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HPS

John Hancock Preferred Income Fund III
HPS

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$18.6M +$770K +41,764 +4%
SAMC
2
Spectrum Asset Management (Connecticut)
Connecticut
$12.5M – – –
Invesco
3
Invesco
Georgia
$6.92M +$260K +14,108 +4%
UBS Group
4
UBS Group
Switzerland
$6.86M +$517K +28,045 +8%
GC
5
Guggenheim Capital
Illinois
$4.71M -$2.43M -131,735 -34%
Bank of America
6
Bank of America
North Carolina
$3.77M +$287K +15,579 +8%
CS
7
Credit Suisse
Switzerland
$1.81M -$149K -8,100 -8%
CIA
8
Capital Investment Advisors
Georgia
$1.7M +$373K +20,270 +29%
BC
9
Burney Company
Virginia
$1.68M +$217K +11,798 +15%
NL
10
NWAM LLC
Washington
$1.55M -$12K -650 -0.8%
Wells Fargo
11
Wells Fargo
California
$1.32M +$52.9K +2,873 +4%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$1.17M -$149K -8,071 -11%
LPL Financial
13
LPL Financial
California
$1.16M -$37.3K -2,025 -3%
Envestnet Asset Management
14
Envestnet Asset Management
Illinois
$504K +$250K +13,577 +101%
ONB
15
Old National Bancorp
Indiana
$437K -$266K -14,435 -38%
UCFA
16
United Capital Financial Advisors
Texas
$426K +$158K +8,569 +59%
NSIM
17
North Star Investment Management
Illinois
$424K +$12.9K +700 +3%
PNC Financial Services Group
18
PNC Financial Services Group
Pennsylvania
$337K +$166K +9,024 +100%
Commonwealth Equity Services
19
Commonwealth Equity Services
Massachusetts
$287K +$1.71K +93 +0.6%
SGCA
20
Steel Grove Capital Advisors
Tennessee
$253K +$249K +13,504 New
ICOA
21
Investment Centers of America
North Dakota
$243K -$11.9K -645 -5%
AIG
22
American International Group
New York
$204K – – –
LTFS
23
Ladenburg Thalmann Financial Services
Florida
$165K +$90.6K +4,919 +126%
Fifth Third Bancorp
24
Fifth Third Bancorp
Ohio
$159K – – –
CAPTRUST Financial Advisors
25
CAPTRUST Financial Advisors
North Carolina
$73.2K +$42.1K +2,283 +140%
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