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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 (2015Q3)
Portfolio Summary: 57 Institutional holders with a total value of $91,117,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 104,557 10,199,000 11.19%
2 Legacy Private Trust Co. 74,934 7,309,000 8.02%
3 AMERICAN INTERNATIONAL GROUP, INC. 54,812 5,347,000 5.87%
4 STATE STREET CORP 52,114 5,101,000 5.60%
5 Capital Advantage, Inc. 47,582 5,071,000 5.57%
6 OLD DOMINION CAPITAL MANAGEMENT INC 48,991 4,779,000 5.24%
7 BANK OF AMERICA CORP /DE/ 43,881 4,281,000 4.70%
8 MORGAN STANLEY 33,909 3,307,000 3.63%
9 WELLS FARGO & COMPANY/MN 33,186 3,237,000 3.55%
10 ARS Investment Partners, LLC 32,000 3,121,000 3.43%
11 Asset Management Group, Inc. 31,035 3,027,000 3.32%
12 AMERIPRISE FINANCIAL INC 30,377 2,963,000 3.25%
13 SUSQUEHANNA INTERNATIONAL GROUP, LLP 27,954 2,736,000 3.00%
14 Atria Investments, Inc 228 2,337,000 2.56%
15 LPL Financial LLC 22,400 2,267,000 2.49%
16 Commonwealth Equity Services, Inc 21,463 2,094,000 2.30%
17 PNC FINANCIAL SERVICES GROUP, INC. 20,772 2,026,000 2.22%
18 Bank of New York Mellon Corp 20,641 2,014,000 2.21%
19 ROYAL BANK OF CANADA 18,354 1,791,000 1.97%
20 D.A. DAVIDSON & CO. 18,354 1,790,000 1.96%
21 SCOTIA CAPITAL INC. 18,344 1,789,000 1.96%
22 Private Advisor Group, LLC 18,062 1,762,000 1.93%
23 J.P. Morgan Private Wealth Advisors LLC 14,754 1,439,000 1.58%
24 Carnegie Investment Counsel 11,649 1,194,000 1.31%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,619 1,036,000 1.14%
26 BAIRD FINANCIAL GROUP, INC. 10,394 1,014,000 1.11%
27 Private Wealth Advisors, Inc. 9,414 918,000 1.01%
28 FINANCIAL COUNSELORS INC 7,108 693,000 0.76%
29 CITIGROUP INC 6,427 630,000 0.69%
30 WHALEROCK POINT PARTNERS, LLC 5,710 556,000 0.61%
31 CITADEL ADVISORS LLC 5,265 515,000 0.57%
32 Courage Miller Partners, LLC 4,702 444,000 0.49%
33 Northeast Financial Consultants Inc 3,679 359,000 0.39%
34 B. Riley Wealth Advisors, Inc. 3,462 338,000 0.37%
35 WASHINGTON TRUST Co 3,200 312,000 0.34%
36 SII INVESTMENTS INC/WI 3,107 303,000 0.33%
37 Janney Montgomery Scott LLC 2,724 266,000 0.29%
38 NATIONAL PLANNING CORP 2,488 264,000 0.29%
39 Cambridge Investment Research Advisors, Inc. 2,584 252,000 0.28%
40 Carlson Capital Management 2,586 252,000 0.28%
41 Concert Wealth Management Inc. 2,548 246,000 0.27%
42 EXENCIAL WEALTH ADVISORS, LLC 2,394 234,000 0.26%
43 NEXT Financial Group, Inc 2,072 202,000 0.22%
44 Bridgewater Wealth & Financial Management, LLC 2,064 201,000 0.22%
45 Creative Planning 2,001 195,000 0.21%
46 SG Americas Securities, LLC 1,806 176,000 0.19%
47 WHITTIER TRUST CO 1,706 166,000 0.18%
48 MSI Financial Services Inc 1,413 138,000 0.15%
49 ENVESTNET ASSET MANAGEMENT INC 1,125 110,000 0.12%
50 Argentus Capital Management, LLC 701 68,000 0.07%
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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.