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STELLUS CAP INVT CORP
STELLUS CAP INVT CORP. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 30 Institutional holders with a total value of $54,196,438.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 D. E. Shaw & Co., Inc. 1,875,058 26,045,000 48.06%
2 Advisors Asset Management, Inc. 427,598 5,939,000 10.96%
3 UBS AG 329,223 4,573,000 8.44%
4 Yorktown Management & Research Co Inc 314,700 4,371,000 8.07%
5 CONFLUENCE INVESTMENT MANAGEMENT LLC 286,162 3,975,000 7.33%
6 BUCKHEAD CAPITAL MANAGEMENT LLC 192,840 2,679,000 4.94%
7 VSR Financial Services, Inc. 68,064 945,000 1.74%
8 BlackRock Group LTD 61,611 856,000 1.58%
9 RAYMOND JAMES & ASSOCIATES 59,775 830,000 1.53%
10 MORGAN STANLEY 47,710 663,000 1.22%
11 GOLDMAN SACHS GROUP INC 35,938 499,000 0.92%
12 TWO SIGMA INVESTMENTS, LP 34,599 481,000 0.89%
13 TWO SIGMA ADVISERS, LP 31,200 433,000 0.80%
14 OPPENHEIMER & CO INC 27,772 386,000 0.71%
15 MILLENNIUM MANAGEMENT LLC 27,046 376,000 0.69%
16 PNC FINANCIAL SERVICES GROUP, INC. 23,000 320,000 0.59%
17 Formidable Asset Management, LLC 20,612 283,000 0.52%
18 STIFEL FINANCIAL CORP 12,782 178,000 0.33%
19 MUFG Securities EMEA plc 7,015 97,438 0.18%
20 Invesco Ltd. 6,155 85,000 0.16%
21 Tower Research Capital LLC (TRC) 3,700 51,000 0.09%
22 GLENMEDE TRUST CO NA 3,000 41,000 0.08%
23 1919 Investment Counsel, LLC 1,700 24,000 0.04%
24 BARCLAYS PLC 1,661 22,000 0.04%
25 Pinnacle Summer Investments, Inc. 1,347 19,000 0.04%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,300 18,000 0.03%
27 HOWE & RUSLING INC 235 3,000 0.01%
28 Ground Swell Capital, LLC 200 3,000 0.01%
29 BANK OF AMERICA CORP /DE/ 99 1,000 0.00%
30 WELLS FARGO & COMPANY/MN 1 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.