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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$31M -$1.79M -132,147 -5%
SIA
2
Sit Investment Associates
Minnesota
$5.79M
AA
3
Ancora Advisors
Ohio
$4.67M -$620K -45,697 -11%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$3.85M -$105K -7,751 -2%
CL
5
CSS LLC
Illinois
$2.83M -$56.8K -4,187 -2%
HK
6
Horizon Kinetics
New York
$2.18M -$765K -56,362 -25%
RCM
7
Rivernorth Capital Management
Florida
$1.82M +$24.7K +1,819 +1%
Morgan Stanley
8
Morgan Stanley
New York
$1.47M +$23.5K +1,728 +2%
FIMG
9
Financial & Investment Management Group
Michigan
$1.46M +$854K +62,882 +118%
TJHA
10
Thomas J. Herzfeld Advisors
Florida
$1.21M +$1.3M +96,067 New
SFS
11
Shaker Financial Services
Virginia
$1.16M -$1.33M -97,670 -52%
AFWA
12
Ancora Family Wealth Advisors
Ohio
$399K -$70.5K -5,197 -14%
Wells Fargo
13
Wells Fargo
California
$332K -$217 -16 -0.1%
LTFS
14
Ladenburg Thalmann Financial Services
Florida
$313K +$85.1K +6,266 +34%
MFS
15
MSI Financial Services
Massachusetts
$281K +$47.9K +3,531 +19%
BFM
16
Boothbay Fund Management
New York
$246K +$265K +19,511 New
NL
17
NWAM LLC
Washington
$229K +$247K +18,182 New
IA
18
IFP Advisors
Florida
$165K +$177K +13,052 New
LPL Financial
19
LPL Financial
California
$161K +$175K +12,886 New
Commonwealth Equity Services
20
Commonwealth Equity Services
Massachusetts
$151K -$46.4K -3,419 -22%
UBS Group
21
UBS Group
Switzerland
$149K +$8.88K +654 +6%
First Manhattan
22
First Manhattan
New York
$124K
AIG
23
American International Group
New York
$72K +$77K +5,671 New
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$34K +$6.81K +502 +22%
CPIG
25
Chicago Partners Investment Group
Illinois
$31K