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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVP
1
Relative Value Partners
Illinois
$39.7M +$30.2K +1,878 +0.1%
HK
2
Horizon Kinetics
New York
$12.1M +$721K +44,820 +6%
AA
3
Ancora Advisors
Ohio
$5.83M -$119K -7,376 -2%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$4.56M -$320K -19,862 -6%
CL
5
CSS LLC
Illinois
$4.22M -$848K -52,701 -17%
SFS
6
Shaker Financial Services
Virginia
$2.45M +$386K +24,001 +18%
SIA
7
Sit Investment Associates
Minnesota
$2.42M +$373K +23,199 +18%
Morgan Stanley
8
Morgan Stanley
New York
$2.23M +$241K +14,995 +12%
RCM
9
Rivernorth Capital Management
Florida
$1.99M
BCM
10
Bares Capital Management
Texas
$1.21M +$1.22M +75,771 New
Commonwealth Equity Services
11
Commonwealth Equity Services
Massachusetts
$1.01M +$5.73K +356 +0.6%
FIMG
12
Financial & Investment Management Group
Michigan
$985K -$7.87K -489 -0.8%
IT
13
Independence Trust
Tennessee
$421K
Wells Fargo
14
Wells Fargo
California
$402K -$836 -52 -0.2%
NL
15
NWAM LLC
Washington
$290K
U
16
UBS
Switzerland
$230K -$16.9K -1,053 -7%
FANJ
17
Financial Architects (New Jersey)
New Jersey
$170K +$17.3K +1,073 +11%
First Manhattan
18
First Manhattan
New York
$143K
PMFA
19
Plante Moran Financial Advisors
Michigan
$112K +$82.5K +5,129 +268%
PNC Financial Services Group
20
PNC Financial Services Group
Pennsylvania
$70K
LTFS
21
Ladenburg Thalmann Financial Services
Florida
$48K -$34K -2,111 -41%
Bank of America
22
Bank of America
North Carolina
$45K +$64 +4 +0.1%
Thrivent Financial for Lutherans
23
Thrivent Financial for Lutherans
Minnesota
$26K +$26.8K +1,669 New
CFA
24
Carroll Financial Associates
North Carolina
$20K
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$16K