Small Cap Premium & Dividend Income Fund (RCC1)

Sector:
FINANCE
Industry:
GENERAL FINANCE
SIC:
800 SCUDDERS MILL ROAD PLAINSBORO, NJ 08563

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Small Cap Premium & Dividend Income Fund is a diversified, closed-end managment investment company. The Fund's investment objective is to provide stockholders with a high level of income and capital appreciation. The Fund pursues its investment objectives through a two-part strategy. First, the Fund will invest substantially all of its assets in stocks of the Russell 2000(R) Index and/or other investments that have economic characteristics similar to the securities that comprise the Index. Second, the Fund will write call options on the Index or on exchange-traded funds. As of Dec 31 2009, the Fund's investments portfolio totaled $135,851,610 and assets totaled $136,021,455.

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Funds Holding RCC1 (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding RCC1

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Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

ZAKEM ROBERT M CHIEF COMPLIANCE OFFICER

  • Officer
0 2009-06-12 0

RHEE MICHELLE H. CHIEF LEGAL OFFICER

  • Officer
0 2009-06-12 0

MCGOEY JEFF E VICE PRESIDENT

  • Officer
0 2009-03-09 0

MCCLEMENTS KYLE

  • PORTFOLIO MANAGER
0 2009-02-02 0

GRECO GLORIA CHIEF COMPLIANCE OFFICER

  • Officer
0 2008-09-18 0

HIGUCHI MICHAEL M. VICE PRESIDENT

  • Officer
0 2008-03-11 0

UNGER LAURA S

  • Director
0 2007-09-12 0

JOHNSTON CATHERINE CHIEF COMPLIANCE OFFICER

  • Officer
0 2007-04-16 0

HILLMAN JAMES E TREASURER

  • Officer
0 2006-09-05 0

MOLLEUR DENIS ACTING ATTORNEY

  • Officer
0 2006-05-12 0

RUSSO JEFFREY L

  • PORTFOLIO MANAGER
0 2005-12-31 0

IQ INVESTMENT ADVISER LLC

  • INVESTMENT MANAGER
0 2005-07-26 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

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Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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