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NYLIM Merger Arbitrage ETF

Name Holding Trade Value Shares
Change
Change in
Stake
SCM
1
Stonehearth Capital Management
Massachusetts
$8.93M -$200K -6,873 -2%
Morgan Stanley
2
Morgan Stanley
New York
$7.12M +$203K +6,986 +3%
BOS
3
Bank of Stockton
California
$5.93M +$1.26M +43,305 +27%
ACM
4
Aviance Capital Management
Florida
$2.69M -$353K -12,167 -12%
CFA
5
Carroll Financial Associates
North Carolina
$2.62M -$69K -2,374 -3%
FFW
6
Fusion Family Wealth
New York
$2.41M +$2.39M +82,126 New
Bank of America
7
Bank of America
North Carolina
$2.24M +$607K +20,892 +38%
Ameriprise
8
Ameriprise
Minnesota
$1.89M +$331K +11,404 +21%
CAN
9
Cetera Advisor Networks
California
$1.8M -$1.44M -49,665 -45%
HH
10
Hilltop Holdings
Texas
$1.54M
Axa
11
Axa
France
$1.28M +$148K +5,110 +13%
LFAS
12
Level Four Advisory Services
Texas
$1.19M +$1.18M +40,694 New
FAAS
13
First Allied Advisory Services
California
$1.13M -$183K -6,288 -14%
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$1.05M -$3.91M -134,654 -79%
CIM
15
Cetera Investment Management
California
$999K -$169K -5,802 -15%
SG Americas Securities
16
SG Americas Securities
New York
$816K
Cambridge Investment Research Advisors
17
Cambridge Investment Research Advisors
Iowa
$779K -$25.1K -864 -3%
LPL Financial
18
LPL Financial
California
$761K +$198K +6,805 +36%
UBS Group
19
UBS Group
Switzerland
$755K +$688K +23,691 +1,152%
WSTAM
20
Wilbanks Smith & Thomas Asset Management
Virginia
$704K -$223K -7,690 -24%
RJA
21
Raymond James & Associates
Florida
$612K -$125K -4,305 -17%
VKH
22
Virtu KCG Holdings
New York
$593K -$111K -3,833 -16%
Envestnet Asset Management
23
Envestnet Asset Management
Illinois
$467K +$158K +5,448 +52%
ATC
24
Argent Trust Co
Tennessee
$379K -$45.5K -1,565 -11%
Jane Street
25
Jane Street
New York
$262K -$265K -9,133 -50%