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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$26.1M -$1.11M -79,666 -4%
SFS
2
Shaker Financial Services
Virginia
$5.13M +$1.76M +126,546 +53%
EP
3
EPIQ Partners
Minnesota
$4.95M +$421K +30,232 +9%
SIA
4
Sit Investment Associates
Minnesota
$3.91M -$2.75M -197,435 -41%
RCM
5
Rivernorth Capital Management
Florida
$3.58M +$2.42M +173,497 +211%
BBPWM
6
Blue Bell Private Wealth Management
Pennsylvania
$3.34M -$440K -31,608 -12%
CL
7
CSS LLC
Illinois
$2.9M +$332K +23,852 +13%
AA
8
Ancora Advisors
Ohio
$1.86M
LCM
9
Landscape Capital Management
New Jersey
$1.25M +$932K +66,944 +302%
SCM
10
Saba Capital Management
New York
$1.05M +$1.05M +75,319 New
SC
11
Scotia Capital
Ontario, Canada
$961K -$5.99K -430 -0.6%
Osaic Holdings
12
Osaic Holdings
Arizona
$885K +$67.3K +4,835 +8%
Morgan Stanley
13
Morgan Stanley
New York
$498K +$39K +2,799 +9%
Wells Fargo
14
Wells Fargo
California
$387K -$78.3K -5,625 -17%
WAM
15
Wolverine Asset Management
Illinois
$386K +$330K +23,730 +619%
DAS
16
Dynamic Advisor Solutions
Arizona
$276K
SFS
17
Sowell Financial Services
Arkansas
$262K +$253K +18,182 New
First Manhattan
18
First Manhattan
New York
$238K +$146K +10,468 +160%
MAFM
19
Mid Atlantic Financial Management
Pennsylvania
$202K +$201K +14,446 New
CA
20
Calton & Associates
Florida
$198K +$197K +14,149 New
WDG
21
Wealth Dimensions Group
Ohio
$157K
UBS Group
22
UBS Group
Switzerland
$107K +$7.59K +545 +8%
CA
23
Crewe Advisors
Utah
$102K
FIA
24
FNY Investment Advisers
New York
$99K +$19.8K +1,422 +25%
GWM
25
Geneos Wealth Management
Colorado
$40K