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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVP
1
Relative Value Partners
Illinois
$25.5M -$272K -15,514 -1%
KIM
2
Karpus Investment Management
New York
$18.2M -$1.25M -71,157 -6%
AA
3
Ancora Advisors
Ohio
$3.07M -$9.18K -523 -0.3%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$2.81M -$242K -13,791 -8%
SFS
5
Shaker Financial Services
Virginia
$1.03M -$124K -7,088 -10%
CL
6
CSS LLC
Illinois
$949K +$999K +56,923 New
Commonwealth Equity Services
7
Commonwealth Equity Services
Massachusetts
$850K +$895K +50,990 New
PNC Financial Services Group
8
PNC Financial Services Group
Pennsylvania
$747K +$709K +40,427 +932%
Morgan Stanley
9
Morgan Stanley
New York
$424K +$91.9K +5,240 +26%
JG
10
Jefferies Group
New York
$349K -$184K -10,468 -33%
Wells Fargo
11
Wells Fargo
California
$308K -$912 -52 -0.3%
IT
12
Independence Trust
Tennessee
$281K
FANJ
13
Financial Architects (New Jersey)
New Jersey
$276K +$53.3K +3,038 +22%
KFS
14
KMS Financial Services
Washington
$271K
B
15
Baird
Wisconsin
$234K +$246K +14,016 New
Bank of America
16
Bank of America
North Carolina
$220K -$134K -7,665 -37%
TJHA
17
Thomas J. Herzfeld Advisors
Florida
$199K -$66.1K -3,768 -24%
U
18
UBS
Switzerland
$113K -$26.8K -1,530 -18%
First Manhattan
19
First Manhattan
New York
$94K
LTFS
20
Ladenburg Thalmann Financial Services
Florida
$92K +$36.7K +2,094 +61%
YCM
21
Yakira Capital Management
Connecticut
$81K +$24.1K +1,372 New
Barclays
22
Barclays
United Kingdom
$40K +$25.7K +1,466 +151%
CFA
23
Carroll Financial Associates
North Carolina
$20K
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$15K
US Bancorp
25
US Bancorp
Minnesota
$3K