Dark
Light
System
Security
NEUBERGER BERMAN RE ES SEC FD
NEUBERGER BERMAN RE ES SEC FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 63 Institutional holders with a total value of $95,447,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Bulldog Investors, LLP 5,494,917 29,508,000 30.92%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 2,130,602 11,441,000 11.99%
3 WELLS FARGO & COMPANY/MN 1,240,374 6,661,000 6.98%
4 RAYMOND JAMES & ASSOCIATES 1,103,255 5,924,000 6.21%
5 Advisors Asset Management, Inc. 900,167 4,834,000 5.06%
6 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 765,066 4,120,000 4.32%
7 MORGAN STANLEY 640,944 3,441,000 3.61%
8 BANK OF AMERICA CORP /DE/ 638,465 3,429,000 3.59%
9 CSS LLC/IL 574,788 3,087,000 3.23%
10 Yakira Capital Management, Inc. 550,467 2,956,000 3.10% SH
11 1607 Capital Partners, LLC 519,555 2,790,000 2.92%
12 ICON ADVISERS INC/CO 486,848 2,614,000 2.74%
13 MIDAS MANAGEMENT CORP 300,000 1,611,000 1.69%
14 POTRERO CAPITAL RESEARCH LLC 278,611 1,496,000 1.57%
15 SIT INVESTMENT ASSOCIATES INC 270,510 1,453,000 1.52%
16 COHEN & STEERS, INC. 180,775 971,000 1.02%
17 LPL Financial LLC 142,914 765,000 0.80%
18 CLOUGH CAPITAL PARTNERS L P 139,058 747,000 0.78%
19 Alpine Global Management, LLC 125,000 671,000 0.70%
20 GUGGENHEIM CAPITAL LLC 121,251 651,000 0.68%
21 NORTH STAR ASSET MANAGEMENT INC 119,013 639,000 0.67%
22 FLAGSHIP HARBOR ADVISORS, LLC 119,815 632,000 0.66%
23 Saba Capital Management, L.P. 85,333 458,000 0.48%
24 ROYAL BANK OF CANADA 84,384 453,000 0.47%
25 DOLIVER ADVISORS, LP 81,982 440,000 0.46%
26 Cambridge Investment Research Advisors, Inc. 75,504 405,000 0.42%
27 Commonwealth Equity Services, Inc 63,619 342,000 0.36%
28 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 49,880 267,000 0.28%
29 OPERA TRADING CAPITAL 48,878 262,000 0.27%
30 Neuberger Berman Group LLC 47,921 257,000 0.27%
31 Raymond James Financial Services Advisors, Inc. 46,396 249,000 0.26%
32 ADVISOR GROUP, INC. 37,806 203,000 0.21%
33 STRATEGIC INVESTMENT MANAGEMENT, LLC 35,000 187,000 0.20%
34 UBS Group AG 31,447 169,000 0.18%
35 OPPENHEIMER & CO INC 24,850 133,000 0.14%
36 RAYMOND JAMES TRUST N.A. 22,247 119,000 0.12%
37 AMERIPRISE FINANCIAL INC 22,189 119,000 0.12%
38 TWO SIGMA SECURITIES, LLC 21,937 118,000 0.12%
39 Capital Investment Advisors, LLC 18,801 101,000 0.11%
40 FineMark National Bank & Trust 15,000 81,000 0.08%
41 STIFEL FINANCIAL CORP 15,090 81,000 0.08%
42 FDx Advisors, Inc. 13,462 72,000 0.08%
43 SILVER CAPITAL MANAGEMENT LLC 11,400 61,000 0.06%
44 CMT TRADING LLC 10,931 59,000 0.06%
45 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,572 58,000 0.06%
46 STONEBRIDGE CAPITAL MANAGEMENT INC 10,000 54,000 0.06%
47 Stratos Wealth Partners, LTD. 10,000 54,000 0.06%
48 IFP ADVISORS, INC 8,689 47,000 0.05%
49 ACROSPIRE INVESTMENT MANAGEMENT LLC 5,600 30,000 0.03%
50 FNY PARTNERS FUND LP 4,386 24,000 0.03%
Page 1 of 2

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.