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NEW YORK MORTGAGE TRUST INC COM
NEW YORK MORTGAGE TRUST INC COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 116 Institutional holders with a total value of $169,072,026.
#
Manager Name
Shares
Value ($)
%
Options
Notes
51 AMERICAN INTERNATIONAL GROUP, INC. 51,121 397,721 0.24%
52 CREDIT SUISSE AG/ 50,761 396,000 0.23%
53 Connor, Clark & Lunn Investment Management Ltd. 44,300 380,000 0.22%
54 CITIGROUP INC 46,946 366,000 0.22%
55 CIBC Private Wealth Group LLC 46,300 352,000 0.21%
56 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 44,997 350,000 0.21%
57 Investors Capital Advisory Services 42,725 332,000 0.20%
58 B. Riley Wealth Advisors, Inc. 42,010 327,000 0.19%
59 AmeriServ Wealth Advisors 34,520 269,000 0.16%
60 DENVER INVESTMENT ADVISORS LLC 29,035 226,000 0.13%
61 Highlander Capital Management, LLC 28,500 221,730 0.13%
62 Cetera Advisors LLC 27,086 213,000 0.13%
63 STRS OHIO 27,100 211,000 0.12%
64 WealthTrust Axiom LLC 26,180 203,000 0.12%
65 GOLDMAN SACHS GROUP INC 25,862 201,000 0.12%
66 BANK OF AMERICA CORP /DE/ 25,286 197,000 0.12%
67 PANAGORA ASSET MANAGEMENT INC 25,222 196,000 0.12%
68 Cetera Advisor Networks LLC 19,660 152,000 0.09%
69 PRICE T ROWE ASSOCIATES INC /MD/ 18,700 145,000 0.09%
70 PRINCIPAL FINANCIAL GROUP INC 18,290 142,000 0.08%
71 Tower Research Capital LLC (TRC) 17,158 133,000 0.08%
72 WELLS FARGO & COMPANY/MN 16,565 129,000 0.08%
73 SG Americas Securities, LLC 16,470 128,000 0.08%
74 MENTA CAPITAL LLC 15,900 124,000 0.07%
75 GENERAL MOTORS INVESTMENT MANAGEMENT CORP 15,983 124,000 0.07%
76 PEAK6 Group LLC 14,719 115,000 0.07%
77 Peregrine Asset Advisers, Inc. 14,600 114,000 0.07%
78 NOMURA HOLDINGS INC 14,320 111,000 0.07%
79 Focused Wealth Management, Inc 14,000 109,000 0.06%
80 Quotient Investors, LLC 13,900 108,000 0.06%
81 Commonwealth Equity Services, Inc 13,671 106,000 0.06%
82 Wellington Shields & Co., LLC 13,500 105,000 0.06%
83 BARINGS LLC 12,800 100,000 0.06%
84 Passport Capital, LLC 11,363 88,000 0.05%
85 ROYAL BANK OF CANADA 10,565 82,000 0.05%
86 Linscomb Wealth, Inc. 10,200 79,000 0.05%
87 FIRST FOUNDATION ADVISORS 10,000 78,000 0.05%
88 DIMENSIONAL FUND ADVISORS LP 9,573 74,000 0.04%
89 AMERIPRISE FINANCIAL INC 8,295 65,000 0.04%
90 BANK OF MONTREAL /CAN/ 7,700 60,000 0.04%
91 Spot Trading L.L.C 7,700 60,000 0.04% Call
92 CANADA LIFE ASSURANCE Co 7,200 56,000 0.03%
93 TURNER INVESTMENTS LLC 6,500 51,000 0.03%
94 PEAK6 Group LLC 5,600 44,000 0.03% Call
95 PEAK6 Group LLC 5,100 40,000 0.02% Put
96 SUMMIT SECURITIES GROUP LLC 4,600 36,000 0.02%
97 PRELUDE CAPITAL MANAGEMENT, LLC 4,400 34,000 0.02%
98 FIRST MERCANTILE TRUST CO 4,308 33,000 0.02%
99 UBS AG 3,500 27,000 0.02% Call
100 Gemmer Asset Management LLC 3,338 26,000 0.02%
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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.