CORNERSTONE TOTAL RETURN FUND, INC. |
SCHEDULE OF INVESTMENTS - SEPTEMBER 30, 2021 (Unaudited) |
Description | No. of Shares | Value | ||||||
EQUITY SECURITIES - 96.79% | ||||||||
CLOSED-END FUNDS - 12.39% | ||||||||
CONVERTIBLE SECURITIES - 0.85% | ||||||||
Virtus AllianzGI Equity & Convertible Income Fund | 171,399 | $ | 5,051,129 | |||||
CORE - 1.91% | ||||||||
General American Investors Company, Inc. * | 184,262 | 7,934,322 | ||||||
Royce Micro-Cap Trust, Inc. | 293,436 | 3,351,039 | ||||||
11,285,361 | ||||||||
DEVELOPED MARKET - 0.86% | ||||||||
Aberdeen Japan Equity Fund, Inc. | 69,604 | 678,639 | ||||||
First Trust Dynamic Europe Equity Income Fund | 74,602 | 961,620 | ||||||
Japan Smaller Capitalization Fund, Inc. | 220,665 | 1,997,018 | ||||||
New Germany Fund, Inc. (The) | 53,952 | 1,065,552 | ||||||
Swiss Helvetia Fund, Inc. (The) | 44,501 | 408,519 | ||||||
5,111,348 | ||||||||
DIVERSIFIED EQUITY - 4.14% | ||||||||
Adams Diversified Equity Fund, Inc. | 694,785 | 13,756,743 | ||||||
Gabelli Dividend & Income Trust (The) | 44,000 | 1,134,760 | ||||||
Royce Value Trust, Inc. | 308,996 | 5,568,108 | ||||||
Tri-Continental Corporation | 122,063 | 4,074,463 | ||||||
24,534,074 | ||||||||
EMERGING MARKETS - 1.42% | ||||||||
India Fund, Inc. (The) | 181,277 | 4,185,686 | ||||||
Korea Fund, Inc. (The) | 11,269 | 461,466 | ||||||
Mexico Fund, Inc. (The) | 2,374 | 35,254 | ||||||
Morgan Stanley India Investment Fund, Inc. | 90,725 | 2,503,102 | ||||||
Templeton Emerging Markets Fund | 72,782 | 1,235,111 | ||||||
8,420,619 | ||||||||
ENERGY MLP FUNDS - 1.54% | ||||||||
ClearBridge Energy Midstream Opportunity Fund Inc. | 104,682 | 2,287,302 | ||||||
ClearBridge MLP and Midstream Fund Inc. | 102,613 | 2,785,943 | ||||||
ClearBridge MLP and Midstream Total Return Fund Inc. | 49,557 | 1,189,368 | ||||||
Kayne Anderson NextGen Energy & Infrastructure, Inc. | 328,423 | 2,390,919 | ||||||
Neuberger Berman MLP and Energy Income Fund Inc. | 95,452 | 470,578 | ||||||
9,124,110 |
CORNERSTONE TOTAL RETURN FUND, INC. |
SCHEDULE OF INVESTMENTS - SEPTEMBER 30, 2021 (Unaudited)(Continued) |
Description | No. of Shares | Value | ||||||
GLOBAL - 0.28% | ||||||||
Gabelli Global Small and Mid Cap Value Trust (The) | 35,338 | $ | 562,977 | |||||
GDL Fund (The) | 121,208 | 1,088,448 | ||||||
1,651,425 | ||||||||
INCOME & PREFERRED STOCK - 0.20% | ||||||||
LMP Capital and Income Fund Inc. | 85,891 | 1,181,860 | ||||||
NATURAL RESOURCES - 0.39% | ||||||||
Adams Natural Resources Fund, Inc. | 118,643 | 1,861,508 | ||||||
First Trust Energy Infrastructure Fund | 32,894 | 419,399 | ||||||
2,280,907 | ||||||||
OPTION ARBITRAGE/OPTIONS STRATEGIES - 0.41% | ||||||||
Virtus Dividend, Interest & Premium Strategy Fund | 165,392 | 2,452,763 | ||||||
SECTOR EQUITY - 0.31% | ||||||||
Gabelli Healthcare & WellnessRx Trust (The) | 86,224 | 1,139,019 | ||||||
GAMCO Natural Resources, Gold & Income Trust | 141,016 | 714,951 | ||||||
1,853,970 | ||||||||
UTILITY - 0.08% | ||||||||
Macquarie Global Infrastructure Total Return Fund Inc. | 19,757 | 460,536 | ||||||
TOTAL CLOSED-END FUNDS | 73,408,102 | |||||||
COMMUNICATION SERVICES - 11.08% | ||||||||
Activision Blizzard, Inc. | 24,000 | 1,857,360 | ||||||
Alphabet Inc. - Class C * | 9,400 | 25,053,914 | ||||||
Charter Communications, Inc. - Class A * | 5,300 | 3,856,068 | ||||||
Comcast Corporation - Class A | 130,000 | 7,270,900 | ||||||
Facebook, Inc. - Class A * | 40,000 | 13,575,600 | ||||||
Netflix, Inc. * | 11,000 | 6,713,740 | ||||||
Twitter, Inc. * | 24,000 | 1,449,360 | ||||||
Walt Disney Company (The) * | 35,000 | 5,920,950 | ||||||
65,697,892 |
CORNERSTONE TOTAL RETURN FUND, INC. |
SCHEDULE OF INVESTMENTS - SEPTEMBER 30, 2021 (Unaudited)(Continued) |
Description | No. of Shares | Value | ||||||
CONSUMER DISCRETIONARY - 11.30% | ||||||||
Amazon.com, Inc. * | 10,200 | $ | 33,507,408 | |||||
Booking Holdings Inc. * | 1,000 | 2,373,870 | ||||||
Dollar General Corporation | 7,000 | 1,484,980 | ||||||
eBay Inc. | 20,000 | 1,393,400 | ||||||
General Motors Company * | 36,000 | 1,897,560 | ||||||
Hilton Worldwide Holdings Inc. * | 5,000 | 660,550 | ||||||
Lowe's Companies, Inc. | 21,000 | 4,260,060 | ||||||
NIKE, Inc. - Class B | 36,000 | 5,228,280 | ||||||
Ross Stores, Inc. | 10,000 | 1,088,500 | ||||||
Starbucks Corporation | 35,000 | 3,860,850 | ||||||
Target Corporation | 12,000 | 2,745,240 | ||||||
Tesla, Inc. * | 8,000 | 6,203,840 | ||||||
TJX Companies, Inc. (The) | 34,600 | 2,282,908 | ||||||
66,987,446 | ||||||||
CONSUMER STAPLES - 3.84% | ||||||||
Coca-Cola Company (The) | 112,000 | 5,876,640 | ||||||
Constellation Brands, Inc. - Class A | 5,000 | 1,053,450 | ||||||
Costco Wholesale Corporation | 14,000 | 6,290,900 | ||||||
Estée Lauder Companies Inc. (The) - Class A | 7,000 | 2,099,510 | ||||||
Monster Beverage Corporation * | 12,000 | 1,065,960 | ||||||
Philip Morris International Inc. | 45,000 | 4,265,550 | ||||||
Sysco Corporation | 15,000 | 1,177,500 | ||||||
Walgreens Boots Alliance, Inc. | 20,000 | 941,000 | ||||||
22,770,510 | ||||||||
EXCHANGE-TRADED FUNDS - 3.07% | ||||||||
Energy Select Sector SPDR® Fund (The) | 137,000 | 7,136,330 | ||||||
iShares Core S&P 500 ETF | 10,000 | 4,308,200 | ||||||
SPDR S&P 500® ETF Trust | 7,000 | 3,003,980 | ||||||
Technology Select Sector SPDR® Fund (The) | 25,000 | 3,733,000 | ||||||
18,181,510 | ||||||||
FINANCIALS - 10.59% | ||||||||
American Express Company | 12,000 | 2,010,360 | ||||||
Aon plc - Class A | 5,000 | 1,428,850 | ||||||
Bank of America Corporation | 110,000 | 4,669,500 | ||||||
Bank of New York Mellon Corporation (The) | 15,000 | 777,600 | ||||||
Berkshire Hathaway Inc. - Class B * | 55,000 | 15,011,700 |
CORNERSTONE TOTAL RETURN FUND, INC. |
SCHEDULE OF INVESTMENTS - SEPTEMBER 30, 2021 (Unaudited)(Continued) |
Description | No. of Shares | Value | ||||||
FINANCIALS - 10.59% (Continued) | ||||||||
Charles Schwab Corporation (The) | 30,000 | $ | 2,185,200 | |||||
Chubb Limited | 7,500 | 1,301,100 | ||||||
Citigroup Inc. | 60,000 | 4,210,800 | ||||||
Goldman Sachs Group, Inc. (The) | 12,000 | 4,536,360 | ||||||
Intercontinental Exchange, Inc. | 6,000 | 688,920 | ||||||
JPMorgan Chase & Co. | 87,000 | 14,241,030 | ||||||
Moody's Corporation | 3,000 | 1,065,330 | ||||||
Morgan Stanley | 38,000 | 3,697,780 | ||||||
Progressive Corporation (The) | 14,000 | 1,265,460 | ||||||
S&P Global Inc. | 5,000 | 2,124,450 | ||||||
T. Rowe Price Group, Inc. | 4,000 | 786,800 | ||||||
Wells Fargo & Company | 60,000 | 2,784,600 | ||||||
62,785,840 | ||||||||
HEALTH CARE - 12.25% | ||||||||
Abbott Laboratories | 17,000 | 2,008,210 | ||||||
AbbVie Inc. | 29,000 | 3,128,230 | ||||||
Agilent Technologies, Inc. | 7,000 | 1,102,710 | ||||||
Amgen Inc. | 5,000 | 1,063,250 | ||||||
Anthem, Inc. | 6,000 | 2,236,800 | ||||||
Biogen Inc. * | 6,000 | 1,697,940 | ||||||
Boston Scientific Corporation * | 42,000 | 1,822,380 | ||||||
Bristol-Myers Squibb Company | 65,000 | 3,846,050 | ||||||
Centene Corporation * | 18,000 | 1,121,580 | ||||||
Cigna Corporation | 12,000 | 2,401,920 | ||||||
CVS Health Corporation | 32,000 | 2,715,520 | ||||||
DexCom, Inc. * | 1,000 | 546,860 | ||||||
Edwards Lifesciences Corporation * | 13,000 | 1,471,730 | ||||||
Eli Lilly and Company | 25,000 | 5,776,250 | ||||||
HCA Healthcare, Inc. | 9,000 | 2,184,480 | ||||||
Humana Inc. | 4,000 | 1,556,600 | ||||||
IDEXX Laboratories, Inc. * | 2,000 | 1,243,800 | ||||||
IQVIA Holdings Inc. * | 7,000 | 1,676,780 | ||||||
Johnson & Johnson | 28,000 | 4,522,000 | ||||||
McKesson Corporation | 5,000 | 996,900 | ||||||
Medtronic plc | 40,000 | 5,014,000 | ||||||
Merck & Co., Inc. | 53,000 | 3,980,830 |
CORNERSTONE TOTAL RETURN FUND, INC. |
SCHEDULE OF INVESTMENTS - SEPTEMBER 30, 2021 (Unaudited)(Continued) |
Description | No. of Shares | Value | ||||||
HEALTH CARE - 12.25% (Continued) | ||||||||
Organon & Co. | 5,300 | $ | 173,787 | |||||
Stryker Corporation | 10,000 | 2,637,200 | ||||||
Thermo Fisher Scientific Inc. | 6,000 | 3,427,980 | ||||||
UnitedHealth Group Incorporated | 28,000 | 10,940,720 | ||||||
Vertex Pharmaceuticals Incorporated * | 7,000 | 1,269,730 | ||||||
Zimmer Biomet Holdings, Inc. | 14,000 | 2,049,040 | ||||||
72,613,277 | ||||||||
INDUSTRIALS - 6.70% | ||||||||
Boeing Company (The) * | 16,000 | 3,519,040 | ||||||
Caterpillar Inc. | 8,000 | 1,535,760 | ||||||
Cintas Corporation | 3,000 | 1,141,980 | ||||||
CSX Corporation | 60,000 | 1,784,400 | ||||||
Deere & Company | 9,000 | 3,015,630 | ||||||
FedEx Corporation | 9,000 | 1,973,610 | ||||||
General Dynamics Corporation | 7,000 | 1,372,210 | ||||||
Honeywell International Inc. | 25,000 | 5,307,000 | ||||||
Johnson Controls International plc | 20,000 | 1,361,600 | ||||||
Lockheed Martin Corporation | 7,000 | 2,415,700 | ||||||
Norfolk Southern Corporation | 11,000 | 2,631,750 | ||||||
Northrop Grumman Corporation | 5,000 | 1,800,750 | ||||||
Roper Technologies, Inc. | 3,500 | 1,561,455 | ||||||
Southwest Airlines Co. * | 18,000 | 925,740 | ||||||
TransDigm Group Incorporated * | 2,000 | 1,249,140 | ||||||
Union Pacific Corporation | 20,000 | 3,920,200 | ||||||
United Parcel Service, Inc. - Class B | 14,000 | 2,549,400 | ||||||
Waste Management, Inc. | 11,000 | 1,642,960 | ||||||
39,708,325 | ||||||||
INFORMATION TECHNOLOGY - 21.79% | ||||||||
Accenture plc - Class A | 7,000 | 2,239,440 | ||||||
Adobe Inc. * | 6,000 | 3,454,320 | ||||||
Advanced Micro Devices, Inc. * | 36,000 | 3,704,400 | ||||||
Apple Inc. | 221,000 | 31,271,500 | ||||||
Applied Materials, Inc. | 18,000 | 2,317,140 | ||||||
Autodesk, Inc. * | 8,000 | 2,281,360 | ||||||
Cisco Systems, Inc. | 43,000 | 2,340,490 | ||||||
Fidelity National Information Services, Inc. | 18,000 | 2,190,240 |
CORNERSTONE TOTAL RETURN FUND, INC. |
SCHEDULE OF INVESTMENTS - SEPTEMBER 30, 2021 (Unaudited)(Continued) |
Description | No. of Shares | Value | ||||||
INFORMATION TECHNOLOGY - 21.79% (Continued) | ||||||||
Fiserv, Inc. * | 16,000 | $ | 1,736,000 | |||||
HP Inc. | 14,000 | 383,040 | ||||||
Intel Corporation | 106,000 | 5,647,680 | ||||||
Intuit Inc. | 9,000 | 4,855,590 | ||||||
Lam Research Corporation | 4,000 | 2,276,600 | ||||||
Mastercard Incorporated - Class A | 18,000 | 6,258,240 | ||||||
Microsoft Corporation | 95,000 | 26,782,400 | ||||||
NVIDIA Corporation | 62,800 | 13,009,648 | ||||||
Oracle Corporation | 25,000 | 2,178,250 | ||||||
PayPal Holdings, Inc. * | 12,000 | 3,122,520 | ||||||
QUALCOMM Incorporated | 22,000 | 2,837,560 | ||||||
Visa, Inc. - Class A | 46,000 | 10,246,500 | ||||||
129,132,918 | ||||||||
MATERIALS - 1.72% | ||||||||
Air Products and Chemicals, Inc. | 6,000 | 1,536,660 | ||||||
Ball Corporation | 7,000 | 629,790 | ||||||
DuPont de Nemours, Inc. | 15,000 | 1,019,850 | ||||||
Freeport-McMoRan Inc. | 50,000 | 1,626,500 | ||||||
Linde plc | 14,000 | 4,107,320 | ||||||
Newmont Corporation | 24,000 | 1,303,200 | ||||||
10,223,320 | ||||||||
REAL ESTATE - 1.60% | ||||||||
American Tower Corporation | 13,000 | 3,450,330 | ||||||
Digital Realty Trust, Inc. | 8,000 | 1,155,600 | ||||||
Equinix, Inc. | 3,000 | 2,370,390 | ||||||
Public Storage | 5,000 | 1,485,500 | ||||||
SBA Communications Corporation | 3,000 | 991,710 | ||||||
9,453,530 | ||||||||
UTILITIES - 0.46% | ||||||||
American Water Works Company, Inc. | 5,000 | 845,200 | ||||||
Exelon Corporation | 25,300 | 1,223,002 | ||||||
Public Service Enterprise Group Incorporated | 11,000 | 669,900 | ||||||
2,738,102 | ||||||||
TOTAL EQUITY SECURITIES (cost - $478,855,534) | 573,700,772 |
CORNERSTONE TOTAL RETURN FUND, INC. |
SCHEDULE OF INVESTMENTS - SEPTEMBER 30, 2021 (Unaudited)(Concluded) |
Description | No. of Shares | Value | ||||||
SHORT-TERM INVESTMENT - 3.16% | ||||||||
MONEY MARKET FUND - 3.16% | ||||||||
Fidelity Institutional Money Market Government Portfolio - Class I, 0.01% ^ (cost - $18,741,804) | 18,741,804 | $ | 18,741,804 | |||||
TOTAL INVESTMENTS - 99.95% (cost - $497,597,338) | 592,442,576 | |||||||
OTHER ASSETS IN EXCESS OF LIABILITIES - 0.05% | 281,894 | |||||||
NET ASSETS - 100.00% | $ | 592,724,470 | ||||||
* | Non-income producing security. |
^ | The rate shown is the 7-day effective yield as of September 30, 2021. |