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Fidus Investment Corp
Fidus Investment Corp. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 48 Institutional holders with a total value of $64,097,712.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 104,373 15,499,000 24.18%
2 RAYMOND JAMES & ASSOCIATES 636,424 9,451,000 14.74%
3 Advisors Asset Management, Inc. 526,891 7,824,000 12.21%
4 Yorktown Management & Research Co Inc 514,405 7,639,000 11.92%
5 UBS Group AG 290,040 4,307,000 6.72%
6 StepStone Group LP 260,105 3,863,000 6.03%
7 BUCKHEAD CAPITAL MANAGEMENT LLC 157,437 2,338,000 3.65%
8 GUGGENHEIM CAPITAL LLC 114,170 1,695,000 2.64%
9 TWO SIGMA INVESTMENTS, LP 103,480 1,537,000 2.40%
10 TWO SIGMA ADVISERS, LP 91,900 1,365,000 2.13%
11 Muzinich & Co., Inc. 65,013 965,000 1.51%
12 STATE STREET CORP 61,676 916,000 1.43%
13 BlackRock Group LTD 61,465 913,000 1.42%
14 VSR Financial Services, Inc. 60,638 900,000 1.40%
15 MILLENNIUM MANAGEMENT LLC 55,812 829,000 1.29%
16 MORGAN STANLEY 37,918 563,000 0.88%
17 D. E. Shaw & Co., Inc. 34,885 518,000 0.81%
18 Robert W. Baird & Co. Inc 32,497 482,000 0.75%
19 RAYMOND JAMES TRUST N.A. 17,195 255,000 0.40%
20 OPPENHEIMER & CO INC 14,157 210,000 0.33%
21 Kingfisher Capital LLC 13,557 201,000 0.31%
22 West Family Investments, Inc. 13,328 198,000 0.31%
23 Bragg Financial Advisors, Inc 13,011 193,000 0.30%
24 CIBC WORLD MARKET INC. 12,600 187,000 0.29%
25 DIALECTIC CAPITAL MANAGEMENT, LP 11,381 169,000 0.26%
26 BROWN BROTHERS HARRIMAN & CO 11,286 168,000 0.26%
27 Commonwealth Equity Services, Inc 11,126 165,000 0.26%
28 HighTower Advisors, LLC 10,284 153,000 0.24%
29 Carroll Financial Associates, Inc. 9,740 149,000 0.23%
30 WELLS FARGO & COMPANY/MN 7,150 106,000 0.17%
31 PRELUDE CAPITAL MANAGEMENT, LLC 6,200 92,000 0.14%
32 First Personal Financial Services 5,362 79,000 0.12%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,518 23,000 0.04%
34 US BANCORP \DE\ 1,500 22,000 0.03%
35 Tower Research Capital LLC (TRC) 1,355 21,000 0.03%
36 PANAGORA ASSET MANAGEMENT INC 1,380 20,000 0.03%
37 PineBridge Investments, L.P. 1,085 16,000 0.02%
38 OPTIMUM INVESTMENT ADVISORS 800 12,000 0.02%
39 Invesco Ltd. 820 12,000 0.02%
40 AMERICAN INTERNATIONAL GROUP, INC. 654 9,712 0.02%
41 THRIVENT FINANCIAL FOR LUTHERANS 476 7,000 0.01%
42 ROYAL BANK OF CANADA 500 7,000 0.01%
43 SIMPLEX TRADING, LLC 291 4,000 0.01%
44 HOWE & RUSLING INC 240 4,000 0.01%
45 NEXT Financial Group, Inc 250 4,000 0.01%
46 WFG Advisors, LP 225 3,000 0.00%
47 MANUFACTURERS LIFE INSURANCE COMPANY, THE 209 3,000 0.00%
48 WOLVERINE ASSET MANAGEMENT LLC 25 1,000 0.00% Put

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.