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HPS

John Hancock Preferred Income Fund III

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$17M +$5.92M +331,349 +54%
SAMC
2
Spectrum Asset Management (Connecticut)
Connecticut
$12M
GC
3
Guggenheim Capital
Illinois
$6.86M -$1.26M -70,622 -16%
Invesco
4
Invesco
Georgia
$6.36M -$179K -10,034 -3%
UBS Group
5
UBS Group
Switzerland
$6.05M +$6.05M +338,760 New
Bank of America
6
Bank of America
North Carolina
$3.33M +$199K +11,153 +6%
CS
7
Credit Suisse
Switzerland
$1.87M -$393 -22 -0%
NL
8
NWAM LLC
Washington
$1.5M +$17.9K +1,000 +1%
BC
9
Burney Company
Virginia
$1.4M +$1.4M +78,266 New
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$1.26M -$36.9K -2,065 -3%
CIA
11
Capital Investment Advisors
Georgia
$1.26M -$18.3K -1,023 -1%
Wells Fargo
12
Wells Fargo
California
$1.21M -$19.6K -1,099 -2%
LPL Financial
13
LPL Financial
California
$1.15M -$60.7K -3,402 -5%
ONB
14
Old National Bancorp
Indiana
$676K -$125K -7,025 -16%
NSIM
15
North Star Investment Management
Illinois
$393K +$368K +20,600 +1,504%
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$272K +$73.8K +4,132 +37%
UCFA
17
United Capital Financial Advisors
Texas
$260K +$17K +950 +7%
ICOA
18
Investment Centers of America
North Dakota
$245K -$14.1K -790 -5%
Envestnet Asset Management
19
Envestnet Asset Management
Illinois
$239K +$15.4K +861 +7%
AIG
20
American International Group
New York
$195K +$57.3K +3,210 +42%
PNC Financial Services Group
21
PNC Financial Services Group
Pennsylvania
$161K
Fifth Third Bancorp
22
Fifth Third Bancorp
Ohio
$152K -$12.5K -702 -8%
TRCT
23
Tower Research Capital (TRC)
New York
$102K +$102K +5,700 New
US Bancorp
24
US Bancorp
Minnesota
$82K
LTFS
25
Ladenburg Thalmann Financial Services
Florida
$70K +$21.9K +1,224 +46%