Harbour Investments’s PGIM US Large-Cap Buffer 12 ETF - September SEPP Stock Holding History

Harbour Investments’s Portfolio SEPP Stock Details SEPP Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2026 Q1	–	Sell	-400	Closed	-$12.2K	–	4787
2025 Q4	$12.2K	Hold	400	–	–	﹤0.01%	2650
2025 Q3	$12K	Sell	400 -500	-56%	-$14.5K	﹤0.01%	2599
2025 Q2	$24.9K	Hold	900	–	–	﹤0.01%	2139
2025 Q1	$24.1K	Hold	900	–	–	﹤0.01%	2105
2024 Q4	$24.4K	Hold	900	–	–	﹤0.01%	2036
2024 Q3	$23.7K	Buy	+900	New	+$23.2K	﹤0.01%	1980

Other funds holding SEPP

Prudential Financial Newark, New Jersey $81.2B AUM 27.81% 1-Year Est. Return

AAS

Ameritas Advisory Services Lincoln, Nebraska $2.58B AUM 18.84% 1-Year Est. Return

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

OMC

Old Mission Capital Chicago, Illinois $6.3B AUM 14.68% 1-Year Est. Return

Sanctuary Advisors Indianapolis, Indiana $18.5B AUM 23.32% 1-Year Est. Return

SPIA

Steward Partners Investment Advisory New York $19.6B AUM 22.89% 1-Year Est. Return

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

PNC Financial Services Group Pittsburgh, Pennsylvania $173B AUM 20.72% 1-Year Est. Return

DFA

DHJJ Financial Advisors Naperville, Illinois $302M AUM 16.88% 1-Year Est. Return

Harbour Investments's SEPP Position: Q1 2026 in Review

Harbour Investments sold out of PGIM US Large-Cap Buffer 12 ETF - September (SEPP) in Q1 2026, closing a stake of 400 shares — an estimated $12.2K sold.

Harbour Investments first reported a position in SEPP in Q3 2024 and held it in 6 quarters. The position peaked at $24.9K in Q2 2025. 9 funds tracked by Wall St. Rank hold SEPP as of Q1 2026.

Harbour Investments reported no remaining PGIM US Large-Cap Buffer 12 ETF - September position as of Q1 2026 after selling out during the quarter.
Harbour Investments sold 400 PGIM US Large-Cap Buffer 12 ETF - September shares in Q1 2026, an estimated $12.2K.
Harbour Investments first reported a position in PGIM US Large-Cap Buffer 12 ETF - September in Q3 2024 and held it in 6 quarters.
Harbour Investments's PGIM US Large-Cap Buffer 12 ETF - September position peaked at $24.9K in Q2 2025.
9 funds tracked by Wall St. Rank held PGIM US Large-Cap Buffer 12 ETF - September as of Q1 2026.

Based on Harbour Investments's 13F filing for Q1 2026, filed 15 May 2026.