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RESOURCE CAP CORP
RESOURCE CAP CORP. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 134 Institutional holders with a total value of $252,980,341.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SAN FRANCISCO SENTRY INVESTMENT GROUP (CA) 200 1,000 0.00%
2 PNC FINANCIAL SERVICES GROUP, INC. 450 2,000 0.00%
3 B. Riley Wealth Management, Inc. 600 2,000 0.00%
4 PIEDMONT INVESTMENT ADVISORS INC 420 2,045 0.00%
5 Financial Architects, Inc 800 4,000 0.00%
6 TRUST CO OF VERMONT 1,000 5,000 0.00%
7 EARNEST PARTNERS LLC 1,600 8,000 0.00%
8 NEXT Financial Group, Inc 1,800 9,000 0.00%
9 BlackRock Finance, Inc. 3,725 18,000 0.01%
10 GROUP ONE TRADING LLC 4,180 20,000 0.01%
11 CANADA LIFE ASSURANCE Co 4,500 22,000 0.01%
12 TEACHER RETIREMENT SYSTEM OF TEXAS 4,614 22,000 0.01%
13 BARCLAYS PLC 6,199 25,000 0.01%
14 One Capital Management, LLC 6,900 34,000 0.01%
15 AMERIPRISE FINANCIAL INC 7,360 36,000 0.01%
16 BNP PARIBAS FINANCIAL MARKETS 7,697 37,484 0.01%
17 Li Winifred I 9,000 44,000 0.02%
18 Nuveen Asset Management, LLC 10,582 52,000 0.02%
19 Spot Trading L.L.C 11,000 54,000 0.02% Put
20 Ameritas Investment Partners, Inc. 11,065 54,000 0.02%
21 B. Riley Wealth Advisors, Inc. 11,346 55,000 0.02%
22 Cubist Systematic Strategies, LLC 12,158 59,000 0.02%
23 Tower Research Capital LLC (TRC) 12,959 63,000 0.02%
24 J.P. Morgan Private Wealth Advisors LLC 13,129 64,000 0.03%
25 RUSSELL FRANK CO/ 13,779 67,000 0.03%
26 Janney Montgomery Scott LLC 14,272 69,504 0.03%
27 SHIKIAR ASSET MANAGEMENT INC 15,300 75,000 0.03%
28 HighTower Advisors, LLC 17,691 86,000 0.03%
29 Cambridge Investment Research Advisors, Inc. 18,014 88,000 0.03%
30 CITIGROUP INC 18,746 91,000 0.04%
31 TUDOR INVESTMENT CORP ET AL 19,118 93,000 0.04%
32 Legal & General Group Plc 18,824 93,000 0.04%
33 CLINTON GROUP INC 19,043 93,000 0.04%
34 Parkwood LLC 19,892 97,000 0.04%
35 Bulldog Investors, LLP 20,000 97,000 0.04%
36 First Allied Advisory Services, Inc. 20,395 100,000 0.04%
37 Cetera Advisor Networks LLC 21,700 105,000 0.04%
38 Freedom Investment Management, Inc. 21,699 106,000 0.04%
39 UNITED SERVICES AUTOMOBILE ASSOCIATION 22,300 109,000 0.04%
40 Moors & Cabot, Inc. 23,074 114,000 0.05%
41 Princeton Alpha Management LP 24,042 117,000 0.05%
42 Horrell Capital Management, Inc. 25,000 122,000 0.05%
43 Orinda Asset Management LLC 25,000 122,000 0.05%
44 Verition Fund Management LLC 27,664 135,000 0.05%
45 MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 28,916 141,000 0.06%
46 BlackRock Group LTD 29,655 145,000 0.06%
47 PRINCIPAL FINANCIAL GROUP INC 30,136 147,000 0.06%
48 Aperio Group, LLC 31,339 153,000 0.06%
49 GENERAL MOTORS INVESTMENT MANAGEMENT CORP 32,064 156,000 0.06%
50 Commonwealth Equity Services, Inc 32,953 160,000 0.06%
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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.