| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | CREDIT SUISSE AG/ | 15,151 | 470,000 | 45.99% | ||
| 2 | LPL Financial LLC | 13,544 | 423,000 | 41.39% | ||
| 3 | ROYAL BANK OF CANADA | 2,000 | 62,000 | 6.07% | ||
| 4 | UBS Group AG | 1,179 | 37,000 | 3.62% | ||
| 5 | Focused Wealth Management, Inc | 600 | 19,000 | 1.86% | ||
| 6 | Creative Planning | 200 | 6,000 | 0.59% | ||
| 7 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 168 | 5,000 | 0.49% |
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.
