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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
$16.6M -$537K -27,058 -3%
SAMC
2
Spectrum Asset Management (Connecticut)
Connecticut
$12.5M -$475K -23,923 -4%
UBS Group
3
UBS Group
Switzerland
$11.4M +$685K +34,501 +6%
Bank of America
4
Bank of America
North Carolina
$8.53M +$1.01M +50,970 +13%
Invesco
5
Invesco
Georgia
$5.51M -$1.04M -52,448 -16%
LPL Financial
6
LPL Financial
California
$2.7M +$130K +6,576 +5%
GC
7
Guggenheim Capital
Illinois
$2.15M -$484K -24,412 -18%
NL
8
NWAM LLC
Washington
$1.47M +$105K +5,275 +7%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$1.17M +$48.9K +2,463 +4%
CIA
10
Capital Investment Advisors
Georgia
$1.1M -$205K -10,346 -15%
Wells Fargo
11
Wells Fargo
California
$1.04M -$39.9K -2,011 -4%
LTFS
12
Ladenburg Thalmann Financial Services
Florida
$821K -$26.5K -1,335 -3%
CAN
13
Cetera Advisor Networks
California
$654K +$671K +33,790 New
SIA
14
Sit Investment Associates
Minnesota
$634K +$22.9K +1,152 +4%
RJFSA
15
Raymond James Financial Services Advisors
Florida
$541K +$89.5K +4,508 +19%
PNC Financial Services Group
16
PNC Financial Services Group
Pennsylvania
$540K +$52.3K +2,636 +10%
HK
17
Horizon Kinetics
New York
$491K -$57.1K -2,877 -10%
IA
18
IFP Advisors
Florida
$490K -$63.4K -3,195 -11%
MFS
19
MSI Financial Services
Massachusetts
$485K -$210K -10,565 -30%
PAS
20
Partnervest Advisory Services
California
$453K -$14K -705 -3%
ONB
21
Old National Bancorp
Indiana
$293K – – –
SI
22
SII Investments
Wisconsin
$285K +$72.7K +3,666 +33%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$275K +$26.4K +1,332 +10%
BAS
24
Brown Advisory Securities
Maryland
$232K +$476 +24 +0.2%
CRC
25
Curi RMB Capital
Illinois
$211K +$216K +10,901 New
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