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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
$18.1M +$586K +34,253 +3%
SAMC
2
Spectrum Asset Management (Connecticut)
Connecticut
$12M – – –
Invesco
3
Invesco
Georgia
$7.85M +$177K +10,332 +2%
UBS Group
4
UBS Group
Switzerland
$6.79M +$225K +13,172 +4%
Bank of America
5
Bank of America
North Carolina
$6.5M +$639K +37,388 +11%
GC
6
Guggenheim Capital
Illinois
$2.93M -$463K -27,070 -14%
LPL Financial
7
LPL Financial
California
$2.27M +$1.11M +65,182 +107%
CIA
8
Capital Investment Advisors
Georgia
$1.7M -$23K -1,345 -1%
CS
9
Credit Suisse
Switzerland
$1.67M +$34.2K +2,000 +2%
NL
10
NWAM LLC
Washington
$1.46M -$36.9K -2,158 -3%
SIA
11
Sit Investment Associates
Minnesota
$1.15M +$873K +51,069 +379%
MFS
12
MSI Financial Services
Massachusetts
$1M +$953K +55,706 +18,569%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$936K +$26.6K +1,555 +3%
Wells Fargo
14
Wells Fargo
California
$805K -$308K -18,031 -29%
UCFA
15
United Capital Financial Advisors
Texas
$653K -$9.56K -559 -2%
Envestnet Asset Management
16
Envestnet Asset Management
Illinois
$612K +$15.3K +892 +3%
PPA
17
Parametric Portfolio Associates
Washington
$427K -$206K -12,051 -34%
BTS
18
BB&T Securities
Virginia
$399K +$43.8K +2,563 +13%
WAM
19
Wolverine Asset Management
Illinois
$346K -$854K -49,944 -72%
PNC Financial Services Group
20
PNC Financial Services Group
Pennsylvania
$294K +$17.3K +1,009 +7%
ONB
21
Old National Bancorp
Indiana
$281K -$9.66K -565 -3%
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$261K -$1.73K -101 -0.7%
LTFS
23
Ladenburg Thalmann Financial Services
Florida
$238K +$79.4K +4,644 +54%
ICOA
24
Investment Centers of America
North Dakota
$210K +$17.5K +1,024 +10%
SG Americas Securities
25
SG Americas Securities
New York
$207K +$198K +11,603 New
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