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NEUBERGER BERMAN RE ES SEC FD
NEUBERGER BERMAN RE ES SEC FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 55 Institutional holders with a total value of $93,708,075.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Bulldog Investors, LLP 5,250,352 26,724,000 28.52%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 1,769,399 9,006,000 9.61%
3 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 1,735,588 8,817,000 9.41%
4 WELLS FARGO & COMPANY/MN 1,474,223 7,504,000 8.01%
5 MARINER INVESTMENT GROUP LLC 1,013,559 5,159,000 5.51%
6 RAYMOND JAMES & ASSOCIATES 913,017 4,647,000 4.96%
7 Advisors Asset Management, Inc. 862,608 4,391,000 4.69%
8 BANK OF AMERICA CORP /DE/ 778,970 3,965,000 4.23%
9 MORGAN STANLEY 554,420 2,822,000 3.01%
10 1607 Capital Partners, LLC 525,355 2,674,000 2.85%
11 CORNERSTONE ADVISORS INC 486,367 2,476,000 2.64%
12 CSS LLC/IL 407,732 2,075,000 2.21%
13 Yakira Capital Management, Inc. 374,904 1,908,000 2.04% SH
14 VSR Financial Services, Inc. 362,416 1,845,000 1.97%
15 Ancora Advisors LLC 310,900 1,582,000 1.69%
16 MOORE CAPITAL MANAGEMENT, LP 232,090 1,181,000 1.26%
17 LPL Financial LLC 196,076 982,000 1.05%
18 Raymond James Financial Services Advisors, Inc. 136,010 692,000 0.74%
19 GUGGENHEIM CAPITAL LLC 135,115 688,000 0.73%
20 NORTH STAR ASSET MANAGEMENT INC 131,860 671,000 0.72%
21 ROYAL BANK OF CANADA 84,439 430,000 0.46%
22 DOLIVER ADVISORS, LP 74,736 380,000 0.41%
23 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 61,755 314,000 0.34%
24 SHEPHERD KAPLAN KROCHUK, LLC 59,850 305,000 0.33%
25 Oxbow Advisors, LLC 59,570 303,000 0.32%
26 IFP ADVISORS, INC 54,259 276,000 0.29%
27 Commonwealth Equity Services, Inc 50,041 255,000 0.27%
28 Neuberger Berman Group LLC 48,375 246,000 0.26%
29 TFS CAPITAL LLC 37,345 190,000 0.20%
30 Saba Capital Management, L.P. 35,553 181,000 0.19%
31 UBS Group AG 25,036 127,000 0.14%
32 RAYMOND JAMES TRUST N.A. 22,247 113,000 0.12%
33 Concert Wealth Management Inc. 20,053 102,000 0.11%
34 Capital Investment Advisors, LLC 19,217 98,000 0.10%
35 AMERIPRISE FINANCIAL INC 18,686 95,000 0.10%
36 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 17,315 88,000 0.09%
37 STIFEL FINANCIAL CORP 11,000 56,000 0.06%
38 STONEBRIDGE CAPITAL MANAGEMENT INC 10,000 51,000 0.05%
39 Stratos Wealth Partners, LTD. 10,000 51,000 0.05%
40 AMERICAN INTERNATIONAL GROUP, INC. 7,606 39,000 0.04%
41 Thomas J. Herzfeld Advisors, Inc. 7,218 37,000 0.04%
42 SIGNATUREFD, LLC 7,200 37,000 0.04%
43 Creative Planning 6,741 34,000 0.04%
44 CITIGROUP INC 4,339 22,000 0.02%
45 FIRST MANHATTAN CO. LLC. 3,028 15,000 0.02%
46 MSI Financial Services Inc 2,688 14,000 0.01%
47 SYNOVUS FINANCIAL CORP 2,087 11,000 0.01%
48 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 1,750 9,000 0.01%
49 SUN LIFE FINANCIAL INC 200 5,075 0.01%
50 Commonwealth Financial Services, LLC 704 4,000 0.00%
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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.