B. Riley Financial’s PIMCO Short Term Municipal Bond Active Exchange-Traded Fund SMMU Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2017 Q4	–	Sell	-3,972	Closed	-$200K	–	340
2017 Q3	$200K	Buy	+3,972	New	+$200K	0.05%	273
2016 Q4	–	Sell	-3,972	Closed	-$200K	–	150
2016 Q3	$200K	Hold	3,972	–	–	0.13%	131
2016 Q2	$201K	Hold	3,972	–	–	0.12%	121
2016 Q1	$201K	Buy	+3,972	New	+$201K	0.15%	113

Other funds holding SMMU

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

SCA

Stokes Capital Advisors Greenwood, South Carolina $446M AUM 13.55% 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

Advisors Preferred Rockville, Maryland $679M AUM 22.19% 1-Year Est. Return

Jane Street New York $777B AUM 61.18% 1-Year Est. Return

Commonwealth Equity Services Waltham, Massachusetts $71.6B AUM 21.08% 1-Year Est. Return

First Trust Advisors Wheaton, Illinois $140B AUM 27.84% 1-Year Est. Return

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

PEA

Pacific Edge Advisors Corona Del Mar, California $206M AUM 26.47% 1-Year Est. Return

B. Riley Financial's SMMU Position: Q4 2017 in Review

B. Riley Financial sold out of PIMCO Short Term Municipal Bond Active Exchange-Traded Fund (SMMU) in Q4 2017, closing a stake of 3,972 shares — an estimated $200K sold.

B. Riley Financial first reported a position in SMMU in Q1 2016 and held it in 4 quarters. The position peaked at $201K in Q2 2016. 28 funds tracked by Wall St. Rank hold SMMU as of Q4 2017.

B. Riley Financial reported no remaining PIMCO Short Term Municipal Bond Active Exchange-Traded Fund position as of Q4 2017 after selling out during the quarter.
B. Riley Financial sold 3,972 PIMCO Short Term Municipal Bond Active Exchange-Traded Fund shares in Q4 2017, an estimated $200K.
B. Riley Financial first reported a position in PIMCO Short Term Municipal Bond Active Exchange-Traded Fund in Q1 2016 and held it in 4 quarters.
B. Riley Financial's PIMCO Short Term Municipal Bond Active Exchange-Traded Fund position peaked at $201K in Q2 2016.
28 funds tracked by Wall St. Rank held PIMCO Short Term Municipal Bond Active Exchange-Traded Fund as of Q4 2017.

Based on B. Riley Financial's 13F filing for Q4 2017, filed 9 Feb 2018.