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Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Relative Value Partners
1
Relative Value Partners
Illinois
$37.7M +$1.2M +76,482 +3%
Horizon Kinetics
2
Horizon Kinetics
New York
$7.4M -$4.06M -257,971 -34%
Ancora Advisors
3
Ancora Advisors
Ohio
$5.19M -$202K -12,814 -3%
Blue Bell Private Wealth Management
4
Blue Bell Private Wealth Management
Pennsylvania
$4.14M -$70.4K -4,476 -2%
Sit Investment Associates
5
Sit Investment Associates
Minnesota
$3.78M +$1.65M +105,033 +69%
CL
6
CSS LLC
Illinois
$3.39M -$540K -34,351 -13%
Shaker Financial Services
7
Shaker Financial Services
Virginia
$2.32M +$60.5K +3,848 +2%
Morgan Stanley
8
Morgan Stanley
New York
$1.93M -$131K -8,330 -6%
BCM
9
Bares Capital Management
Texas
$1.92M +$860K +54,702 +72%
Rivernorth Capital Management
10
Rivernorth Capital Management
Florida
$1.83M – – –
Independence Trust
11
Independence Trust
Tennessee
$1.02M +$674K +42,868 +162%
FIMG
12
Financial & Investment Management Group
Michigan
$874K -$36.2K -2,301 -4%
Weiss Asset Management
13
Weiss Asset Management
Massachusetts
$381K +$408K +25,942 New
Wells Fargo
14
Wells Fargo
California
$371K – – –
NWAM LLC
15
NWAM LLC
Washington
$267K – – –
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$244K -$737K -46,840 -74%
UBS Group
17
UBS Group
Switzerland
$232K +$248K +15,792 New
KIA
18
King Investment Advisors
Texas
$222K +$236K +14,978 New
Virtu KCG Holdings
19
Virtu KCG Holdings
New York
$175K +$187K +11,920 New
Financial Architects (New Jersey)
20
Financial Architects (New Jersey)
New Jersey
$156K – – –
First Manhattan
21
First Manhattan
New York
$132K – – –
Ladenburg Thalmann Financial Services
22
Ladenburg Thalmann Financial Services
Florida
$114K +$74.2K +4,721 +157%
PNC Financial Services Group
23
PNC Financial Services Group
Pennsylvania
$64K – – –
Bank of America
24
Bank of America
North Carolina
$41K -$79 -5 -0.2%
Thrivent Financial for Lutherans
25
Thrivent Financial for Lutherans
Minnesota
$25K – – –