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Institutional Investment Manager
PENSERRA CAPITAL MANAGEMENT LLC
PENSERRA CAPITAL MANAGEMENT LLC (CIK: 0001593324). Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 960 holdings with a total value of $822,468,000.
#
Name
Shares
Value ($)
%
Options
Notes
51 NEW AMER HIGH INCOME FD INC 329 3,000 0.00%
52 STONE HBR EMERG MRKTS INC FD COM 226 3,000 0.00%
53 WESTERN ASSET GLOBAL CP DEFINE 213 3,000 0.00%
54 EATON VANCE SHORT COM 256 3,000 0.00%
55 CALAMOS GBL DYN INCOME FUND COM 478 3,000 0.00%
56 DREYFUS HIGH YIELD STRATEGIE 1,037 3,000 0.00%
57 INDEPENDENCE RLTY TR INC COM 436 3,000 0.00%
58 ONE LIBERTY PPTYS INC COM 206 4,000 0.00%
59 WESTERN ASSET GLOBAL HIGH IN 442 4,000 0.00%
60 Teekay Offshore Partners LP 664 4,000 0.00%
61 ARLINGTON ASSET INVST CORP 330 4,000 0.00%
62 BP PRUDHOE BAY RTY TR 251 4,000 0.00%
63 WESTERN ASSET HGH YLD DFNDFD 323 4,000 0.00%
64 TRANSOCEAN PARTNERS LLC 338 4,000 0.00%
65 BLACKROCK FLOATING RATE INCO 329 4,000 0.00%
66 UMH PPTYS INC 353 4,000 0.00%
67 ARES DYNAMIC CR ALLOCATION F 330 4,000 0.00%
68 Western Asset Emerging Markets 412 4,000 0.00%
69 PIMCO INCOME OPPORTUNITY FD 212 4,000 0.00%
70 PIONEER HIGH INCOME TR 411 4,000 0.00%
71 BROOKFIELD TOTAL RETURN FD I 200 4,000 0.00%
72 GUGGENHEIM STRATEGIC OPPORTU 252 4,000 0.00%
73 THL CR INC 449 4,000 0.00%
74 Fidus Investment Corp 269 4,000 0.00%
75 BROOKFIELD MORTGAGE 328 4,000 0.00%
76 LEGG MASON BW GLB INC OPP FD 299 4,000 0.00%
77 COHEN STEERS SELECT PFD 169 4,000 0.00%
78 PIONEER FLOATING RATE TR 341 4,000 0.00%
79 ADVENT CLAYMORE CV SECS & INCORPORATED 332 4,000 0.00%
80 TICC CAPITAL CORP 740 4,000 0.00%
81 WESTERN ASSET INVT COM 211 4,000 0.00%
82 RAIT FINANCIAL TRUST 1,188 4,000 0.00%
83 BLACKROCK INCOME TR INC 924 5,000 0.00%
84 BARINGS GLOBAL SHORT DURATIO 285 5,000 0.00%
85 GUGGENHEIM TAXABLE MUN MNGD 250 5,000 0.00%
86 WESTWOOD HOLDINGS CORP 109 5,000 0.00%
87 GLOBAL PARTNERS LP 322 5,000 0.00%
88 BRISTOW GROUP INC COM 411 5,000 0.00%
89 WHITESTONE REIT 394 5,000 0.00%
90 RESOURCE CAPITAL CORP N/C 5/29/18 30068N105 437 5,000 0.00%
91 DOUBLELINE OPPORTUNISTIC CR 217 5,000 0.00%
92 FIRST TR SR FLG RTE INCM FD 378 5,000 0.00%
93 NUVEEN MORTGAGE AND INCOME F 227 5,000 0.00%
94 ANWORTH MTG ASSET CORP 1,214 5,000 0.00%
95 FORTIVE CORP 100 5,000 0.00%
96 PENNANTPARK FLOATING RATE CA 384 5,000 0.00%
97 UNDER ARMOUR INC 186 6,000 0.00%
98 MARTIN MIDSTREAM PRTNRS L P 340 6,000 0.00%
99 NUVEEN FLTNG RTE INCM OPP FD 544 6,000 0.00%
100 WESTERN ASSET MTG CAP CORP 603 6,000 0.00%
Page 2 of 20

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001593324-16-000011, filed 2016.11.03).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.