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WESTERN ASSET GLOBAL CP DEFINE
WESTERN ASSET GLOBAL CP DEFINE. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 38 Institutional holders with a total value of $82,967,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 1,001,216 17,712,000 21.35%
2 1607 Capital Partners, LLC 756,787 13,388,000 16.14%
3 BANK OF AMERICA CORP /DE/ 412,023 7,289,000 8.79%
4 MORGAN STANLEY 410,030 7,253,000 8.74%
5 RIVERNORTH CAPITAL MANAGEMENT, LLC 408,642 7,229,000 8.71%
6 Invesco Ltd. 313,551 5,547,000 6.69%
7 FCA CORP /TX 240,756 4,259,000 5.13%
8 GUGGENHEIM CAPITAL LLC 192,664 3,408,000 4.11%
9 COHEN & STEERS, INC. 97,989 1,733,000 2.09%
10 STIFEL FINANCIAL CORP 89,749 1,594,000 1.92%
11 SIT INVESTMENT ASSOCIATES INC 88,301 1,562,000 1.88%
12 ROYAL BANK OF CANADA 81,817 1,448,000 1.75%
13 UBS Group AG 79,740 1,410,000 1.70%
14 Yorktown Management & Research Co Inc 75,122 1,329,000 1.60%
15 RAYMOND JAMES & ASSOCIATES 68,302 1,208,000 1.46%
16 McGowan Group Asset Management, Inc. 53,472 946,000 1.14%
17 PROFICIO CAPITAL PARTNERS LLC 49,893 883,000 1.06%
18 HL FINANCIAL SERVICES LLC 48,890 865,000 1.04%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 32,931 583,000 0.70%
20 Advisors Asset Management, Inc. 32,874 582,000 0.70%
21 Clear Harbor Asset Management, LLC 31,400 555,000 0.67%
22 Koshinski Asset Management, Inc. 28,772 509,000 0.61%
23 OPPENHEIMER & CO INC 17,382 307,000 0.37%
24 Aviance Capital Partners, LLC 16,398 290,000 0.35%
25 HighTower Advisors, LLC 15,918 281,000 0.34%
26 Raymond James Financial Services Advisors, Inc. 10,824 191,000 0.23%
27 Shaker Financial Services, LLC 10,043 178,000 0.21%
28 PNC FINANCIAL SERVICES GROUP, INC. 7,888 139,000 0.17%
29 ADVISOR GROUP, INC. 4,340 77,000 0.09%
30 Klingman & Associates, LLC 3,584 63,000 0.08% PRN
31 TRUST CO OF VERMONT 2,400 42,000 0.05%
32 CITIGROUP INC 2,382 42,000 0.05%
33 AllSquare Wealth Management LLC 2,000 35,000 0.04%
34 D.A. DAVIDSON & CO. 1,000 17,000 0.02%
35 IFP ADVISORS, INC 300 5,000 0.01%
36 SEI INVESTMENTS CO 163 3,000 0.00%
37 PENSERRA CAPITAL MANAGEMENT LLC 213 3,000 0.00%
38 Cable Hill Partners, LLC 112 2,000 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.