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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Shares Change %	Capital Flow	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-3,832	Closed	-$207K	–	199
2018 Q2	$207K	Sell	3,832 -165	-4%	-$8.91K	0.05%	269
2018 Q1	$206K	Sell	3,997 -4,247	-52%	-$219K	0.06%	249
2017 Q4	$417K	Buy	8,244 +1,153	+16%	+$58.3K	0.11%	171
2017 Q3	$362K	Buy	+7,091	New	+$362K	0.1%	192