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SPDR SERIES TRUST
SPDR SERIES TRUST. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 31 Institutional holders with a total value of $16,562,210.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Tradewinds Capital Management, LLC 28,874 2,370,000 14.31%
2 ProVise Management Group, LLC 27,529 2,260,000 13.65%
3 LPL Financial LLC 24,238 1,954,000 11.80%
4 AXA S.A. 23,094 1,896,000 11.45%
5 MORGAN STANLEY 14,901 1,224,000 7.39%
6 ROYAL BANK OF CANADA 13,155 1,080,000 6.52%
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 8,834 725,000 4.38%
8 Carnick & Kubik, LLC 5,899 710,000 4.29%
9 WELLS FARGO & COMPANY/MN 7,062 580,000 3.50%
10 UBS AG 6,779 557,000 3.36%
11 SG Americas Securities, LLC 6,640 545,000 3.29%
12 Tuttle Capital Management, LLC 6,154 505,000 3.05%
13 CITIGROUP INC 5,674 466,000 2.81%
14 Freedom Investment Management, Inc. 4,980 409,000 2.47%
15 Carnegie Investment Counsel 3,512 288,000 1.74%
16 JANE STREET GROUP, LLC 2,812 231,000 1.39%
17 HighTower Advisors, LLC 2,707 222,000 1.34%
18 One Capital Management, LLC 1,795 147,000 0.89%
19 BANK OF AMERICA CORP /DE/ 1,468 121,000 0.73%
20 TD AMERITRADE INVESTMENT MANAGEMENT, LLC 832 68,000 0.41%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 730 60,000 0.36%
22 AMERIPRISE FINANCIAL INC 499 41,000 0.25%
23 BANK OF MONTREAL /CAN/ 331 27,000 0.16%
24 NEW ENGLAND SECURITIES CORP /MA/ 284 23,000 0.14%
25 Winfield Associates, Inc. 200 16,000 0.10%
26 KANALY TRUST CO 164 13,000 0.08%
27 AMERICAN INTERNATIONAL GROUP, INC. 100 8,210 0.05%
28 Avior Wealth Management, LLC 75 6,000 0.04%
29 Private Advisor Group, LLC 60 5,000 0.03%
30 MSI Financial Services Inc 51 4,000 0.02%
31 Tower Research Capital LLC (TRC) 13 1,000 0.01%

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.