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

Institutional Holders (2016Q3)
Portfolio Summary: 54 Institutional holders with a total value of $102,571,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Bulldog Investors, LLP 5,698,062 32,422,000 31.61%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 2,121,675 12,072,000 11.77%
3 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 1,398,869 7,974,000 7.77%
4 WELLS FARGO & COMPANY/MN 1,346,971 7,664,000 7.47%
5 RAYMOND JAMES & ASSOCIATES 1,090,786 6,207,000 6.05%
6 MORGAN STANLEY 742,978 4,227,000 4.12%
7 BANK OF AMERICA CORP /DE/ 638,836 3,635,000 3.54%
8 Yakira Capital Management, Inc. 634,989 3,613,000 3.52% SH
9 1607 Capital Partners, LLC 516,355 2,938,000 2.86%
10 Advisors Asset Management, Inc. 513,565 2,922,000 2.85%
11 CSS LLC/IL 509,968 2,902,000 2.83%
12 MARINER INVESTMENT GROUP LLC 365,372 2,079,000 2.03%
13 SIT INVESTMENT ASSOCIATES INC 261,032 1,485,000 1.45%
14 POTRERO CAPITAL RESEARCH LLC 235,311 1,339,000 1.31%
15 CORNERSTONE ADVISORS INC 208,680 1,187,000 1.16%
16 MOORE CAPITAL MANAGEMENT, LP 188,181 1,071,000 1.04%
17 CLOUGH CAPITAL PARTNERS L P 176,600 1,005,000 0.98%
18 GUGGENHEIM CAPITAL LLC 141,292 804,000 0.78%
19 CITIGROUP INC 128,174 729,000 0.71%
20 NORTH STAR ASSET MANAGEMENT INC 125,452 714,000 0.70%
21 LPL Financial LLC 123,364 687,000 0.67%
22 ROYAL BANK OF CANADA 90,159 567,000 0.55%
23 Strategic Advisors LLC 87,005 495,000 0.48%
24 Saba Capital Management, L.P. 85,333 486,000 0.47%
25 DOLIVER ADVISORS, LP 82,553 470,000 0.46%
26 Cambridge Investment Research Advisors, Inc. 61,272 349,000 0.34%
27 Commonwealth Equity Services, Inc 55,061 313,000 0.31%
28 OPERA TRADING CAPITAL 48,878 278,000 0.27%
29 Neuberger Berman Group LLC 47,921 273,000 0.27%
30 Raymond James Financial Services Advisors, Inc. 45,396 258,000 0.25%
31 UBS Group AG 27,510 157,000 0.15%
32 Concert Wealth Management Inc. 24,093 139,000 0.14%
33 Virtu KCG Holdings LLC 24,478 139,000 0.14%
34 AMERIPRISE FINANCIAL INC 23,111 132,000 0.13%
35 RAYMOND JAMES TRUST N.A. 22,247 127,000 0.12%
36 Capital Investment Advisors, LLC 19,217 109,000 0.11%
37 LADENBURG THALMANN FINANCIAL SERVICES INC. 17,659 100,000 0.10%
38 STIFEL FINANCIAL CORP 16,350 92,000 0.09%
39 ADVISOR GROUP, INC. 11,306 64,000 0.06%
40 Stratos Wealth Partners, LTD. 10,000 57,000 0.06%
41 STONEBRIDGE CAPITAL MANAGEMENT INC 10,000 57,000 0.06%
42 IFP ADVISORS, INC 9,229 53,000 0.05%
43 ENVESTNET ASSET MANAGEMENT INC 8,767 50,000 0.05%
44 Creative Planning 6,247 36,000 0.04%
45 US BANCORP \DE\ 5,187 30,000 0.03%
46 FIRST MANHATTAN CO. LLC. 3,028 17,000 0.02%
47 NEXT Financial Group, Inc 2,400 14,000 0.01%
48 SYNOVUS FINANCIAL CORP 2,087 12,000 0.01%
49 MSI Financial Services Inc 1,643 9,000 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.