B. Riley Financial’s State Street SPDR Bloomberg Convertible Securities ETF CWB Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-3,832	Closed	-$207K	–	204
2018 Q2	$207K	Sell	3,832 -165	-4%	-$8.71K	0.05%	274
2018 Q1	$206K	Sell	3,997 -4,247	-52%	-$221K	0.06%	256
2017 Q4	$417K	Buy	8,244 +1,153	+16%	+$59.3K	0.11%	181
2017 Q3	$362K	Buy	+7,091	New	+$359K	0.1%	202

Other funds holding CWB

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

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

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

Deutsche Bank Frankfurt Am Main Ge, Germany $344B AUM 42.99% 1-Year Est. Return

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

Bank of Montreal Toronto, Ontario, Canada $304B AUM 35.64% 1-Year Est. Return

MFM

MD Financial Management Ottawa, Ontario, Canada $4.15B AUM 11.74% 1-Year Est. Return

PNC Financial Services Group Pittsburgh, Pennsylvania $202B AUM 37.79% 1-Year Est. Return

Jane Street New York $1.21T AUM 78.12% 1-Year Est. Return

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

B. Riley Financial's CWB Position: Q3 2018 in Review

B. Riley Financial sold out of State Street SPDR Bloomberg Convertible Securities ETF (CWB) in Q3 2018, closing a stake of 3,832 shares — an estimated $207K sold.

B. Riley Financial first reported a position in CWB in Q3 2017 and held it in 4 quarters. The position peaked at $417K in Q4 2017. 345 funds tracked by Wall St. Rank hold CWB as of Q3 2018.

B. Riley Financial reported no remaining State Street SPDR Bloomberg Convertible Securities ETF position as of Q3 2018 after selling out during the quarter.
B. Riley Financial sold 3,832 State Street SPDR Bloomberg Convertible Securities ETF shares in Q3 2018, an estimated $207K.
B. Riley Financial first reported a position in State Street SPDR Bloomberg Convertible Securities ETF in Q3 2017 and held it in 4 quarters.
B. Riley Financial's State Street SPDR Bloomberg Convertible Securities ETF position peaked at $417K in Q4 2017.
345 funds tracked by Wall St. Rank held State Street SPDR Bloomberg Convertible Securities ETF as of Q3 2018.

Based on B. Riley Financial's 13F filing for Q3 2018, filed 13 Nov 2018.