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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$29.2M -$1.05M -71,660 -4%
SIA
2
Sit Investment Associates
Minnesota
$7.12M +$194K +13,183 +3%
SFS
3
Shaker Financial Services
Virginia
$6.14M +$1.58M +107,137 +36%
AA
4
Ancora Advisors
Ohio
$4.65M +$18K +1,224 +0.4%
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$3.95M +$290K +19,691 +8%
CL
6
CSS LLC
Illinois
$2.99M -$10.6K -717 -0.4%
RCM
7
Rivernorth Capital Management
Florida
$1.48M -$1.39M -94,380 -49%
TJHA
8
Thomas J. Herzfeld Advisors
Florida
$971K -$26.3K -1,790 -3%
HK
9
Horizon Kinetics
New York
$821K -$136K -9,248 -15%
WPA
10
Winning Points Advisors
Florida
$805K -$2.31K -157 -0.3%
Morgan Stanley
11
Morgan Stanley
New York
$517K +$68.8K +4,676 +16%
LCM
12
Laurion Capital Management
New York
$456K +$446K +30,314 New
FIMG
13
Financial & Investment Management Group
Michigan
$376K +$123K +8,362 +51%
Wells Fargo
14
Wells Fargo
California
$344K +$589 +40 +0.2%
NL
15
NWAM LLC
Washington
$275K
VF
16
Virtu Financial
New York
$248K +$241K +16,405 New
LTFS
17
Ladenburg Thalmann Financial Services
Florida
$195K -$13.8K -935 -7%
UBS Group
18
UBS Group
Switzerland
$173K +$14K +950 +9%
SC
19
Scotia Capital
Ontario, Canada
$168K +$165K +11,203 New
First Manhattan
20
First Manhattan
New York
$158K
Royal Bank of Canada
21
Royal Bank of Canada
Ontario, Canada
$126K +$82.4K +5,600 +204%
IA
22
IFP Advisors
Florida
$87K
AG
23
Advisor Group
Arizona
$79K +$4.99K +339 +7%
GWM
24
Geneos Wealth Management
Colorado
$51K
Thrivent Financial for Lutherans
25
Thrivent Financial for Lutherans
Minnesota
$47K +$31.7K +2,154 +226%