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STRATEGIC GLOBAL INCOME FD COM
STRATEGIC GLOBAL INCOME FD COM. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 31 Institutional holders with a total value of $42,962,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 2,002,103 15,877,000 36.96%
2 SIT INVESTMENT ASSOCIATES INC 1,030,388 8,171,000 19.02%
3 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 754,301 5,982,000 13.92%
4 RIVERNORTH CAPITAL MANAGEMENT, LLC 531,762 4,217,000 9.82%
5 MORGAN STANLEY 291,600 2,312,000 5.38%
6 Invesco Ltd. 232,305 1,842,000 4.29%
7 Diversified Investment Strategies, LLC 96,175 763,000 1.78%
8 Saba Capital Management, L.P. 84,432 670,000 1.56%
9 MERIDIAN INVESTMENT COUNSEL INC. 75,142 596,000 1.39%
10 LPL Financial LLC 57,902 459,000 1.07%
11 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 41,362 328,000 0.76%
12 Round Table Services, LLC 41,000 325,000 0.76%
13 GUGGENHEIM CAPITAL LLC 38,959 310,000 0.72%
14 BANK OF AMERICA CORP /DE/ 25,510 202,000 0.47%
15 WEDBUSH SECURITIES INC 20,378 162,000 0.38%
16 BCWM, LLC 16,836 134,000 0.31%
17 Investors Capital Advisory Services 12,915 102,000 0.24%
18 Ancora Advisors LLC 10,781 85,000 0.20%
19 M&T BANK CORP 10,147 80,000 0.19%
20 UBS Group AG 10,060 80,000 0.19%
21 PNC FINANCIAL SERVICES GROUP, INC. 7,800 62,000 0.14%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,450 52,000 0.12%
23 ENVESTNET ASSET MANAGEMENT INC 5,930 47,000 0.11%
24 PRENTISS SMITH & CO INC 2,720 22,000 0.05%
25 INTEGRATED WEALTH MANAGEMENT 2,640 21,000 0.05%
26 Sandy Spring Bank 2,102 17,000 0.04%
27 BANK OF MONTREAL /CAN/ 2,000 16,000 0.04%
28 ROYAL BANK OF CANADA 1,557 13,000 0.03%
29 KANALY TRUST CO 1,000 8,000 0.02%
30 GUPTA WEALTH MANAGEMENT LLC 856 7,000 0.02%
31 AMERICAN INTERNATIONAL GROUP, INC. 2 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.