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

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.