Tocqueville Asset Management’s HSBC USA INC PFD SERIES F FLOATING RATE HUSI.PRF Stock Holding History

Tocqueville Asset Management’s Portfolio HUSI.PRF Stock Details HUSI.PRF Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2016 Q1	–	Sell	-25,000	Closed	-$552K	–	955
2015 Q4	$552K	Hold	25,000	–	–	0.01%	642
2015 Q3	$537K	Hold	25,000	–	–	0.01%	685
2015 Q2	$559K	Hold	25,000	–	–	0.01%	686
2015 Q1	$578K	Sell	25,000 -15,000	-38%	-$337K	0.01%	687
2014 Q4	$904K	Buy	+40,000	New	+$880K	0.01%	600

Other funds holding HUSI.PRF

LRIC

Long Road Investment Counsel Kalamazoo, Michigan $255M AUM 12.85% 1-Year Est. Return

Tocqueville Asset Management's HUSI.PRF Position: Q1 2016 in Review

Tocqueville Asset Management sold out of HSBC USA INC PFD SERIES F FLOATING RATE (HUSI.PRF) in Q1 2016, closing a stake of 25,000 shares — an estimated $552K sold.

Tocqueville Asset Management first reported a position in HUSI.PRF in Q4 2014 and held it in 5 quarters. The position peaked at $904K in Q4 2014. 1 fund tracked by Wall St. Rank holds HUSI.PRF as of Q1 2016.

Tocqueville Asset Management reported no remaining HSBC USA INC PFD SERIES F FLOATING RATE position as of Q1 2016 after selling out during the quarter.
Tocqueville Asset Management sold 25,000 HSBC USA INC PFD SERIES F FLOATING RATE shares in Q1 2016, an estimated $552K.
Tocqueville Asset Management first reported a position in HSBC USA INC PFD SERIES F FLOATING RATE in Q4 2014 and held it in 5 quarters.
Tocqueville Asset Management's HSBC USA INC PFD SERIES F FLOATING RATE position peaked at $904K in Q4 2014.
1 fund tracked by Wall St. Rank held HSBC USA INC PFD SERIES F FLOATING RATE as of Q1 2016.

Based on Tocqueville Asset Management's 13F filing for Q1 2016, filed 29 Apr 2016.