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Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Relative Value Partners
1
Relative Value Partners
Illinois
$38.3M +$420K +28,789 +1%
Ancora Advisors
2
Ancora Advisors
Ohio
$6.33M -$5.15M -353,521 Closed
Sit Investment Associates
3
Sit Investment Associates
Minnesota
$5.55M +$1.75M +119,933 +47%
Horizon Kinetics
4
Horizon Kinetics
New York
$4.89M -$2.52M -172,527 -34%
Blue Bell Private Wealth Management
5
Blue Bell Private Wealth Management
Pennsylvania
$4.22M +$67.3K +4,619 +2%
Shaker Financial Services
6
Shaker Financial Services
Virginia
$4.09M +$1.75M +119,801 +76%
CL
7
CSS LLC
Illinois
$3.37M -$30.5K -2,094 -0.9%
Morgan Stanley
8
Morgan Stanley
New York
$2.16M +$220K +15,114 +11%
Rivernorth Capital Management
9
Rivernorth Capital Management
Florida
$1.84M – – –
Independence Trust
10
Independence Trust
Tennessee
$947K -$73.5K -5,043 -7%
FIMG
11
Financial & Investment Management Group
Michigan
$850K -$26.9K -1,844 -3%
Wells Fargo
12
Wells Fargo
California
$369K -$3.05K -209 -0.8%
NWAM LLC
13
NWAM LLC
Washington
$268K – – –
UBS Group
14
UBS Group
Switzerland
$266K +$33.1K +2,267 +14%
Commonwealth Equity Services
15
Commonwealth Equity Services
Massachusetts
$239K -$5.82K -399 -2%
KIA
16
King Investment Advisors
Texas
$223K – – –
First Manhattan
17
First Manhattan
New York
$145K +$12.6K +866 +10%
Ladenburg Thalmann Financial Services
18
Ladenburg Thalmann Financial Services
Florida
$125K +$10.8K +744 +10%
Wolverine Asset Management
19
Wolverine Asset Management
Illinois
$80K +$79.9K +5,483 New
PNC Financial Services Group
20
PNC Financial Services Group
Pennsylvania
$64K – – –
Financial Architects (New Jersey)
21
Financial Architects (New Jersey)
New Jersey
$52K -$104K -7,150 -67%
Bank of America
22
Bank of America
North Carolina
$41K – – –
Chicago Partners Investment Group
23
Chicago Partners Investment Group
Illinois
$36K +$36.2K +2,480 New
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$33K +$17.8K +1,224 +119%
Thrivent Financial for Lutherans
25
Thrivent Financial for Lutherans
Minnesota
$25K – – –