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Carlyle Group

Name Holding Trade Value Shares
Change
Change in
Stake
NCCM
126
Nine Chapters Capital Management
New Jersey
– -$956K -27,200 Closed
LCM
127
Levitt Capital Management
Florida
– -$889K -25,313 Closed
USGIU
128
U.S. Global Investors (USGI)
Texas
– -$597K -17,000 Closed
HighTower Advisors
129
HighTower Advisors
Illinois
– -$541K -15,391 Closed
SG Americas Securities
130
SG Americas Securities
New York
– -$506K -14,400 Closed
American Century Companies
131
American Century Companies
Missouri
– -$489K -13,927 Closed
JG
132
Jefferies Group
New York
– -$348K -9,900 Closed
QI
133
Quotient Investors
New York
– -$257K -7,300 Closed
YMRC
134
Yorktown Management & Research Company
Virginia
– -$200K -5,700 Closed
TI
135
Turner Investments
Pennsylvania
– -$32K -900 Closed