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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
– -$103M -10,321,868 Closed
SIA
2
Sit Investment Associates
Minnesota
– -$19.3M -1,925,513 Closed
1CP
3
1607 Capital Partners
Virginia
– -$17.3M -1,726,277 Closed
Wells Fargo
4
Wells Fargo
California
– -$10.6M -1,061,991 Closed
RCM
5
Rivernorth Capital Management
Florida
– -$7.94M -792,473 Closed
CCP
6
Clough Capital Partners
Massachusetts
– -$3.26M -325,100 Closed
Lido Advisors
7
Lido Advisors
California
– -$1.46M -146,206 Closed
DWM
8
Dakota Wealth Management
Florida
– -$1.21M -120,975 Closed
GC
9
Guggenheim Capital
Illinois
– -$914K -91,232 Closed
Bank of America
10
Bank of America
North Carolina
– -$909K -90,746 Closed
Morgan Stanley
11
Morgan Stanley
New York
– -$708K -70,616 Closed
SCM
12
Saba Capital Management
New York
– -$442K -44,100 Closed
UBS Group
13
UBS Group
Switzerland
– -$417K -41,570 Closed
GCP
14
Gill Capital Partners
Colorado
– -$395K -39,464 Closed
LPL Financial
15
LPL Financial
California
– -$394K -39,287 Closed
Invesco
16
Invesco
Georgia
– -$364K -36,345 Closed
KA
17
Kovack Advisors
Florida
– -$296K -29,500 Closed
FNT
18
First Nebraska Trust
Nebraska
– -$195K -19,425 Closed
Fiera Capital (Canada)
19
Fiera Capital (Canada)
Quebec, Canada
– -$187K -18,703 Closed
Millennium Management
20
Millennium Management
New York
– -$160K -15,982 Closed
RFM
21
Royal Fund Management
Florida
– -$139K -13,949 Closed
DAS
22
Dynamic Advisor Solutions
Arizona
– -$132K -13,125 Closed
Franklin Resources
23
Franklin Resources
California
– -$130K -13,000 Closed
HKAM
24
Horizon Kinetics Asset Management
New York
– -$124K -12,425 Closed
Susquehanna International Group
25
Susquehanna International Group
Pennsylvania
– -$110K -11,019 Closed
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