559616.00000000 8.149843636455 Long EC CORP US N 1 N N N ClearBridge Energy Midstream Opportunity Fund Incorporation 549300U6RAJWN6OONX12 ClearBridge Energy Midstream Opportunity Fund, Inc. 18469P209 154716.00000000 NS USD 2890094.88000000 0.746327882016 Long EC RF US N 1 N N N First Trust/Dynamic Europe Equity Income Fund 549300YG1NBZKURU8L08 First Trust/Dynamic Europe Equity Income Fund 33740D107 128909.00000000 NS USD 1637144.30000000 0.422770354852 Long EC RF US N 1 N N N Gamco Global Gold Natural Resources & Income Truste SMXWLGD6Z5E8SLAQDA43 Gamco Global Gold Natural Resources & Income Trust 36465A109 172000.00000000 NS USD 596840.00000000 0.154125851087 Long EC RF US N 1 N N N GAMCO Natural Resources, Gold & Income Trust 23EBEGZ81713Q1VCP222 GAMCO Natural Resources, Gold & Income Trus 36465E101 157996.00000000 NS USD 793139.92000000 0.204817648282 Long EC RF US N 1 N N N The Estee Lauder Companies Inc. 549300VFZ8XJ9NUPU221 The Estee Lauder Companies Inc 518439104 5000.00000000 NS USD 1454250.00000000 0.375540377560 Long EC CORP US N 1 N N N Target Corporation 8WDDFXB5T1Z6J0XC1L66 Target Corporation 87612E106 12000.00000000 NS USD 2376840.00000000 0.613786756748 Long EC CORP US N 1 N N N Thermo Fisher Scientific Inc HCHV7422L5HDJZCRFL38 Thermo Fisher Scientific, Inc. 883556102 10000.00000000 NS USD 4563800.00000000 1.178539573740 Long EC CORP US N 1 N N N Energy Select Sector SPDR Fund 5493008JJKIPMEX3CO91 Energy Select Sector SPDR Fund 81369Y506 50000.00000000 NS USD 2453000.00000000 0.633454045835 Long EC RF US N 1 N N N Gabelli Dividend & Income Trust (The) 549300082N1MHBT8NI60 Gabelli Dividend & Income Trust (The 36242H104 154000.00000000 NS USD 3689840.00000000 0.952851233789 Long EC RF US N 1 N N N Japan Smaller Capitalization Fund, Inc. 5493000KJSHWEB3YKZ37 Japan Smaller Capitalization Fund, Inc. 47109U104 160067.00000000 NS USD 1488623.10000000 0.384416765356 Long EC RF US N 1 N N N The TJX Companies Inc. V167QI9I69W364E2DY52 TJX Companies, Inc. (The) 1.150%, Due 05/15/2028 872540109 17600.00000000 NS USD 1164240.00000000 0.300649220678 Long EC CORP US N 1 N N N PNC Financial Services Group Inc CFGNEKW0P8842LEUIA51 PNC Financial Services Group, Inc. (The) 693475105 8000.00000000 NS USD 1403280.00000000 0.362378064998 Long EC CORP US N 1 N N N Aflac Incorporated 549300N0B7DOGLXWPP39 Aflac, Inc. 001055102 16000.00000000 NS USD 818880.00000000 0.211464675521 Long EC CORP US N 1 N N N Edwards Lifesciences Corporation YA13X31F3V31L8TMPR58 Edwards Lifesciences Corporation 28176E108 13000.00000000 NS USD 1087320.00000000 0.280785671878 Long EC CORP US N 1 N N N Virtus Dividend, Interest & Premium Strategy Fund 549300535GECAFITZP67 Virtus Dividend, Interest & Premium Strategy Fund 92840R101 29900.00000000 NS USD 412022.00000000 0.106399104310 Long EC RF US N 1 N N N American Express Company R4PP93JZOLY261QX3811 American Express Company 025816109 12000.00000000 NS USD 1697280.00000000 0.438299585371 Long EC CORP US N 1 N N N Abbott Laboratories HQD377W2YR662HK5JX27 Abbott Laboratories 002824100 20000.00000000 NS USD 2396800.00000000 0.618941156567 Long EC CORP US N 1 N N N Boston Scientific Corporation Y6ZDD9FP4P8JSSJMW954 Boston Scientific Corporation 101137107 32000.00000000 NS USD 1236800.00000000 0.319386858495 Long EC CORP US N 1 N N N Walt Disney Company 549300GZKULIZ0WOW665 Walt Disney Company (The) 254687106 35000.00000000 NS USD 6458200.00000000 1.667742730867 Long EC CORP US N 1 N N N FedEx Corporation 549300E707U7WNPZN687 FedEx Corporation 31428X106 5000.00000000 NS USD 1420200.00000000 0.366747425966 Long EC CORP US N 1 N N N Tekla World Healthcare N/A Tekla World Healthcare N/A 1000.00000000 NS USD 0.00000000 0.000000 Long EC RF US N 1 N N N Xcel Energy Inc LGJNMI9GH8XIDG5RCM61 Xcel Energy, Inc. 98389B100 14000.00000000 NS USD 931140.00000000 0.240454300953 Long EC CORP US N 1 N N N General Dynamics Corporation 9C1X8XOOTYY2FNYTVH06 General Dynamics Corporation 369550108 7000.00000000 NS USD 1270920.00000000 0.328197886642 Long EC CORP US N 1 N N N Aberdeen Total Dynamic Dividend Fund 254900D48NKNOGZ95B43 Aberdeen Total Dynamic Dividend Fund 00326L100 55901.00000000 NS USD 532736.53000000 0.137571997673 Long EC RF US N 1 N N N Swiss Helvetia Fund, Inc. (The) 549300HQZ0XPGTS5Q724 Swiss Helvetia Fund, Inc. (The) 870875101 36762.00000000 NS USD 323137.98000000 0.083446009292 Long EC RF US N 1 N N N Apple Inc. HWUPKR0MPOU8FGXBT394 Apple, Inc. 037833100 196000.00000000 NS USD 23941400.00000000 6.182542475733 Long EC CORP US N 1 N N N Colgate-Palmolive Company YMEGZFW4SBUSS5BQXF88 Colgate-Palmolive Company 194162103 20000.00000000 NS USD 1576600.00000000 0.407135608913 Long EC CORP US N 1 N N N Parker-Hannifin Corporation 5493002CONDB4N2HKI23 Parker-Hannifin Corporation 701094104 3000.00000000 NS USD 946290.00000000 0.244366583381 Long EC CORP US N 1 N N N HCA Healthcare Inc 529900PH4ZGUH2MNEU89 HCA Healthcare, Inc. 40412C101 6000.00000000 NS USD 1130040.00000000 0.291817533614 Long EC CORP US N 1 N N N Visa Inc 549300JZ4OKEHW3DPJ59 Visa, Inc. Class A 92826C839 20000.00000000 NS USD 4234600.00000000 1.093528129839 Long EC CORP US N 1 N N N GDL Fund (The) 5493000XKGL8ZPN99479 GDL Fund (The) 361570104 145881.00000000 NS USD 1302717.33000000 0.336409116701 Long EC RF US N 1 N N N Costco Wholesale Corporation 29DX7H14B9S6O3FD6V18 Costco Wholesale Corporation 22160K105 14000.00000000 NS USD 4934720.00000000 1.274324642913 Long EC CORP US N 1 N N N Nuveen Tax-Advantage Dividend Growth Fund P8A4JDNIPXCEKEVC8W52 Nuveen Tax-Advantage Dividend Growth Fund 67073G105 69183.00000000 NS USD 1045355.13000000 0.269948812243 Long EC RF US N 1 N N N Gabelli Healthcare & Wellness Trust 549300XULWZNLHFTG832 Gabelli Healthcare and Wellness Rx Trust 36246K103 110982.00000000 NS USD 1382835.72000000 0.357098606424 Long EC RF US N 1 N N N 2021-05-26 Susan Conti Susan Conti Susan Conti Senior Fund Accounting Manager XXXX NPORT-EX 2 crf.htm NPORT

CORNERSTONE TOTAL RETURN FUND, INC.
SCHEDULE OF INVESTMENTS - MARCH 31, 2021 (Unaudited)

Description	No. of Shares		Value
EQUITY SECURITIES - 98.76%
CLOSED-END FUNDS - 17.38%
CONVERTIBLE SECURITIES - 0.22%
Virtus AllianzGI Equity & Convertible Income Fund		29,924	$	838,171

CORE - 2.60%
General American Investors Company, Inc.		183,262		7,301,159
Royce Micro-Cap Trust, Inc.		244,753		2,765,709
				10,066,868
DEVELOPED MARKET - 1.15%
Aberdeen Japan Equity Fund, Inc.		8,461		76,318
First Trust Dynamic Europe Equity Income Fund		128,909		1,637,145
Japan Smaller Capitalization Fund, Inc.		160,067		1,488,623
New Germany Fund, Inc. (The)		46,908		927,371
Swiss Helvetia Fund, Inc. (The)		36,762		323,138
				4,452,595
DIVERSIFIED EQUITY - 5.34%
Adams Diversified Equity Fund, Inc.		459,748		8,394,999
Gabelli Dividend & Income Trust (The)		154,000		3,689,840
Guggenheim Enhanced Equity Income Fund		470,548		3,392,651
Nuveen Tax-Advantaged Total Return Strategy Fund		25,173		270,358
Royce Value Trust, Inc.		57,800		1,046,758
Sprott Focus Trust, Inc.		49,649		388,752
Tri-Continental Corporation		107,161		3,475,231
				20,658,589
EMERGING MARKETS - 0.83%
Aberdeen Emerging Markets Equity Income Fund, Inc.		71,021		614,332
Central and Eastern Europe Fund, Inc. (The)		19,300		464,744
Korea Fund, Inc. (The)		4,640		201,330
Mexico Fund, Inc. (The)		13,100		185,365
Morgan Stanley India Investment Fund, Inc.		75,511		1,760,342
				3,226,113
ENERGY MLP FUNDS - 1.38%
ClearBridge Energy Midstream Opportunity Fund Inc.		154,716		2,890,095
ClearBridge MLP and Midstream Fund Inc.		13,000		303,550
ClearBridge MLP and Midstream Total Return Fund Inc.		50,538		1,012,782
Goldman Sachs MLP and Energy Renaissance Fund		6,233		60,335

See accompanying notes to schedule of investments.

CORNERSTONE TOTAL RETURN FUND, INC.
SCHEDULE OF INVESTMENTS - MARCH 31, 2021 (Unaudited)(Continued)

Description	No. of Shares		Value
ENERGY MLP FUNDS - 1.38% (Continued)
Neuberger Berman MLP and Energy Income Fund Inc.		251,952	$	1,058,198
				5,324,960
GLOBAL - 0.74%
Aberdeen Total Dynamic Dividend Fund		55,901		532,737
Delaware Enhanced Global Dividend and Income Fund		63,583		623,749
Gabelli Global Small and Mid Cap Value Trust (The)		29,070		424,131
GDL Fund (The)		145,881		1,302,717
				2,883,334
INCOME & PREFERRED STOCK - 0.85%
LMP Capital and Income Fund Inc.		177,827		2,258,403
Nuveen Tax-Advantaged Dividend Growth Fund		69,183		1,045,355
				3,303,758
NATURAL RESOURCES - 0.86%
Adams Natural Resources Fund, Inc.		215,647		3,172,167
Cushing NextGen Infrastructure Income Fund (The)		4,000		161,520
				3,333,687
OPTION ARBITRAGE/OPTIONS STRATEGIES - 0.11%
BlackRock Enhanced International Dividend Trust		3,944		23,940
Virtus Dividend, Interest & Premium Strategy Fund		29,900		412,022
				435,962
REAL ESTATE - 0.38%
Neuberger Berman Real Estate Securities Income Fund Inc.		18,632		84,962
Nuveen Real Estate Income Fund		145,633		1,396,620
				1,481,582
SECTOR EQUITY - 2.39%
BlackRock Health Sciences Trust II		228,600		6,012,180
Gabelli Healthcare & Wellness^Rx Trust (The)		110,982		1,382,836
GAMCO Global Gold, Natural Resources & Income Trust		172,000		596,840
GAMCO Natural Resources, Gold & Income Trust		157,996		793,140
Nuveen Real Asset Income and Growth Fund		29,634		436,212
Tekla World Healthcare Fund		1,000		15,070
				9,236,278

See accompanying notes to schedule of investments.

CORNERSTONE TOTAL RETURN FUND, INC.
SCHEDULE OF INVESTMENTS - MARCH 31, 2021 (Unaudited)(Continued)

Description	No. of Shares		Value
UTILITY - 0.53%
Macquarie Global Infrastructure Total Return Fund Inc.		93,924	$	2,053,179

TOTAL CLOSED-END FUNDS				67,295,076

COMMUNICATION SERVICES - 9.55%
Alphabet Inc. - Class C *		7,000		14,480,410
Charter Communications, Inc. - Class A *		5,300		3,270,206
Comcast Corporation - Class A		130,000		7,034,300
Netflix, Inc. *		11,000		5,738,260
Walt Disney Company (The) *		35,000		6,458,200
				36,981,376
CONSUMER DISCRETIONARY - 11.22%
Amazon.com, Inc. *		10,200		31,559,616
Dollar General Corporation		7,000		1,418,340
eBay Inc.		16,000		979,840
Hilton Worldwide Holdings Inc. *		5,000		604,600
Target Corporation		12,000		2,376,840
Tesla, Inc. *		8,000		5,343,440
TJX Companies, Inc. (The)		17,600		1,164,240
				43,446,916
CONSUMER STAPLES - 4.73%
Colgate-Palmolive Company		20,000		1,576,600
Costco Wholesale Corporation		14,000		4,934,720
Estée Lauder Companies Inc. (The) - Class A		5,000		1,454,250
Kroger Co. (The)		20,000		719,800
Procter & Gamble Company (The)		71,000		9,615,530
				18,300,900
EXCHANGE-TRADED FUNDS - 2.00%
Energy Select Sector SPDR® Fund (The)		50,000		2,453,000
Technology Select Sector SPDR® Fund (The)		40,000		5,312,400
				7,765,400

See accompanying notes to schedule of investments.

CORNERSTONE TOTAL RETURN FUND, INC.
SCHEDULE OF INVESTMENTS - MARCH 31, 2021 (Unaudited)(Continued)

Description	No. of Shares		Value
FINANCIALS - 8.61%
Aflac Incorporated		16,000	$	818,880
Allstate Corporation (The)		8,000		919,200
American Express Company		12,000		1,697,280
Aon plc - Class A		5,000		1,150,550
BlackRock, Inc.		4,000		3,015,840
Capital One Financial Corporation		5,000		636,150
Charles Schwab Corporation (The)		30,000		1,955,400
Goldman Sachs Group, Inc. (The)		7,000		2,289,000
Intercontinental Exchange, Inc.		6,000		670,080
JPMorgan Chase & Co.		67,000		10,199,410
Marsh & McLennan Companies, Inc.		5,000		609,000
Morgan Stanley		38,000		2,951,080
PNC Financial Services Group, Inc. (The)		8,000		1,403,280
Progressive Corporation (The)		14,000		1,338,540
S&P Global Inc.		3,000		1,058,610
Travelers Companies, Inc. (The)		5,000		752,000
Truist Financial Corporation		32,000		1,866,240
				33,330,540
HEALTH CARE - 10.80%
Abbott Laboratories		20,000		2,396,800
AbbVie Inc.		44,000		4,761,680
Agilent Technologies, Inc.		7,000		889,980
Amgen Inc.		6,000		1,492,860
Anthem, Inc.		6,000		2,153,700
Biogen Inc. *		3,000		839,250
Boston Scientific Corporation *		32,000		1,236,800
Centene Corporation *		14,000		894,740
Cigna Corporation		7,000		1,692,180
CVS Health Corporation		32,000		2,407,360
DexCom, Inc. *		2,000		718,780
Edwards Lifesciences Corporation *		13,000		1,087,320
HCA Healthcare, Inc.		6,000		1,130,040
IDEXX Laboratories, Inc. *		2,000		978,620
Johnson & Johnson		28,000		4,601,800
McKesson Corporation		2,000		390,080
Merck & Co., Inc.		53,000		4,085,770

See accompanying notes to schedule of investments.

CORNERSTONE TOTAL RETURN FUND, INC.
SCHEDULE OF INVESTMENTS - MARCH 31, 2021 (Unaudited)(Continued)

Description	No. of Shares		Value
HEALTH CARE - 10.80% (Continued)
Regeneron Pharmaceuticals, Inc. *		3,000	$	1,419,420
Stryker Corporation		8,000		1,948,640
Thermo Fisher Scientific Inc.		10,000		4,563,800
Vertex Pharmaceuticals Incorporated *		7,000		1,504,230
Zimmer Biomet Holdings, Inc.		4,000		640,320
				41,834,170
INDUSTRIALS - 7.22%
Caterpillar Inc.		12,000		2,782,440
Cintas Corporation		3,000		1,023,930
CSX Corporation		8,000		771,360
Deere & Company		6,500		2,431,910
Eaton Corporation plc		9,000		1,244,520
Emerson Electric Co.		14,000		1,263,080
Fastenal Company		14,000		703,920
FedEx Corporation		5,000		1,420,200
General Dynamics Corporation		7,000		1,270,920
Honeywell International Inc.		15,000		3,256,050
Lockheed Martin Corporation		3,000		1,108,500
Norfolk Southern Corporation		3,000		805,560
Northrop Grumman Corporation		3,000		970,920
Parker-Hannifin Corporation		3,000		946,290
Union Pacific Corporation		14,000		3,085,740
United Parcel Service, Inc. - Class B		28,600		4,861,714
				27,947,054
INFORMATION TECHNOLOGY - 23.46%
Accenture plc - Class A		7,000		1,933,750
Adobe Inc. *		6,000		2,852,220
Advanced Micro Devices, Inc. *		26,000		2,041,000
Apple Inc.		196,000		23,941,400
Applied Materials, Inc.		18,000		2,404,800
Autodesk, Inc. *		2,000		554,300
Automatic Data Processing, Inc.		9,000		1,696,230
Cisco Systems, Inc.		43,000		2,223,530
Fidelity National Information Services, Inc.		13,000		1,827,930
Fiserv, Inc. *		16,000		1,904,640
HP Inc.		28,000		889,000

See accompanying notes to schedule of investments.

CORNERSTONE TOTAL RETURN FUND, INC.
SCHEDULE OF INVESTMENTS - MARCH 31, 2021 (Unaudited)(Continued)

Description	No. of Shares		Value
INFORMATION TECHNOLOGY - 23.46% (Continued)
Intel Corporation		106,000	$	6,784,000
Mastercard Incorporated - Class A		18,000		6,408,900
Microsoft Corporation		75,000		17,682,750
NVIDIA Corporation		6,000		3,203,580
Oracle Corporation		67,000		4,701,390
QUALCOMM Incorporated		22,000		2,916,980
Synopsys, Inc. *		3,000		743,340
Texas Instruments Incorporated		10,000		1,889,900
Visa, Inc. - Class A		20,000		4,234,600
				90,834,240
MATERIALS - 1.96%
Air Products and Chemicals, Inc.		5,000		1,406,700
Ball Corporation		7,000		593,180
Ecolab Inc.		6,000		1,284,420
Freeport-McMoRan Inc. *		30,000		987,900
Newmont Corporation		18,000		1,084,860
PPG Industries, Inc.		5,000		751,300
Sherwin-Williams Company (The)		2,000		1,476,020
				7,584,380
REAL ESTATE - 0.14%
SBA Communications Corporation		2,000		555,100

UTILITIES - 1.69%
American Water Works Company, Inc.		5,000		749,600
Eversource Energy		8,000		692,720
NextEra Energy, Inc.		28,000		2,117,080
Public Service Enterprise Group Incorporated		11,000		662,310
Southern Company (The)		12,000		745,920
WEC Energy Group, Inc.		7,000		655,130
Xcel Energy Inc.		14,000		931,140
				6,553,900

TOTAL EQUITY SECURITIES (cost - $299,445,088)				382,429,052

See accompanying notes to schedule of investments.

CORNERSTONE TOTAL RETURN FUND, INC.
SCHEDULE OF INVESTMENTS - MARCH 31, 2021 (Unaudited)(Concluded)

Description	No. of Shares		Value
RIGHTS – 0.00%
CLOSED-END FUND – 0.00%
SECTOR EQUITY – 0.00%
Tekla World Healthcare Fund, expires 04/06/2021 * (cost - $0)		1,000	$	0

SHORT-TERM INVESTMENT - 2.13%
MONEY MARKET FUND - 2.13%
Fidelity Institutional Money Market Government Portfolio - Class I, 0.01% ^ (cost - $8,249,029)		8,249,029	$	8,249,029

TOTAL INVESTMENTS - 100.89% (cost - $307,694,117)				390,678,081

LIABILITIES IN EXCESS OF OTHER ASSETS - (0.89%)				(3,436,099	)

NET ASSETS - 100.00%			$	387,241,982

*	Non-income producing security.
^	The rate shown is the 7-day effective yield as of March 31, 2021.

See accompanying notes to schedule of investments.

CORNERSTONE TOTAL RETURN FUND, INC.

NOTES TO SCHEDULE OF INVESTMENTS

March 31, 2021 (Unaudited)

Federal Income Tax Cost: The following information is computed on a tax basis for each item as of March 31, 2021:

Cost of portfolio investments	$	307,880,496
Gross unrealized appreciation	$	85,525,739
Gross unrealized depreciation		(2,728,154	)
Net unrealized appreciation	$	82,797,585

The difference between the federal income tax cost of portfolio investments and the Schedule of Investments cost for Cornerstone Total Return Fund, Inc. (the “Fund”) is due to certain timing differences in the recognition of capital gains or losses under income tax regulations and generally accepted accounting principles. These "book/tax" differences are temporary in nature and are due to the tax deferral of losses on wash sales.

As required by the Fair Value Measurement and Disclosures Topic of the Financial Accounting Standards Board ("FASB") Accounting Standards Codification, the Fund has performed an analysis of all assets and liabilities measured at fair value to determine the significance and character of all inputs to their fair value determination.

The fair value hierarchy prioritizes the inputs to valuation techniques used to measure fair value into the following three broad categories:

• Level 1 - quoted unadjusted prices for identical instruments in active markets to which the Fund has access at the date of measurement.

• Level 2 - quoted prices for similar instruments in active markets; quoted prices for identical or similar instruments in markets that are not active; and model- derived valuations in which all significant inputs and significant value drivers are observable in active markets. Level 2 inputs are those in markets for which there are few transactions, the prices are not current, little public information exists or instances where prices vary substantially over time or among brokered market makers.

• Level 3 - model derived valuations in which one or more significant inputs or significant value drivers are unobservable. Unobservable inputs are those inputs that reflect the Fund's own assumptions that market participants would use to price the asset or liability based on the best available information.

The following is a summary of the inputs used as of March 31, 2021 in valuing the Fund's investments carried at value:

VALUTION INPUTS	INVESTMENTS IN SECURITIES		OTHER FINANCIAL INSTRUMENTS*
Level 1 - Quoted Prices
Equity Securities	$	382,429,052	$	-
Short-Term Investment		8,249,029		-
Level 2 - Other Significant Observable Inputs		-		-
Level 3 - Significant Unobservable Inputs		-		-
Total	$	390,678,081	$	-

Other financial instruments include futures, forwards and swap contracts, if any.

CORNERSTONE TOTAL RETURN FUND, INC.

NOTES TO SCHEDULE OF INVESTMENTS (Continued)

The breakdown of the Fund’s investments into major categories is disclosed in its Schedule of Investments.

The Fund did not have any assets or liabilities that were measured at fair value on a recurring basis using significant unobservable inputs (Level 3) at March 31, 2021.

The Fund is exposed to financial market risks, including the valuations of its investment portfolio. During the period ended March 31, 2021, the Fund did not engage in derivative instruments and other hedging activities.

The Fund has evaluated the need for additional disclosures and/or adjustments resulting through the date its financial statements were issued. Based on this evaluation, no additional disclosures or adjustments were required to such Schedule of Investments.

Securities valuation policies and other investment related disclosures are hereby incorporated by reference to the Fund's annual report previously filed with the Securities and Exchange Commission on Form N-CSR on March 4, 2021 with a file number 811-02363.

Other information regarding the Fund is available in the Fund’s most recent annual report. This information is also available on the Fund’s website at www.cornerstonetotalreturnfund.com; or on the website of the Securities and Exchange Commission at www.sec.gov.