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Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Relative Value Partners Group
1
Relative Value Partners Group
$28.5M -$3.15M -244,531 -10%
Sit Investment Associates
2
Sit Investment Associates
Minnesota
$6.3M +$265K +20,624 +4%
Ancora Advisors
3
Ancora Advisors
Ohio
$4.56M -$25K -1,945 -0.6%
Blue Bell Private Wealth Management
4
Blue Bell Private Wealth Management
Pennsylvania
$4.04M -$32.5K -2,526 -0.8%
CL
5
CSS LLC
Illinois
$2.91M – – –
Rivernorth Capital Management
6
Rivernorth Capital Management
Florida
$2.37M +$171K +13,294 +8%
FIMG
7
Financial & Investment Management Group
Michigan
$1.95M -$5.68K -441 -0.3%
Horizon Kinetics
8
Horizon Kinetics
New York
$1.39M -$500K -38,826 -27%
TJHA
9
Thomas J. Herzfeld Advisors
Florida
$1.23M -$40.1K -3,119 -3%
SFS
10
Shaker Financial Services
Virginia
$1.15M +$258K +20,029 +30%
Morgan Stanley
11
Morgan Stanley
New York
$1.11M -$75.4K -5,856 -6%
AFWA
12
Ancora Family Wealth Advisors
Ohio
$345K -$47.2K -3,664 -12%
Wells Fargo
13
Wells Fargo
California
$321K -$18.2K -1,411 -5%
Ladenburg Thalmann Financial Services
14
Ladenburg Thalmann Financial Services
Florida
$317K -$9.42K -732 -3%
NWAM LLC
15
NWAM LLC
Washington
$239K – – –
First Foundation Advisors
16
First Foundation Advisors
California
$230K +$226K +17,528 New
MSI Financial Services
17
MSI Financial Services
Massachusetts
$182K -$8.12K -631 -4%
Bank of America
18
Bank of America
North Carolina
$138K +$108K +8,411 +406%
First Manhattan
19
First Manhattan
New York
$129K – – –
Citigroup
20
Citigroup
New York
$98K +$6.87K +534 +8%
UBS Group
21
UBS Group
Switzerland
$83K -$51.5K -4,002 -39%
IFP Advisors
22
IFP Advisors
Florida
$80K +$78.4K +6,089 New
Advent Capital Management
23
Advent Capital Management
New York
$69K +$67.4K +5,234 New
Geneos Wealth Management
24
Geneos Wealth Management
Colorado
$46K – – –
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$37K – – –