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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$38.2M +$38.6M +2,615,015 New
SIA
2
Sit Investment Associates
Minnesota
$6.7M +$1.21M +81,774 +22%
AA
3
Ancora Advisors
Ohio
$6.36M +$6.43M +435,162 New
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$4.53M +$355K +24,016 +8%
SFS
5
Shaker Financial Services
Virginia
$4.12M +$60.9K +4,123 +1%
HK
6
Horizon Kinetics
New York
$4.1M -$755K -51,142 -15%
CL
7
CSS LLC
Illinois
$3.34M
Morgan Stanley
8
Morgan Stanley
New York
$2.09M -$56.1K -3,796 -3%
RCM
9
Rivernorth Capital Management
Florida
$1.95M +$133K +9,002 +7%
IT
10
Independence Trust
Tennessee
$1.16M +$224K +15,174 +24%
FIMG
11
Financial & Investment Management Group
Michigan
$791K -$51.8K -3,505 -6%
LTFS
12
Ladenburg Thalmann Financial Services
Florida
$378K +$257K +17,392 +205%
Wells Fargo
13
Wells Fargo
California
$366K -$15 -1 -0%
NL
14
NWAM LLC
Washington
$266K -$5.7K -386 -2%
MFS
15
MSI Financial Services
Massachusetts
$253K +$256K +17,312 New
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$234K -$2.72K -184 -1%
UBS Group
17
UBS Group
Switzerland
$195K -$70K -4,736 -26%
First Manhattan
18
First Manhattan
New York
$144K
PNC Financial Services Group
19
PNC Financial Services Group
Pennsylvania
$64K
US Bancorp
20
US Bancorp
Minnesota
$62K +$49.5K +3,350 +380%
FANJ
21
Financial Architects (New Jersey)
New Jersey
$51K
CPIG
22
Chicago Partners Investment Group
Illinois
$36K -$133 -9 -0.4%
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$33K
Bank of America
24
Bank of America
North Carolina
$25K -$16K -1,084 -39%
Thrivent Financial for Lutherans
25
Thrivent Financial for Lutherans
Minnesota
$24K