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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
$15.8M -$3.18M -175,094 -17%
SAMC
2
Spectrum Asset Management (Connecticut)
Connecticut
$12.6M
UBS Group
3
UBS Group
Switzerland
$9.49M +$2.23M +122,950 +32%
Invesco
4
Invesco
Georgia
$8M -$285K -15,710 -4%
Bank of America
5
Bank of America
North Carolina
$7.63M +$738K +40,635 +11%
LPL Financial
6
LPL Financial
California
$3.39M +$996K +54,843 +43%
GC
7
Guggenheim Capital
Illinois
$2.65M -$425K -23,401 -14%
CIA
8
Capital Investment Advisors
Georgia
$1.62M -$177K -9,721 -10%
NL
9
NWAM LLC
Washington
$1.39M -$151K -8,310 -10%
Wells Fargo
10
Wells Fargo
California
$1.25M +$389K +21,439 +48%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$1M +$13.1K +721 +1%
MFS
12
MSI Financial Services
Massachusetts
$959K -$93.3K -5,138 -9%
LTFS
13
Ladenburg Thalmann Financial Services
Florida
$788K +$522K +28,757 +216%
UCFA
14
United Capital Financial Advisors
Texas
$618K -$69K -3,801 -10%
SIA
15
Sit Investment Associates
Minnesota
$601K -$593K -32,655 -51%
Envestnet Asset Management
16
Envestnet Asset Management
Illinois
$574K -$70.1K -3,860 -11%
HK
17
Horizon Kinetics
New York
$532K +$512K +28,220 New
PAS
18
Partnervest Advisory Services
California
$477K +$459K +25,293 New
PNC Financial Services Group
19
PNC Financial Services Group
Pennsylvania
$457K +$142K +7,796 +47%
RJFSA
20
Raymond James Financial Services Advisors
Florida
$320K +$308K +16,960 New
ONB
21
Old National Bancorp
Indiana
$296K
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$276K +$381 +21 +0.1%
ICOA
23
Investment Centers of America
North Dakota
$252K +$27.9K +1,538 +13%
BAS
24
Brown Advisory Securities
Maryland
$227K +$218K +12,025 New
AIG
25
American International Group
New York
$165K