NWAM LLC’s Special Opportunities Fund SPE Stock Holding History

NWAM LLC’s Portfolio SPE Stock Details SPE Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2021 Q1	–	Sell	-18,182	Closed	-$245K	–	528
2020 Q4	$245K	Hold	18,182	–	–	0.03%	386
2020 Q3	$216K	Hold	18,182	–	–	0.04%	212
2020 Q2	$196K	Hold	18,182	–	–	0.03%	385
2020 Q1	$165K	Hold	18,182	–	–	4.45%	7
2019 Q4	$256K	Hold	18,182	–	–	0.04%	331
2019 Q3	$247K	Hold	18,182	–	–	0.05%	317
2019 Q2	$239K	Hold	18,182	–	–	0.05%	310
2019 Q1	$233K	Hold	18,182	–	–	0.05%	300
2018 Q4	$206K	Hold	18,182	–	–	0.05%	294
2018 Q3	$261K	Hold	18,182	–	–	0.06%	283
2018 Q2	$261K	Hold	18,182	–	–	0.06%	277
2018 Q1	$256K	Hold	18,182	–	–	0.06%	270
2017 Q4	$258K	Hold	18,182	–	–	0.07%	250
2017 Q3	$275K	Hold	18,182	–	–	0.07%	247
2017 Q2	$264K	Hold	18,182	–	–	0.05%	245
2017 Q1	$254K	Hold	18,182	–	–	0.08%	242
2016 Q4	$237K	Buy	+18,182	New	+$245K	0.08%	241
2016 Q3	–	Sell	-18,182	Closed	-$239K	–	290
2016 Q2	$239K	Hold	18,182	–	–	0.09%	197
2016 Q1	$227K	Hold	18,182	–	–	0.09%	203
2015 Q4	$229K	Buy	+18,182	New	+$247K	0.09%	204
2015 Q3	–	Sell	-17,796	Closed	-$266K	–	224
2015 Q2	$266K	Sell	17,796 -386	-2%	-$5.7K	0.11%	181
2015 Q1	$268K	Hold	18,182	–	–	0.11%	180
2014 Q4	$267K	Hold	18,182	–	–	0.12%	175
2014 Q3	$290K	Hold	18,182	–	–	0.1%	199
2014 Q2	$290K	Hold	18,182	–	–	0.09%	211
2014 Q1	$282K	Buy	+18,182	New	+$285K	0.1%	187

Other funds holding SPE

RVPG

Relative Value Partners Group $772M AUM 15.6% 1-Year Est. Return

SFS

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

EPIQ Partners Minneapolis, Minnesota $236M AUM 15.39% 1-Year Est. Return

SIA

Sit Investment Associates Minneapolis, Minnesota $4.93B AUM 12.22% 1-Year Est. Return

RCM

Rivernorth Capital Management West Palm Beach, Florida $2B AUM 0.66% 1-Year Est. Return

BBPWM

Blue Bell Private Wealth Management Blue Bell, Pennsylvania $696M AUM 17.73% 1-Year Est. Return

CSS LLC Chicago, Illinois $2.09B AUM 59.56% 1-Year Est. Return

Ancora Advisors Cleveland, Ohio $4.7B AUM 19.05% 1-Year Est. Return

LCM

Landscape Capital Management Englewood, New Jersey $1.58B AUM 26.88% 1-Year Est. Return

SCM

Saba Capital Management New York $3.62B AUM 13% 1-Year Est. Return

NWAM LLC's SPE Position: Q1 2021 in Review

NWAM LLC sold out of Special Opportunities Fund (SPE) in Q1 2021, closing a stake of 18,182 shares — an estimated $245K sold.

NWAM LLC first reported a position in SPE in Q1 2014 and held it in 26 quarters. The position peaked at $290K in Q3 2014. 35 funds tracked by Wall St. Rank hold SPE as of Q1 2021.

NWAM LLC reported no remaining Special Opportunities Fund position as of Q1 2021 after selling out during the quarter.
NWAM LLC sold 18,182 Special Opportunities Fund shares in Q1 2021, an estimated $245K.
NWAM LLC first reported a position in Special Opportunities Fund in Q1 2014 and held it in 26 quarters.
NWAM LLC's Special Opportunities Fund position peaked at $290K in Q3 2014.
35 funds tracked by Wall St. Rank held Special Opportunities Fund as of Q1 2021.

Based on NWAM LLC's 13F filing for Q1 2021, filed 23 Apr 2021.