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SPDR SER TR S&P 600 SML CAP
SPDR SER TR S&P 600 SML CAP. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 45 Institutional holders with a total value of $126,046,764.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 STATE STREET CORP 474,572 49,308,000 39.12%
2 BB&T SECURITIES, LLC 18,518 19,229,000 15.26%
3 UBS AG 64,196 6,666,000 5.29%
4 OLD DOMINION CAPITAL MANAGEMENT INC 52,708 5,473,000 4.34%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 41,514 4,313,000 3.42%
6 HighTower Advisors, LLC 36,328 3,772,000 2.99%
7 WELLS FARGO & COMPANY/MN 36,259 3,766,000 2.99%
8 ARS Investment Partners, LLC 29,972 3,112,000 2.47%
9 Legacy Private Trust Co. 29,413 3,054,000 2.42%
10 BANK OF AMERICA CORP /DE/ 29,154 3,027,000 2.40%
11 Capital Advantage, Inc. 23,858 2,628,000 2.08%
12 Whitegate Investment Counselors, Inc. 25,377 2,569,000 2.04%
13 Bank of New York Mellon Corp 21,483 2,231,000 1.77%
14 LPL Financial LLC 21,383 2,220,000 1.76%
15 MORGAN STANLEY 21,325 2,214,000 1.76%
16 ROYAL BANK OF CANADA 17,012 1,767,000 1.40%
17 Asset Management Group, Inc. 13,683 1,421,000 1.13%
18 D.A. DAVIDSON & CO. 13,497 1,401,000 1.11%
19 Private Advisor Group, LLC 9,953 1,034,000 0.82%
20 Virtu KCG Holdings LLC 8,343 866,000 0.69%
21 Commonwealth Equity Services, Inc 5,418 563,000 0.45%
22 NATIONAL PLANNING CORP 5,134 542,000 0.43%
23 FINANCIAL COUNSELORS INC 4,460 463,000 0.37%
24 AMERIPRISE FINANCIAL INC 4,024 418,000 0.33%
25 HSBC HOLDINGS PLC 3,800 395,000 0.31%
26 Janney Montgomery Scott LLC 3,721 386,389 0.31%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,619 376,000 0.30%
28 Advisors Preferred, LLC 3,288 341,623 0.27%
29 NEW ENGLAND SECURITIES CORP /MA/ 2,999 311,000 0.25%
30 Carlson Capital Management 2,796 290,000 0.23%
31 CITIGROUP INC 2,765 287,000 0.23%
32 BlackRock Institutional Trust Company, N.A. 2,395 249,000 0.20%
33 EXENCIAL WEALTH ADVISORS, LLC 2,394 242,000 0.19%
34 B. Riley Wealth Advisors, Inc. 2,276 236,000 0.19%
35 Northeast Financial Consultants Inc 2,200 228,000 0.18%
36 PNC FINANCIAL SERVICES GROUP, INC. 1,250 130,000 0.10%
37 Creative Planning 1,130 117,000 0.09%
38 MSI Financial Services Inc 1,089 113,000 0.09%
39 ARROW FINANCIAL CORP 900 93,000 0.07%
40 AMERICAN INTERNATIONAL GROUP, INC. 652 67,752 0.05%
41 WHITTIER TRUST CO 557 58,000 0.05%
42 WHITTIER TRUST CO OF NEVADA INC 450 47,000 0.04%
43 Capital Advisors, Ltd. LLC 200 21,000 0.02%
44 WEALTHFRONT CORP 5 1,000 0.00%
45 Tower Research Capital LLC (TRC) 0 0 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.