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DUC

Duff & Phelps Utility & Corporate Bond Trust
DUC

Delisted

DUC was delisted on the 5th of March, 2021.

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Name Holding Trade Value Shares
Change 		Change in
Stake
KIM
1
Karpus Investment Management
New York
$80.5M +$19.2M +2,116,770 +28%
RCM
2
Rivernorth Capital Management
Florida
$17M +$15.7M +1,727,400 +573%
1CP
3
1607 Capital Partners
Virginia
$15.3M +$237K +26,100 +1%
Wells Fargo
4
Wells Fargo
California
$9.64M -$347K -38,215 -3%
IA
5
Icon Advisers
Colorado
$6.09M -$716K -78,877 -10%
SIA
6
Sit Investment Associates
Minnesota
$4.96M -$30.9M -3,400,060 -85%
Invesco
7
Invesco
Georgia
$2.08M -$122K -13,420 -5%
GC
8
Guggenheim Capital
Illinois
$1.49M +$83.4K +9,192 +5%
DWM
9
Dakota Wealth Management
Florida
$925K +$33.1K +3,648 +3%
UBS Group
10
UBS Group
Switzerland
$467K -$220K -24,214 -30%
GCP
11
Gill Capital Partners
Colorado
$407K +$441K +48,571 New
Morgan Stanley
12
Morgan Stanley
New York
$376K +$77.8K +8,570 +24%
Bank of America
13
Bank of America
North Carolina
$330K +$4.4K +485 +1%
LPL Financial
14
LPL Financial
California
$327K +$2.89K +318 +0.8%
Lido Advisors
15
Lido Advisors
California
$241K -$90K -9,914 -26%
KA
16
Kovack Advisors
Florida
$239K +$259K +28,500 New
FNT
17
First Nebraska Trust
Nebraska
$186K -$1.06K -117 -0.5%
Fiera Capital (Canada)
18
Fiera Capital (Canada)
Quebec, Canada
$173K +$12.5K +1,379 +7%
RFM
19
Royal Fund Management
Florida
$116K – – –
Franklin Resources
20
Franklin Resources
California
$109K +$118K +13,000 New
FIA
21
FNY Investment Advisers
New York
$106K -$77.1K -8,495 -40%
CCP
22
Clough Capital Partners
Massachusetts
$105K -$273K -30,134 -71%
HKAM
23
Horizon Kinetics Asset Management
New York
$104K – – –
MSFP
24
Mark Sheptoff Financial Planning
Connecticut
$33K – – –
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$31K +$3.63K +400 +12%
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