Horizon Kinetics’s First Trust Senior Floating Rate Income Fund II FCT Stock Holding History

Horizon Kinetics’s Portfolio FCT Stock Details FCT Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q3	–	Sell	-49,800	Closed	-$655K	–	512
2015 Q2	$655K	Hold	49,800	–	–	0.01%	380
2015 Q1	$688K	Sell	49,800 -2,500	-5%	-$33.3K	0.01%	380
2014 Q4	$680K	Hold	52,300	–	–	0.01%	390
2014 Q3	$709K	Hold	52,300	–	–	0.01%	373
2014 Q2	$747K	Hold	52,300	–	–	0.01%	382
2014 Q1	$756K	Sell	52,300 -500	-0.9%	-$7.18K	0.01%	370
2013 Q4	$766K	Hold	52,800	–	–	0.01%	278
2013 Q3	$756K	Hold	52,800	–	–	0.01%	269
2013 Q2	$800K	Buy	+52,800	New	+$837K	0.01%	273

Other funds holding FCT

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

Baillie Gifford & Co Edinburgh, United Kingdom $97.9B AUM 20.73% 1-Year Est. Return

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

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

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

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

YMRC

Yorktown Management & Research Company Forest, Virginia $120M AUM 52.72% 1-Year Est. Return

Gradient Investments Arden Hills, Minnesota $7.25B AUM 20.71% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Klingman & Associates New York $2.09B AUM 16.49% 1-Year Est. Return

Horizon Kinetics's FCT Position: Q3 2015 in Review

Horizon Kinetics sold out of First Trust Senior Floating Rate Income Fund II (FCT) in Q3 2015, closing a stake of 49,800 shares — an estimated $655K sold.

Horizon Kinetics first reported a position in FCT in Q2 2013 and held it in 9 quarters. The position peaked at $800K in Q2 2013. 40 funds tracked by Wall St. Rank hold FCT as of Q3 2015.

Horizon Kinetics reported no remaining First Trust Senior Floating Rate Income Fund II position as of Q3 2015 after selling out during the quarter.
Horizon Kinetics sold 49,800 First Trust Senior Floating Rate Income Fund II shares in Q3 2015, an estimated $655K.
Horizon Kinetics first reported a position in First Trust Senior Floating Rate Income Fund II in Q2 2013 and held it in 9 quarters.
Horizon Kinetics's First Trust Senior Floating Rate Income Fund II position peaked at $800K in Q2 2013.
40 funds tracked by Wall St. Rank held First Trust Senior Floating Rate Income Fund II as of Q3 2015.

Based on Horizon Kinetics's 13F filing for Q3 2015, filed 13 Nov 2015.