B. Riley Financial’s First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest FIV Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-14,733	Closed	-$137K	–	315
2018 Q2	$137K	Hold	14,733	–	–	0.04%	288
2018 Q1	$138K	Buy	14,733 +1,706	+13%	+$15.9K	0.04%	272
2017 Q4	$119K	Sell	13,027 -8,312	-39%	-$77.8K	0.03%	290
2017 Q3	$207K	Buy	+21,339	New	+$210K	0.06%	267

Other funds holding FIV

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

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

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

SCM

Sterneck Capital Management Kansas City, Missouri $223M AUM 17.15% 1-Year Est. Return

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

MIG

Mariner Investment Group Harrison, New York $346M AUM 25.25% 1-Year Est. Return

SFS

Shaker Financial Services Arlington, Virginia $319M AUM 3.9% 1-Year Est. Return

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

B. Riley Financial sold out of First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest (FIV) in Q3 2018, closing a stake of 14,733 shares — an estimated $137K sold.

B. Riley Financial first reported a position in FIV in Q3 2017 and held it in 4 quarters. The position peaked at $207K in Q3 2017. 35 funds tracked by Wall St. Rank hold FIV as of Q3 2018.

B. Riley Financial reported no remaining First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest position as of Q3 2018 after selling out during the quarter.
B. Riley Financial sold 14,733 First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest shares in Q3 2018, an estimated $137K.
B. Riley Financial first reported a position in First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest in Q3 2017 and held it in 4 quarters.
B. Riley Financial's First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest position peaked at $207K in Q3 2017.
35 funds tracked by Wall St. Rank held First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest as of Q3 2018.

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