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NYLIM Merger Arbitrage ETF

Name Holding Trade Value Shares
Change
Change in
Stake
MSI Financial Services
26
MSI Financial Services
Massachusetts
$275K +$265K +9,538 +3,559%
United Capital Financial Advisors
27
United Capital Financial Advisors
Texas
$237K – – –
Susquehanna International Group
28
Susquehanna International Group
Pennsylvania
$228K -$1.9M -68,615 -89%
CAM
29
Cidel Asset Management
Ontario, Canada
$208K -$66.6K -2,400 -25%
Royal Bank of Canada
30
Royal Bank of Canada
Ontario, Canada
$206K -$242K -8,708 -54%
PCP
31
Proficio Capital Partners
Massachusetts
$152K +$150K +5,418 New
Benjamin F. Edwards & Company
32
Benjamin F. Edwards & Company
Missouri
$72K – – –
VNA
33
Valley National Advisers
Pennsylvania
$51K +$2.33K +84 +5%
NR
34
Newfound Research
Massachusetts
$28K +$27.9K +1,005 New
AIG
35
American International Group
New York
$25K – – –
ACM
36
Argentus Capital Management
Texas
$24K -$356K -12,832 -94%
Bank of Montreal
37
Bank of Montreal
Ontario, Canada
$22K – – –
Ladenburg Thalmann Financial Services
38
Ladenburg Thalmann Financial Services
Florida
$19K +$9.71K +350 +110%
Manulife (Manufacturers Life Insurance)
39
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$17K – – –
Brinker Capital Investments
40
Brinker Capital Investments
Pennsylvania
$14K -$1.11M -39,811 -99%
Colony Group
41
Colony Group
Massachusetts
$1K – – –
New York Life Investment Management
42
New York Life Investment Management
New York
– -$15.8M -567,655 Closed
Johnson Investment Counsel
43
Johnson Investment Counsel
Ohio
– -$4.22M -151,845 Closed
JP Morgan Chase
44
JP Morgan Chase
New York
– -$1M -35,952 Closed
HCM
45
Hengehold Capital Management
Ohio
– -$340K -12,234 Closed
Tocqueville Asset Management
46
Tocqueville Asset Management
New York
– -$202K -7,250 Closed
CK
47
Carnick & Kubik
Colorado
– -$2.23K -80 Closed