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TEKLA HEALTHCARE OPPORTUNITI
TEKLA HEALTHCARE OPPORTUNITI. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 42 Institutional holders with a total value of $108,849,345.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,772,825 28,206,000 25.91%
2 1832 Asset Management L.P. 506,214 13,614,000 12.51%
3 Karpus Management, Inc. 782,457 12,449,000 11.44%
4 Raymond James Financial Services Advisors, Inc. 714,282 11,364,000 10.44%
5 Thomas J. Herzfeld Advisors, Inc. 524,833 8,350,000 7.67%
6 UBS Group AG 354,831 5,645,000 5.19%
7 RAYMOND JAMES & ASSOCIATES 331,117 5,268,000 4.84%
8 WELLS FARGO & COMPANY/MN 252,114 4,011,000 3.68%
9 ROYAL BANK OF CANADA 194,790 3,099,000 2.85%
10 Advisors Asset Management, Inc. 172,804 2,749,000 2.53%
11 LPL Financial LLC 106,064 1,698,000 1.56%
12 FIRST TRUST ADVISORS LP 86,122 1,370,000 1.26%
13 DOLIVER ADVISORS, LP 79,560 1,266,000 1.16%
14 CITIGROUP INC 74,402 1,183,000 1.09%
15 AMERIPRISE FINANCIAL INC 56,456 913,000 0.84%
16 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 49,487 787,000 0.72%
17 STIFEL FINANCIAL CORP 49,160 782,000 0.72%
18 Aviance Capital Partners, LLC 47,826 761,000 0.70%
19 Coe Capital Management, LLC 41,896 666,565 0.61%
20 D.A. DAVIDSON & CO. 37,923 603,000 0.55%
21 BANK OF AMERICA CORP /DE/ 37,506 597,000 0.55%
22 AMERICAN INTERNATIONAL GROUP, INC. 34,298 546,000 0.50%
23 WEDBUSH SECURITIES INC 33,904 539,000 0.50%
24 Sigma Planning Corp 30,833 491,000 0.45%
25 BB&T SECURITIES, LLC 21,100 335,000 0.31%
26 Investors Capital Advisory Services 21,000 334,000 0.31%
27 IFP ADVISORS, INC 18,953 302,000 0.28%
28 Bison Wealth, LLC 16,707 264,000 0.24%
29 Capital Investment Advisors, LLC 11,800 188,000 0.17%
30 PNC FINANCIAL SERVICES GROUP, INC. 9,835 156,000 0.14%
31 SIGNATUREFD, LLC 7,500 119,000 0.11%
32 DELTA ASSET MANAGEMENT LLC/TN 4,700 75,000 0.07%
33 Creative Planning 2,417 38,000 0.03%
34 MSI Financial Services Inc 1,046 17,000 0.02%
35 SONORA INVESTMENT MANAGEMENT, LLC 1,000 16,780 0.02%
36 Barnett & Company, Inc. 1,000 16,000 0.01% PRN
37 DEUTSCHE BANK AG\ 600 9,000 0.01%
38 LADENBURG THALMANN FINANCIAL SERVICES INC. 436 7,000 0.01%
39 GENEOS WEALTH MANAGEMENT INC. 400 6,000 0.01%
40 THOMPSON DAVIS & CO., INC. 250 4,000 0.00%
41 Carroll Financial Associates, Inc. 250 3,000 0.00%
42 ACROSPIRE INVESTMENT MANAGEMENT LLC 100 2,000 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.