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ASP

AMERN STRATEGIC INCOME PORTFOL
ASP

Delisted

ASP was delisted on the 5th of September, 2014.

Name Holding Trade Value Shares
Change
Change in
Stake
GBA
1
Garrison Bradford & Associates
New York
$2.63M +$2.81M +250,999 New
SIA
2
Sit Investment Associates
Minnesota
$2.07M +$2.22M +198,096 New
SNC
3
Stifel Nicolaus & Co
Missouri
$1.55M +$1.66M +148,412 New
WCM
4
Windsor Capital Management
Arizona
$941K +$1M +89,847 New
NPC
5
National Planning Corporation
California
$861K +$919K +82,198 New
DA
6
Doliver Advisors
Texas
$740K +$790K +70,636 New
Wells Fargo
7
Wells Fargo
California
$719K +$768K +68,720 New
PMG
8
ProVise Management Group
Florida
$665K +$710K +63,453 New
MFS
9
MSI Financial Services
Massachusetts
$316K +$338K +30,205 New
TC
10
TFS Capital
Pennsylvania
$219K +$234K +20,892 New
Citigroup
11
Citigroup
New York
$196K +$210K +18,751 New
HK
12
Horizon Kinetics
New York
$150K +$161K +14,365 New
LPL Financial
13
LPL Financial
California
$144K +$154K +13,795 New
Bank of America
14
Bank of America
North Carolina
$94K +$101K +9,000 New
Barclays
15
Barclays
United Kingdom
$75K +$79.8K +7,139 New
U
16
UBS
Switzerland
$56K +$59.8K +5,350 New
TJHA
17
Thomas J. Herzfeld Advisors
Florida
$27K +$29.1K +2,600 New
Ameriprise
18
Ameriprise
Minnesota
$23K +$24.8K +2,217 New
US Bancorp
19
US Bancorp
Minnesota
$21K +$22.4K +2,000 New
DADC
20
D.A. Davidson & Co
Montana
$16K +$17.3K +1,543 New
LTFS
21
Ladenburg Thalmann Financial Services
Florida
$6K +$6.23K +557 New
Creative Planning
22
Creative Planning
Kansas
$2K +$2.13K +190 New
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$2K +$2.24K +200 New
TRCT
24
Tower Research Capital (TRC)
New York
$1K +$1.43K +128 New