Ameriprise’s HELIOS ADVANTAGE INCOME FD, INC HAV Stock Holding History

Ameriprise’s Portfolio HAV Stock Details HAV Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2013 Q4	–	Sell	-1,800	Closed	-$15K	–	5863
2013 Q3	$15K	Hold	1,800	–	–	﹤0.01%	4633
2013 Q2	$15K	Buy	+1,800	New	+$16K	﹤0.01%	4516

Other funds holding HAV

Horizon Kinetics New York $3.06B AUM 5.37% 1-Year Est. Return

PRCM

Pine River Capital Management Minnetonka, Minnesota $32.9M AUM 4.47% 1-Year Est. Return

SIA

Sit Investment Associates Minneapolis, Minnesota $4.93B AUM 12.22% 1-Year Est. Return

UBS Zurich, Switzerland $136B AUM 16.36% 1-Year Est. Return

FAAS

First Allied Advisory Services San Diego, California $2.98B AUM 15.89% 1-Year Est. Return

RJA

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

SCM

Saba Capital Management New York $3.62B AUM 13% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

DAM

Delta Asset Management Memphis, Tennessee $1.1B AUM 14.89% 1-Year Est. Return

Ameriprise's HAV Position: Q4 2013 in Review

Ameriprise sold out of HELIOS ADVANTAGE INCOME FD, INC (HAV) in Q4 2013, closing a stake of 1,800 shares — an estimated $15K sold.

Ameriprise first reported a position in HAV in Q2 2013 and held it in 2 quarters. The position peaked at $15K in Q3 2013. 14 funds tracked by Wall St. Rank hold HAV as of Q4 2013.

Ameriprise reported no remaining HELIOS ADVANTAGE INCOME FD, INC position as of Q4 2013 after selling out during the quarter.
Ameriprise sold 1,800 HELIOS ADVANTAGE INCOME FD, INC shares in Q4 2013, an estimated $15K.
Ameriprise first reported a position in HELIOS ADVANTAGE INCOME FD, INC in Q2 2013 and held it in 2 quarters.
Ameriprise's HELIOS ADVANTAGE INCOME FD, INC position peaked at $15K in Q3 2013.
14 funds tracked by Wall St. Rank held HELIOS ADVANTAGE INCOME FD, INC as of Q4 2013.

Based on Ameriprise's 13F filing for Q4 2013, filed 14 Feb 2014.