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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
$15.2M -$71K -3,759 -0.5%
SAMC
2
Spectrum Asset Management (Connecticut)
Connecticut
$12.4M – – –
UBS Group
3
UBS Group
Switzerland
$10.5M +$446K +23,645 +4%
Invesco
4
Invesco
Georgia
$5.34M -$150K -7,960 -3%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$5.12M +$3.83M +202,898 +315%
Bank of America
6
Bank of America
North Carolina
$4.83M -$374K -19,793 -7%
GC
7
Guggenheim Capital
Illinois
$2.58M +$352K +18,657 +16%
NL
8
NWAM LLC
Washington
$1.35M -$80.7K -4,275 -6%
Wells Fargo
9
Wells Fargo
California
$1.33M +$235K +12,445 +22%
CIA
10
Capital Investment Advisors
Georgia
$975K -$53.8K -2,851 -5%
SIA
11
Sit Investment Associates
Minnesota
$808K – – –
CAN
12
Cetera Advisor Networks
California
$726K +$402K +21,310 +129%
Commonwealth Equity Services
13
Commonwealth Equity Services
Massachusetts
$555K +$188K +9,979 +53%
PPA
14
Parametric Portfolio Associates
Washington
$516K +$509K +26,948 New
Cohen & Steers
15
Cohen & Steers
New York
$512K -$598K -31,655 -54%
PAS
16
Partnervest Advisory Services
California
$451K +$17.7K +940 +4%
RJFSA
17
Raymond James Financial Services Advisors
Florida
$437K -$23.4K -1,240 -5%
SWP
18
Stratos Wealth Partners
Ohio
$422K +$195K +10,325 +88%
IA
19
IFP Advisors
Florida
$415K -$34K -1,803 -8%
LPL Financial
20
LPL Financial
California
$360K -$1.25M -66,011 -78%
AAS
21
Annex Advisory Services
Wisconsin
$326K -$58.5K -3,100 -15%
ONB
22
Old National Bancorp
Indiana
$291K – – –
Ameriprise
23
Ameriprise
Minnesota
$285K -$16.7K -887 -6%
NPC
24
National Planning Corporation
California
$280K -$119K -6,302 -30%
PNC Financial Services Group
25
PNC Financial Services Group
Pennsylvania
$273K +$3.49K +185 +1%
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