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

TIM

Thornburg Investment Management Santa Fe, New Mexico $10.5B AUM 30.38% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $672B AUM 33.48% 1-Year Est. Return

VNIM

Vaughan Nelson Investment Management Houston, Texas $11.3B AUM 53% 1-Year Est. Return

CIM

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

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

D.E. Shaw & Co New York $210B AUM 57.28% 1-Year Est. Return

Muzinich & Co New York $293M AUM 18.57% 1-Year Est. Return

Ameriprise Minneapolis, Minnesota $495B AUM 43.24% 1-Year Est. Return

OAC

OMERS Administration Corp Toronto, Ontario, Canada $16.7B AUM 35.96% 1-Year Est. Return

B. Riley Financial's ARCC Position: Q4 2018 in Review

B. Riley Financial sold out of Ares Capital (ARCC) in Q4 2018, closing a stake of 76,833 shares — an estimated $1.32M sold.

B. Riley Financial first reported a position in ARCC in Q4 2015 and held it in 12 quarters. The position peaked at $1.34M in Q1 2017. 469 funds tracked by Wall St. Rank hold ARCC as of Q4 2018.

B. Riley Financial reported no remaining Ares Capital position as of Q4 2018 after selling out during the quarter.
B. Riley Financial sold 76,833 Ares Capital shares in Q4 2018, an estimated $1.32M.
B. Riley Financial first reported a position in Ares Capital in Q4 2015 and held it in 12 quarters.
B. Riley Financial's Ares Capital position peaked at $1.34M in Q1 2017.
469 funds tracked by Wall St. Rank held Ares Capital as of Q4 2018.

Based on B. Riley Financial's 13F filing for Q4 2018, filed 7 Feb 2019.