Dark
Light
System
Security
NEUBERGER BERMAN HGH YLD FD
NEUBERGER BERMAN HGH YLD FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 44 Institutional holders with a total value of $52,722,164.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Saba Capital Management, L.P. 818,403 9,706,000 18.41%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 532,370 6,314,000 11.98%
3 GUGGENHEIM CAPITAL LLC 445,659 5,286,000 10.03%
4 MORGAN STANLEY 411,178 4,877,000 9.25%
5 Invesco Ltd. 313,743 3,721,000 7.06%
6 Advisors Asset Management, Inc. 274,013 3,250,000 6.16%
7 Yorktown Management & Research Co Inc 207,000 2,455,000 4.66%
8 LPL Financial LLC 188,767 2,212,000 4.20%
9 ROBINSON CAPITAL MANAGEMENT, LLC 170,350 2,020,000 3.83%
10 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 163,850 1,937,000 3.67%
11 WELLS FARGO & COMPANY/MN 141,433 1,677,000 3.18%
12 UBS Group AG 119,543 1,418,000 2.69%
13 CITIGROUP INC 94,143 1,117,000 2.12%
14 RAYMOND JAMES & ASSOCIATES 81,745 969,000 1.84%
15 ADVISOR GROUP, INC. 62,405 740,000 1.40%
16 Capital Investment Advisors, LLC 61,835 733,000 1.39%
17 BANK OF AMERICA CORP /DE/ 44,233 524,000 0.99%
18 WEDBUSH SECURITIES INC 43,840 520,000 0.99%
19 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 41,266 489,000 0.93%
20 SHEPHERD KAPLAN KROCHUK, LLC 27,130 322,000 0.61%
21 BAIRD FINANCIAL GROUP, INC. 24,695 293,000 0.56%
22 M&T BANK CORP 21,500 255,000 0.48%
23 Shaker Financial Services, LLC 20,414 242,000 0.46%
24 RAYMOND JAMES TRUST N.A. 14,113 167,000 0.32%
25 Virtu KCG Holdings LLC 13,959 166,000 0.31%
26 Wunderlich Capital Managemnt 12,571 149,000 0.28%
27 OPPENHEIMER & CO INC 12,161 145,000 0.28%
28 GENEOS WEALTH MANAGEMENT INC. 11,810 140,000 0.27%
29 SUNTRUST BANKS INC 13,687 137,000 0.26%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,150 133,000 0.25%
31 SII INVESTMENTS INC/WI 11,130 132,000 0.25%
32 Raymond James Financial Services Advisors, Inc. 11,018 131,000 0.25%
33 AMERIPRISE FINANCIAL INC 10,570 125,000 0.24%
34 IFP ADVISORS, INC 4,000 47,000 0.09%
35 US BANCORP \DE\ 3,566 42,000 0.08%
36 WFG Advisors, LP 3,250 39,000 0.07%
37 MSI Financial Services Inc 3,080 37,000 0.07%
38 ROYAL BANK OF CANADA 1,222 14,000 0.03%
39 Capital Analysts, LLC 1,109 13,164 0.02%
40 BANK OF MONTREAL /CAN/ 1,000 12,000 0.02%
41 Highlander Capital Management, LLC 577 7,000 0.01%
42 Financial Architects, Inc 500 6,000 0.01%
43 PENSERRA CAPITAL MANAGEMENT LLC 277 3,000 0.01%
44 Creative Planning 24 0 0.00%

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.