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HMH

HELIOS MULTI-SECTOR HIGH INCOME FD, INC
HMH

Delisted

HMH was delisted on the 12th of August, 2014.

Name Holding Trade Value Shares
Change
Change in
Stake
HK
1
Horizon Kinetics
New York
$1.26M +$1.35M +220,841 New
PRCM
2
Pine River Capital Management
Minnesota
$600K +$644K +105,025 New
SFS
3
Shaker Financial Services
Virginia
$445K +$477K +77,821 New
YMRC
4
Yorktown Management & Research Company
Virginia
$419K +$450K +73,300 New
OC
5
Oppenheimer & Co
New York
$372K +$399K +65,047 New
DA
6
Doliver Advisors
Texas
$320K +$344K +55,988 New
RJA
7
Raymond James & Associates
Florida
$241K +$259K +42,147 New
U
8
UBS
Switzerland
$217K +$233K +37,919 New
Bank of America
9
Bank of America
North Carolina
$141K +$151K +24,616 New
RCM
10
Rivernorth Capital Management
Florida
$133K +$142K +23,175 New
FAAS
11
First Allied Advisory Services
California
$115K +$126K +20,566 New
WAM
12
Wolverine Asset Management
Illinois
$76K +$82.5K +13,441 New
LTFS
13
Ladenburg Thalmann Financial Services
Florida
$67K +$72.3K +11,777 New
LPL Financial
14
LPL Financial
California
$59K +$63.7K +10,375 New
SWA
15
SFMG Wealth Advisors
Texas
$57K +$61.4K +10,000 New
Creative Planning
16
Creative Planning
Kansas
$17K +$18.4K +3,000 New
TJHA
17
Thomas J. Herzfeld Advisors
Florida
$17K +$18.4K +3,000 New
Wells Fargo
18
Wells Fargo
California
$17K +$18.4K +3,001 New
MFS
19
MSI Financial Services
Massachusetts
$9K +$9.14K +1,490 New
TRCT
20
Tower Research Capital (TRC)
New York
$7K +$7.44K +1,212 New
DAM
21
Delta Asset Management
Tennessee
$3K +$3.68K +600 New
AIG
22
American International Group
New York
$801 +$859 +140 New