# EDGAR Filing Document

**Accession Number:** 0001059213
**File Stem:** 0001752724-23-032576
**Filing Date:** 2023-2
**Character Count:** 24198
**Document Hash:** e03e5accdfee551a0b5a626b0ea1c4c4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-032576.hdr.sgml**: 20230222

**ACCESSION NUMBER**: 0001752724-23-032576

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230222

**DATE AS OF CHANGE**: 20230222

**PERIOD START**: 20221231

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** DIVIDEND & INCOME FUND
- **CENTRAL INDEX KEY:** 0001059213
- **IRS NUMBER:** 510382212
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-08747
- **FILM NUMBER:** 23650769

**BUSINESS ADDRESS:**
- **STREET 1:** 2255 BUFFALO ROAD
- **CITY:** ROCHESTER
- **STATE:** NY
- **ZIP:** 14624
- **BUSINESS PHONE:** 2127850900

**MAIL ADDRESS:**
- **STREET 1:** 2255 BUFFALO ROAD
- **CITY:** ROCHESTER
- **STATE:** NY
- **ZIP:** 14624

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DIVIDEND & INCOME FUND, INC.
- **DATE OF NAME CHANGE:** 20110210

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CHARTWELL DIVIDEND & INCOME FUND INC
- **DATE OF NAME CHANGE:** 19980406

## Form NPORT-P: Monthly Portfolio Investments Report

### NPORT-P: Part A: General Information

**Item A.1. Information about the Registrant.**

- **a. Name of Registrant:** Dividend and Income Fund

- **b. Investment Company Act file number:** 811-08747

- **c. CIK number of Registrant:** 0001059213

- **d. LEI of Registrant:** 549300GQF37VFS5FKW75

- **e. Address and telephone number of Registrant.**

  - **Street Address 1:** 2256 Buffalo Road

  - **City:** Rochester

  - **State:** NY

  - **Foreign country:** US

  - **Zip / Postal Code:** 14624

  - **Telephone number:** 212-785-0900

**Item A.2. Information about the Series.**

- **a. Name of Series:** DIVIDEND AND INCOME FUND

- **c. LEI of Series:** 549300GQF37VFS5FKW75

**Item A.3. Reporting period.**

- **a. Date of fiscal year-end:** 2022-12-31

- **b. Date as of which information is reported:** 2022-12-31

**Item A.4. Final filing**

Does the Fund anticipate that this will be its final filing on Form N-PORT? **No**

### Fund Information

**Total Assets:** $248599319.00

**Total Liabilities:** $37586880.00

**Net Assets:** $211012439.00

**Cash Not Reported:** $98393.91

**Monthly Return Information**

| Class        | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID N/A | 12.19%               | 6.94%                | -6.55%               |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-8581266.11             | $31634439.63                               |
| Month 2  | $1271448.07              | $13287817.41                               |
| Month 3  | $1472889.39              | $-13645632.46                              |

### Schedule of Portfolio Investments

| Name                                      | Title                                                      | Identifiers                                   | Payoff Profile   | Asset Category   | Issuer Category   | Country   |   Balance | Units   | Value (USD)   | % of Net Assets   | Maturity Date   | Coupon Type   | Annualized Rate (%)   | Restricted?   |   Fair Value Level | Lending Status   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| Woodside Energy Group Ltd                 | Woodside Energy Group Ltd.                                 | CUSIP: 980228308<br>LEI: 2549005ZC5RXAOO7FH41 | Long             | EC               | CORP              | AU        |     26743 | NS      | $647448.03    | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Newmont Corporation                       | Newmont Goldcorp Corp.                                     | CUSIP: 651639106<br>LEI: 549300VSP3RIX7FGDZ51 | Long             | EC               | CORP              | US        |     47500 | NS      | $2242000.00   | 1.06%             |  |  |  | No            |                  1 | On Loan: No      |
| Atkore Inc                                | Atkore International Group, Inc.                           | CUSIP: 047649108<br>LEI: 52990002TI38AM4RPV48 | Long             | EC               | CORP              | US        |     36500 | NS      | $4139830.00   | 1.96%             |  |  |  | No            |                  1 | On Loan: No      |
| British American Tobacco PLC              | British American Tobacco PLC                               | CUSIP: 110448107<br>LEI: 213800FKA5MF17RJKT63 | Long             | EC               | CORP              | GB        |    300000 | NS      | $11994000.00  | 5.68%             |  |  |  | No            |                  1 | On Loan: No      |
| Westlake Corporation                      | Westlake Corp.                                             | CUSIP: 960413102<br>LEI: GOXNEVUM0LL78B1OS344 | Long             | EC               | CORP              | US        |     70000 | NS      | $7177800.00   | 3.40%             |  |  |  | No            |                  1 | On Loan: No      |
| Medifast Inc                              | Medifast, Inc.                                             | CUSIP: 58470H101<br>LEI: 5299000YHQJ21T5KKI80 | Long             | EC               | CORP              | US        |     35000 | NS      | $4037250.00   | 1.91%             |  |  |  | No            |                  1 | On Loan: No      |
| Roche Holdings, Ltd.                      | Roche Holding AG                                           | CUSIP: 771195104<br>LEI: 549300U41AUUVOAAOB37 | Long             | EC               | CORP              | CH        |     80000 | NS      | $3132000.00   | 1.48%             |  |  |  | No            |                  1 | On Loan: No      |
| Rithm Capital Corp.                       | Rithm Capital Corp                                         | CUSIP: 64828T409<br>LEI: 549300WNTHGEO5LP2G31 | Long             | EP               | CORP              | US        |     10798 | NS      | $207645.54    | 0.10%             |  |  |  | No            |                  1 | On Loan: No      |
| Williams-Sonoma Incorporation             | Williams-Sonoma, Inc.                                      | CUSIP: 969904101<br>LEI: 549300IARG6YWVTZ1I92 | Long             | EC               | CORP              | US        |     48000 | NS      | $5516160.00   | 2.61%             |  |  |  | No            |                  1 | On Loan: No      |
| Encore Wire Corp                          | Encore Wire Corp.                                          | CUSIP: 292562105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     30700 | NS      | $4223092.00   | 2.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Price T Rowe Group                        | T. Rowe Price Group, Inc.                                  | CUSIP: 74144T108<br>LEI: 549300SIV6FPS9Y7IH33 | Long             | EC               | CORP              | US        |     55600 | NS      | $6063736.00   | 2.87%             |  |  |  | No            |                  1 | On Loan: No      |
| PennyMac Mortgage Investment Trust        | PennyMac Mortgage Investment Trust, Series C, 6.75%        | CUSIP: 70931T509<br>LEI: 549300BSSOQO1ZWDUJ97 | Long             | EP               | CORP              | US        |     90000 | NS      | $1543500.00   | 0.73%             |  |  |  | No            |                  1 | On Loan: No      |
| Rithm Capital Corp.                       | Rithm Capital Corp., Series D, 7.00%                       | CUSIP: 64828T706<br>LEI: 549300WNTHGEO5LP2G31 | Long             | EP               | CORP              | US        |     81000 | NS      | $1462860.00   | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Agnc Investment Corp                      | AGNC Investment Corp., Series F, 6.125%                    | CUSIP: 00123Q872<br>LEI: 5TRACI5HRMELWV32OF39 | Long             | EP               | CORP              | US        |     78000 | NS      | $1503840.00   | 0.71%             |  |  |  | No            |                  1 | On Loan: No      |
| Dollar General Corporation                | Dollar General Corp.                                       | CUSIP: 256677105<br>LEI: OPX52SQVOZI8IVSWYU66 | Long             | EC               | CORP              | US        |     20600 | NS      | $5072750.00   | 2.40%             |  |  |  | No            |                  1 | On Loan: No      |
| Discover Financial Services               | Discover Financial Services                                | CUSIP: 254709108<br>LEI: Z1YLO2USPORE63VVUL20 | Long             | EC               | CORP              | US        |     50000 | NS      | $4891500.00   | 2.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Chimera Investment Corporation            | Chimera Investment Corp., Series D, 8.00%                  | CUSIP: 16934Q604<br>LEI: 2JBBQFJOL123LOUBE657 | Long             | EP               | CORP              | US        |     47100 | NS      | $886893.00    | 0.42%             |  |  |  | No            |                  1 | On Loan: No      |
| Agnc Investment Corp                      | AGNC Investment Corp., Series D, 6.875%                    | CUSIP: 00123Q609<br>LEI: 5TRACI5HRMELWV32OF39 | Long             | EP               | CORP              | US        |      8506 | NS      | $168844.10    | 0.08%             |  |  |  | No            |                  1 | On Loan: No      |
| Nexstar Media Group Inc                   | Nexstar Media Group, Inc.                                  | CUSIP: 65336K103<br>LEI: 52990083ZRR5UT591988 | Long             | EC               | CORP              | US        |     25000 | NS      | $4375750.00   | 2.07%             |  |  |  | No            |                  1 | On Loan: No      |
| KforceCom Inc                             | Kforce, Inc.                                               | CUSIP: 493732101<br>LEI: 5493003RDQQDVXY2SK46 | Long             | EC               | CORP              | US        |     50000 | NS      | $2741500.00   | 1.30%             |  |  |  | No            |                  1 | On Loan: No      |
| LCI Industries                            | LCI Industries                                             | CUSIP: 50189K103<br>LEI: 549300E1B98YNJ1WIQ04 | Long             | EC               | CORP              | US        |     32764 | NS      | $3029031.80   | 1.44%             |  |  |  | No            |                  1 | On Loan: No      |
| U-Haul Holding Company                    | AMERCO                                                     | CUSIP: 023586100<br>LEI: 5493003WIDMLDHYC6Y24 | Long             | EC               | CORP              | US        |     13800 | NS      | $830622.00    | 0.39%             |  |  |  | No            |                  1 | On Loan: No      |
| LyondellBasell Industries NV              | Lyondellbasell Industries NV                               | CUSIP: N53745100<br>LEI: BN6WCCZ8OVP3ITUUVN49 | Long             | EC               | CORP              | NL        |     35000 | NS      | $2906050.00   | 1.38%             |  |  |  | No            |                  1 | On Loan: No      |
| BlueLinx Holdings Inc.                    | BlueLinx Holdings, Inc.                                    | CUSIP: 09624H208<br>LEI: 549300YSX7GU28F5I540 | Long             | EC               | CORP              | US        |     63300 | NS      | $4501263.00   | 2.13%             |  |  |  | No            |                  1 | On Loan: No      |
| Olin Corporation                          | Olin Corp.                                                 | CUSIP: 680665205<br>LEI: 549300GKK294V7W57P06 | Long             | EC               | CORP              | US        |     41000 | NS      | $2170540.00   | 1.03%             |  |  |  | No            |                  1 | On Loan: No      |
| U-Haul Holding Company                    | AMERCO                                                     | CUSIP: 023586506<br>LEI: 5493003WIDMLDHYC6Y24 | Long             | EC               | CORP              | US        |    124200 | NS      | $6828516.00   | 3.24%             |  |  |  | No            |                  1 | On Loan: No      |
| Two Harbors Investment Corp.              | Two Harbor's Investment Corp., Series C, 7.25%             | CUSIP: 90187B507<br>LEI: 549300ZUIBT6KH4HU823 | Long             | EP               | CORP              | US        |     87000 | NS      | $1627770.00   | 0.77%             |  |  |  | No            |                  1 | On Loan: No      |
| Celanese Corporation                      | Celanese Corp.                                             | CUSIP: 150870103<br>LEI: 549300FHJQTDPPN41627 | Long             | EC               | CORP              | US        |     22500 | NS      | $2300400.00   | 1.09%             |  |  |  | No            |                  1 | On Loan: No      |
| Tractor Supply Co                         | Tractor Supply Co.                                         | CUSIP: 892356106<br>LEI: 549300OJ9VZHZRO6I137 | Long             | EC               | CORP              | US        |     42500 | NS      | $9561225.00   | 4.53%             |  |  |  | No            |                  1 | On Loan: No      |
| Imperial Brands PLC                       | Imperial Brands PLC                                        | CUSIP: 45262P102<br>LEI: 549300DFVPOB67JL3A42 | Long             | EC               | CORP              | GB        |    171000 | NS      | $4275000.00   | 2.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Rio Tinto PLC                             | Rio Tinto PLC                                              | CUSIP: 767204100<br>LEI: 213800YOEO5OQ72G2R82 | Long             | EC               | CORP              | GB        |     73500 | NS      | $5233200.00   | 2.48%             |  |  |  | No            |                  1 | On Loan: No      |
| Home Depot Inc                            | Home Depot, Inc./The                                       | CUSIP: 437076102<br>LEI: QEKMOTMBBKA8I816DO57 | Long             | EC               | CORP              | US        |     15000 | NS      | $4737900.00   | 2.25%             |  |  |  | No            |                  1 | On Loan: No      |
| Pennsylvania Real Estate Investment Trust | Pennsylvania Real Estate Investment Trust, Series D, 6.88% | CUSIP: 709102701<br>LEI: 5493001GPBXRIG8WJO70 | Long             | EP               | CORP              | US        |     33600 | NS      | $63840.00     | 0.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Enterprise Products Partners L.P.         | Enterprise Products Partners LP                            | CUSIP: 293792107<br>LEI: K4CDIF4M54DJZ6TB4Q48 | Long             | EC               | CORP              | US        |     40000 | NS      | $964800.00    | 0.46%             |  |  |  | No            |                  1 | On Loan: No      |
| BHP Group Ltd.                            | BHP Group Limited                                          | CUSIP: 088606108<br>LEI: WZE1WSENV6JSZFK0JC28 | Long             | EC               | CORP              | AU        |     74000 | NS      | $4591700.00   | 2.18%             |  |  |  | No            |                  1 | On Loan: No      |
| Autozone, Inc.                            | AutoZone, Inc.                                             | CUSIP: 053332102<br>LEI: GA3JGKJ41LJKXDN23E90 | Long             | EC               | CORP              | US        |      6050 | NS      | $14920389.00  | 7.07%             |  |  |  | No            |                  1 | On Loan: No      |
| Barclays PLC                              | Barclays PLC                                               | CUSIP: 06738E204<br>LEI: 213800LBQA1Y9L22JB70 | Long             | EC               | CORP              | GB        |    615000 | NS      | $4797000.00   | 2.27%             |  |  |  | No            |                  1 | On Loan: No      |
| Fidelity National Financial, Inc.         | Fidelity National Financial, Inc.                          | CUSIP: 31620R303<br>LEI: 549300CAZYIH39SYQ287 | Long             | EC               | CORP              | US        |     55000 | NS      | $2069100.00   | 0.98%             |  |  |  | No            |                  1 | On Loan: No      |
| Lam Research Corporation                  | Lam Research Corp.                                         | CUSIP: 512807108<br>LEI: 549300I4GMO6D34U1T02 | Long             | EC               | CORP              | US        |      9700 | NS      | $4076910.00   | 1.93%             |  |  |  | No            |                  1 | On Loan: No      |
| B2Gold Corp.                              | B2Gold Corp.                                               | CUSIP: 11777Q209<br>LEI: 549300F7OK456M5NLM05 | Long             | EC               | CORP              | CA        |   1335000 | NS      | $4765950.00   | 2.26%             |  |  |  | No            |                  1 | On Loan: No      |
| UnitedHealth Group Inc.                   | UnitedHealth Group, Inc.                                   | CUSIP: 91324P102<br>LEI: 549300GHBMY8T5GXDE41 | Long             | EC               | CORP              | US        |     13500 | NS      | $7157430.00   | 3.39%             |  |  |  | No            |                  1 | On Loan: No      |
| BlackRock, Inc.                           | BlackRock, Inc.                                            | CUSIP: 09247X101<br>LEI: 549300LRIF3NWCU26A80 | Long             | EC               | CORP              | US        |      4700 | NS      | $3330561.00   | 1.58%             |  |  |  | No            |                  1 | On Loan: No      |
| Robert Half International Inc.            | Robert Half International, Inc.                            | CUSIP: 770323103<br>LEI: 529900VPCUY9H3HLIC08 | Long             | EC               | CORP              | US        |     65000 | NS      | $4798950.00   | 2.27%             |  |  |  | No            |                  1 | On Loan: No      |
| Skyworks Solutions, Inc.                  | Skyworks Solutions, Inc.                                   | CUSIP: 83088M102<br>LEI: 549300WZ3ORQ2BVKBD96 | Long             | EC               | CORP              | US        |     45000 | NS      | $4100850.00   | 1.94%             |  |  |  | No            |                  1 | On Loan: No      |
| Steel Dynamics, Inc.                      | Steel Dynamics, Inc.                                       | CUSIP: 858119100<br>LEI: 549300HGGKEL4FYTTQ83 | Long             | EC               | CORP              | US        |    160000 | NS      | $15632000.00  | 7.41%             |  |  |  | No            |                  1 | On Loan: No      |
| Elwood Energy LLC                         | Elwood Energy LLC                                          | CUSIP: 290408AB9<br>LEI: 5493008JH2Q2O8Y5MU55 | Long             | DBT              | CORP              | US        |    173732 | PA      | $155211.30    | 0.07%             | 2026-07-05      | Fixed         | 8.16%                 | No            |                  2 | On Loan: No      |
| Thor Industries Inc.                      | Thor Industries, Inc.                                      | CUSIP: 885160101<br>LEI: 254900XZO1228PDSG060 | Long             | EC               | CORP              | US        |     40000 | NS      | $3019600.00   | 1.43%             |  |  |  | No            |                  1 | On Loan: No      |
| F&G Annuities & Life Inc.                 | F&G Annuities & Life, Inc.                                 | CUSIP: 30190A104<br>LEI: N/A                  | Long             | EC               | USGSE             | US        |      3740 | NS      | $74837.40     | 0.04%             |  |  |  | No            |                  1 | On Loan: No      |
| Pool Corporation                          | Pool Corp.                                                 | CUSIP: 73278L105<br>LEI: 5493005VZK1KMN6CO617 | Long             | EC               | CORP              | US        |      6900 | NS      | $2086077.00   | 0.99%             |  |  |  | No            |                  1 | On Loan: No      |
| Elevance Health Inc.                      | Elevance Health, Inc.                                      | CUSIP: 036752103<br>LEI: 8MYN82XMYQH89CTMTH67 | Long             | EC               | CORP              | US        |      9600 | NS      | $4924512.00   | 2.33%             |  |  |  | No            |                  1 | On Loan: No      |
| Credit Acceptance Corporation of Michigan | Credit Acceptance Corp.                                    | CUSIP: 225310101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     23000 | NS      | $10911200.00  | 5.17%             |  |  |  | No            |                  1 | On Loan: No      |
| Molina Healthcare, Inc.                   | Molina Healthcare, Inc.                                    | CUSIP: 60855R100<br>LEI: 549300NQQCEQ46YHZ591 | Long             | EC               | CORP              | US        |     17100 | NS      | $5646762.00   | 2.68%             |  |  |  | No            |                  1 | On Loan: No      |
| AMN Healthcare Services Inc               | AMN Healthcare Services, Inc.                              | CUSIP: 001744101<br>LEI: 529900W3ARRTCNFH2I39 | Long             | EC               | CORP              | US        |     41000 | NS      | $4215620.00   | 2.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Asbury Automotive Group, Inc.             | Asbury Automotive Group, Inc.                              | CUSIP: 043436104<br>LEI: 549300JH4DTA7U42GL91 | Long             | EC               | CORP              | US        |     29500 | NS      | $5287875.00   | 2.51%             |  |  |  | No            |                  1 | On Loan: No      |
| Enova International, Incorporation        | Enova International, Inc.                                  | CUSIP: 29357K103<br>LEI: 549300O8XOCQSB49UO63 | Long             | EC               | CORP              | US        |     96000 | NS      | $3683520.00   | 1.75%             |  |  |  | No            |                  1 | On Loan: No      |
| Essent Group Limited                      | Essent Group Ltd.                                          | CUSIP: G3198U102<br>LEI: 254900QUO860OUT6ZF83 | Long             | EC               | CORP              | BM        |    200000 | NS      | $7776000.00   | 3.69%             |  |  |  | No            |                  1 | On Loan: No      |
| NMI Holdings Inc                          | NMI Holdings, Inc.                                         | CUSIP: 629209305<br>LEI: 529900KNNGFXJX1C3Z08 | Long             | EC               | CORP              | US        |    205000 | NS      | $4284500.00   | 2.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Alphabet Inc.                             | Alphabet, Inc.                                             | CUSIP: 02079K305<br>LEI: 5493006MHB84DD0ZWV18 | Long             | EC               | CORP              | US        |     50000 | NS      | $4411500.00   | 2.09%             |  |  |  | No            |                  1 | On Loan: No      |
| N/A                                       | Reich & Tang Deposit Account                               | CUSIP: N/A<br>LEI: N/A                        | Long             | STIV             |  | US        |       658 | PA      | $658.06       | 0.00%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2022-12-31

**Name of Applicant:** Dividend and Income Fund

**Signature:** Russell Kamerman

**Name of Signer:** Russell Kamerman

**Title:** General Counsel