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

Institutional Holders (2016Q2)
Portfolio Summary: 59 Institutional holders with a total value of $60,918,590.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RAYMOND JAMES & ASSOCIATES 762,937 11,650,000 19.12%
2 Advisors Asset Management, Inc. 405,894 6,198,000 10.17%
3 Yorktown Management & Research Co Inc 375,000 5,726,000 9.40%
4 UBS Group AG 334,705 5,111,000 8.39%
5 West Family Investments, Inc. 299,230 4,569,000 7.50%
6 StepStone Group LP 260,105 3,971,000 6.52%
7 Raymond James Financial Services Advisors, Inc. 257,757 3,936,000 6.46%
8 BUCKHEAD CAPITAL MANAGEMENT LLC 194,205 2,966,000 4.87%
9 Muzinich & Co., Inc. 104,241 1,592,000 2.61%
10 BlackRock Group LTD 85,936 1,312,000 2.15%
11 TWO SIGMA INVESTMENTS, LP 80,431 1,228,000 2.02%
12 GUGGENHEIM CAPITAL LLC 69,615 1,063,000 1.74%
13 TWO SIGMA ADVISERS, LP 66,613 1,017,000 1.67%
14 VSR Financial Services, Inc. 57,638 880,000 1.44%
15 BB&T SECURITIES, LLC 52,270 798,000 1.31%
16 MORGAN STANLEY 51,481 787,000 1.29%
17 ARES MANAGEMENT LLC 48,000 732,000 1.20%
18 NUVEEN ASSET MANAGEMENT INC. 43,872 670,000 1.10%
19 ADVISORY RESEARCH INC 36,421 556,000 0.91%
20 Sumitomo Mitsui DS Asset Management Company, Ltd 32,701 499,000 0.82%
21 Spot Trading L.L.C 32,600 498,000 0.82% Call
22 Bison Wealth, LLC 29,368 448,000 0.74%
23 MILLENNIUM MANAGEMENT LLC 28,363 433,000 0.71%
24 OPPENHEIMER & CO INC 25,754 393,000 0.65%
25 MCKINLEY CAPITAL MANAGEMENT LLC 24,828 379,000 0.62%
26 SUSQUEHANNA INTERNATIONAL GROUP, LLP 22,700 347,000 0.57% Call
27 BAIRD FINANCIAL GROUP, INC. 19,970 308,000 0.51%
28 RAYMOND JAMES TRUST N.A. 18,765 287,000 0.47%
29 First Allied Advisory Services, Inc. 17,185 263,000 0.43%
30 Commonwealth Equity Services, Inc 16,191 247,000 0.41%
31 Kingfisher Capital LLC 13,011 199,000 0.33%
32 Bragg Financial Advisors, Inc 13,011 199,000 0.33%
33 Spot Trading L.L.C 12,600 192,000 0.32% Put
34 Virtu KCG Holdings LLC 11,998 183,000 0.30%
35 WOLVERINE TRADING LP /BD 105 160,335 0.26% Call
36 Prospera Financial Services Inc 10,055 154,000 0.25%
37 CITIGROUP INC 9,867 151,000 0.25%
38 ROYAL BANK OF CANADA 9,595 147,000 0.24%
39 BROWN BROTHERS HARRIMAN & CO 8,286 127,000 0.21%
40 MOSAIC FAMILY WEALTH, LLC 7,177 110,000 0.18%
41 WOLVERINE TRADING LP /BD 65 99,255 0.16% Put
42 Carroll Financial Associates, Inc. 5,460 83,000 0.14%
43 Spot Trading L.L.C 3,252 50,000 0.08%
44 WELLS FARGO & COMPANY/MN 2,488 38,000 0.06%
45 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,000 31,000 0.05%
46 ARCADIA INVESTMENT MANAGEMENT CORP/MI 1,620 25,000 0.04%
47 BANK OF AMERICA CORP /DE/ 1,600 24,000 0.04%
48 ADVISOR GROUP, INC. 1,516 23,000 0.04%
49 PANAGORA ASSET MANAGEMENT INC 1,380 21,000 0.03%
50 DEUTSCHE BANK AG\ 815 12,000 0.02%
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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.