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JOHN HANCOCK PFD INCOME FUND I COM
JOHN HANCOCK PFD INCOME FUND I COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 41 Institutional holders with a total value of $30,495,814.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 263,148 5,253,000 17.23%
2 Invesco Ltd. 130,692 2,609,000 8.56%
3 MORGAN STANLEY 128,159 2,558,000 8.39%
4 FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC /TX 125,457 2,504,000 8.21%
5 UBS AG 102,687 2,050,000 6.72%
6 LPL Financial LLC 94,804 1,892,000 6.20%
7 CREDIT SUISSE AG/ 91,880 1,834,000 6.01%
8 ROBINSON CAPITAL MANAGEMENT, LLC 78,581 1,568,000 5.14%
9 MARINER INVESTMENT GROUP LLC 67,062 1,339,000 4.39%
10 Pine River Capital Management L.P. 58,429 1,167,000 3.83%
11 ROYAL BANK OF CANADA 57,203 1,142,000 3.74%
12 Commonwealth Equity Services, Inc 46,172 922,000 3.02%
13 WELLS FARGO & COMPANY/MN 40,489 808,000 2.65%
14 CORNERSTONE ADVISORS INC 24,743 494,000 1.62%
15 BANK OF AMERICA CORP /DE/ 20,873 417,000 1.37%
16 UNITED CAPITAL FINANCIAL ADVISORS, LLC 20,150 402,000 1.32%
17 NORTHERN TRUST CORP 17,500 349,000 1.14%
18 INVESTMENT CENTERS OF AMERICA INC 17,276 332,000 1.09%
19 IFC Holdings Incorporated/FL 16,464 327,000 1.07%
20 Cambridge Investment Research Advisors, Inc. 14,666 293,000 0.96%
21 Aldebaran Financial Inc. 13,404 268,000 0.88%
22 Capital Investment Advisors, LLC 12,126 242,035 0.79%
23 ProVise Management Group, LLC 11,500 230,000 0.75%
24 STEEL GROVE CAPITAL ADVISORS, LLC 11,380 227,000 0.74%
25 FRANKLIN RESOURCES INC 10,067 201,000 0.66%
26 Marathon Trading Investment Management LLC 10,000 200,000 0.66%
27 NORTHEAST INVESTMENT MANAGEMENT 10,000 200,000 0.66%
28 LADENBURG THALMANN FINANCIAL SERVICES INC. 8,465 169,000 0.55%
29 AMERICAN INTERNATIONAL GROUP, INC. 7,905 157,779 0.52%
30 CITIGROUP INC 3,300 66,000 0.22%
31 Avior Wealth Management, LLC 2,500 50,000 0.16%
32 Creative Planning 2,500 50,000 0.16%
33 BARCLAYS PLC 2,275 43,000 0.14%
34 BOSTON PRIVATE BANK & TRUST CO 2,000 40,000 0.13%
35 PRIVATE TRUST CO NA 1,718 34,000 0.11%
36 SRH ADVISORS, LLC 1,000 20,000 0.07%
37 Somerset Trust Co 800 16,000 0.05%
38 NEW ENGLAND SECURITIES CORP /MA/ 450 9,000 0.03%
39 CENTRAL TRUST Co 285 6,000 0.02%
40 Sandy Spring Bank 210 4,000 0.01%
41 WFG Advisors, LP 172 3,000 0.01%

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.