Advisors Asset Management’s Retail Opportunity Investments Corp. ROIC Stock Holding History

Advisors Asset Management’s Portfolio ROIC Stock Details ROIC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2016 Q3	–	Sell	-23,143	Closed	-$502K	–	1867
2016 Q2	$502K	Sell	23,143 -2,898	-11%	-$58.6K	0.01%	1098
2016 Q1	$524K	Sell	26,041 -1,260	-5%	-$23.3K	0.01%	1064
2015 Q4	$489K	Sell	27,301 -1,773	-6%	-$31.6K	0.01%	1137
2015 Q3	$481K	Sell	29,074 -47	-0.2%	-$776	0.01%	1092
2015 Q2	$455K	Sell	29,121 -1,476	-5%	-$24.7K	0.01%	1155
2015 Q1	$560K	Buy	30,597 +8,124	+36%	+$143K	0.01%	1054
2014 Q4	$377K	Buy	22,473 +19,628	+690%	+$316K	0.01%	1153
2014 Q3	$42K	Buy	+2,845	New	+$44.4K	﹤0.01%	1675

Other funds holding ROIC

Vanguard Group Malvern, Pennsylvania $6.9T AUM 27.45% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

BFA

BlackRock Fund Advisors San Francisco, California $542B AUM 18.13% 1-Year Est. Return

T. Rowe Price Associates Baltimore, Maryland $865B AUM 30.76% 1-Year Est. Return

BIT

BlackRock Institutional Trust San Francisco, California $675B AUM 16.07% 1-Year Est. Return

Lord, Abbett & Co Jersey City, New Jersey $30.6B AUM 57.44% 1-Year Est. Return

State Street Boston, Massachusetts $2.9T AUM 29.55% 1-Year Est. Return

ACI

AMP Capital Investors Sydney, Australia $2.37B AUM 23.59% 1-Year Est. Return

Bank of New York Mellon New York $544B AUM 28.31% 1-Year Est. Return

Teachers Advisors New York $81.7B AUM 13.62% 1-Year Est. Return

Advisors Asset Management's ROIC Position: Q3 2016 in Review

Advisors Asset Management sold out of Retail Opportunity Investments Corp. (ROIC) in Q3 2016, closing a stake of 23,143 shares — an estimated $502K sold.

Advisors Asset Management first reported a position in ROIC in Q3 2014 and held it in 8 quarters. The position peaked at $560K in Q1 2015. 206 funds tracked by Wall St. Rank hold ROIC as of Q3 2016.

Advisors Asset Management reported no remaining Retail Opportunity Investments Corp. position as of Q3 2016 after selling out during the quarter.
Advisors Asset Management sold 23,143 Retail Opportunity Investments Corp. shares in Q3 2016, an estimated $502K.
Advisors Asset Management first reported a position in Retail Opportunity Investments Corp. in Q3 2014 and held it in 8 quarters.
Advisors Asset Management's Retail Opportunity Investments Corp. position peaked at $560K in Q1 2015.
206 funds tracked by Wall St. Rank held Retail Opportunity Investments Corp. as of Q3 2016.

Based on Advisors Asset Management's 13F filing for Q3 2016, filed 31 Oct 2016.