B. Riley Financial’s Ares Capital ARCC Stock Holding History

B. Riley Financial’s Portfolio ARCC Stock Details ARCC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q4	–	Sell	-76,833	Closed	-$1.32M	–	111
2018 Q3	$1.32M	Sell	76,833 -1,000	-1%	-$17.1K	0.37%	55
2018 Q2	$1.28M	Sell	77,833 -1,115	-1%	-$18.3K	0.34%	58
2018 Q1	$1.25M	Buy	78,948 +500	+0.6%	+$7.92K	0.35%	62
2017 Q4	$1.23M	Hold	78,448	–	–	0.32%	67
2017 Q3	$1.29M	Buy	78,448 +1,715	+2%	+$27.8K	0.35%	76
2017 Q2	$1.26M	Sell	76,733 -570	-0.7%	-$9.6K	0.34%	69
2017 Q1	$1.34M	Sell	77,303 -596	-0.8%	-$10.3K	0.67%	37
2016 Q4	$1.28M	Buy	77,899 +1,121	+1%	+$17.6K	0.86%	34
2016 Q3	$1.19M	Buy	76,778 +1,000	+1%	+$15.3K	0.76%	34
2016 Q2	$1.08M	Hold	75,778	–	–	0.62%	39
2016 Q1	$1.13M	Buy	75,778 +3,676	+5%	+$50.6K	0.83%	38
2015 Q4	$1.03M	Buy	+72,102	New	+$1.09M	0.74%	38

Other funds holding ARCC

Thornburg Investment Management Santa Fe, New Mexico $9.63B AUM 35.65% 1-Year Est. Return

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

Royal Bank of Canada

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

Vaughan Nelson Investment Management Houston, Texas $9.96B AUM 41% 1-Year Est. Return

Confluence Investment Management St. Louis, Missouri $6.4B AUM 9.79% 1-Year Est. Return

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

D.E. Shaw & Co New York $166B AUM 43.98% 1-Year Est. Return

Muzinich & Co New York $286M AUM 21.05% 1-Year Est. Return

Ameriprise Minneapolis, Minnesota $432B AUM 30.22% 1-Year Est. Return

OMERS Administration Corp Toronto, Ontario, Canada $15.6B AUM 24.73% 1-Year Est. Return