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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
$16.3M -$636K -37,714 -4%
SAMC
2
Spectrum Asset Management (Connecticut)
Connecticut
$11.2M – – –
Invesco
3
Invesco
Georgia
$7.15M +$404K +23,972 +6%
UBS Group
4
UBS Group
Switzerland
$6.11M +$105K +6,211 +2%
Bank of America
5
Bank of America
North Carolina
$5.44M +$2.23M +132,149 +68%
GC
6
Guggenheim Capital
Illinois
$3.18M -$754K -44,748 -19%
COLIM
7
City of London Investment Management
United Kingdom
$1.77M +$538K +31,930 +43%
CIA
8
Capital Investment Advisors
Georgia
$1.61M -$7.13K -423 -0.4%
CS
9
Credit Suisse
Switzerland
$1.53M -$84.1K -4,993 -5%
NL
10
NWAM LLC
Washington
$1.4M – – –
WAM
11
Wolverine Asset Management
Illinois
$1.16M +$483K +28,651 +70%
Wells Fargo
12
Wells Fargo
California
$1.05M +$59K +3,500 +6%
LPL Financial
13
LPL Financial
California
$1.03M -$71.2K -4,223 -6%
CRC
14
Curi RMB Capital
Illinois
$892K +$903K +53,566 New
Royal Bank of Canada
15
Royal Bank of Canada
Ontario, Canada
$848K -$100K -5,953 -10%
SFS
16
Shaker Financial Services
Virginia
$656K -$2.54K -151 -0.4%
UCFA
17
United Capital Financial Advisors
Texas
$618K +$36.6K +2,170 +6%
PPA
18
Parametric Portfolio Associates
Washington
$599K +$606K +35,943 New
Envestnet Asset Management
19
Envestnet Asset Management
Illinois
$556K -$70.7K -4,194 -11%
BTS
20
BB&T Securities
Virginia
$329K +$334K +19,796 New
ONB
21
Old National Bancorp
Indiana
$271K -$33.7K -2,000 -11%
PNC Financial Services Group
22
PNC Financial Services Group
Pennsylvania
$257K +$10.1K +598 +4%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$245K +$17.3K +1,026 +8%
LCM
24
Landscape Capital Management
New Jersey
$240K -$43.4K -2,576 -15%
SIA
25
Sit Investment Associates
Minnesota
$224K +$227K +13,471 New
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