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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$28.1M +$411K +28,536 +1%
SIA
2
Sit Investment Associates
Minnesota
$8.93M +$410K +28,473 +5%
SFS
3
Shaker Financial Services
Virginia
$6.51M -$191K -13,306 -3%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$3.88M +$418K +29,042 +12%
AA
5
Ancora Advisors
Ohio
$3.39M -$503K -34,943 -13%
CL
6
CSS LLC
Illinois
$3.11M +$131K +9,107 +4%
RCM
7
Rivernorth Capital Management
Florida
$1.1M +$46.7K +3,245 +4%
Walleye Trading
8
Walleye Trading
New York
$852K
WPA
9
Winning Points Advisors
Florida
$838K -$12K -837 -1%
TJHA
10
Thomas J. Herzfeld Advisors
Florida
$812K -$20.1K -1,398 -2%
FIMG
11
Financial & Investment Management Group
Michigan
$696K -$54.7K -3,800 -7%
Susquehanna International Group
12
Susquehanna International Group
Pennsylvania
$654K +$656K +45,577 New
Walleye Capital
13
Walleye Capital
New York
$409K +$410K +28,473 New
SC
14
Scotia Capital
Ontario, Canada
$325K +$32.7K +2,275 +11%
LTFS
15
Ladenburg Thalmann Financial Services
Florida
$325K +$57.5K +3,993 +21%
Morgan Stanley
16
Morgan Stanley
New York
$267K -$15K -1,040 -5%
Wells Fargo
17
Wells Fargo
California
$265K -$3.8K -264 -1%
NL
18
NWAM LLC
Washington
$261K
UBS Group
19
UBS Group
Switzerland
$247K +$73.5K +5,111 +42%
First Manhattan
20
First Manhattan
New York
$150K
AG
21
Advisor Group
Arizona
$64K -$317 -22 -0.5%
GWM
22
Geneos Wealth Management
Colorado
$49K
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$39K
CPIG
24
Chicago Partners Investment Group
Illinois
$26K
FANJ
25
Financial Architects (New Jersey)
New Jersey
$9K