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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$34.8M -$343K -24,354 -0.9%
SIA
2
Sit Investment Associates
Minnesota
$6.17M
AA
3
Ancora Advisors
Ohio
$5.59M -$273K -19,342 -4%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$4.21M +$41.9K +2,972 +1%
HK
5
Horizon Kinetics
New York
$3.08M -$719K -51,035 -18%
CL
6
CSS LLC
Illinois
$3.08M
SFS
7
Shaker Financial Services
Virginia
$2.55M -$1.3M -92,237 -33%
RCM
8
Rivernorth Capital Management
Florida
$1.91M +$123K +8,719 +7%
Morgan Stanley
9
Morgan Stanley
New York
$1.55M -$393K -27,901 -20%
FIMG
10
Financial & Investment Management Group
Michigan
$714K -$15.2K -1,075 -2%
IT
11
Independence Trust
Tennessee
$533K -$561K -39,817 -50%
AFWA
12
Ancora Family Wealth Advisors
Ohio
$495K +$519K +36,830 New
Wells Fargo
13
Wells Fargo
California
$354K +$18.7K +1,328 +5%
MFS
14
MSI Financial Services
Massachusetts
$252K +$19.8K +1,402 +8%
LTFS
15
Ladenburg Thalmann Financial Services
Florida
$250K -$103K -7,302 -28%
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$207K -$8.87K -629 -4%
OA
17
Oxbow Advisors
Texas
$198K +$208K +14,768 New
UBS Group
18
UBS Group
Switzerland
$151K -$29.9K -2,120 -16%
First Manhattan
19
First Manhattan
New York
$132K
PNC Financial Services Group
20
PNC Financial Services Group
Pennsylvania
$58K
US Bancorp
21
US Bancorp
Minnesota
$57K
CPIG
22
Chicago Partners Investment Group
Illinois
$33K
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$30K
Bank of America
24
Bank of America
North Carolina
$27K +$3.55K +252 +15%
Thrivent Financial for Lutherans
25
Thrivent Financial for Lutherans
Minnesota
$23K