| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | WELLS FARGO & COMPANY/MN | 1 | 0 | 0.00% | ||
| 2 | Vantage Investment Advisors, LLC | 610 | 1,000 | 0.02% | ||
| 3 | Tower Research Capital LLC (TRC) | 560 | 1,000 | 0.02% | ||
| 4 | MORGAN STANLEY | 801 | 2,000 | 0.04% | ||
| 5 | UBS Group AG | 1,171 | 2,000 | 0.04% | ||
| 6 | ASSETMARK, INC | 1,290 | 3,000 | 0.06% | ||
| 7 | Creative Planning | 2,155 | 4,000 | 0.08% | ||
| 8 | BARCLAYS PLC | 2,038 | 4,000 | 0.08% | ||
| 9 | RBF Capital, LLC | 10,836 | 22,000 | 0.46% | ||
| 10 | NORTHERN TRUST CORP | 12,455 | 25,000 | 0.52% | ||
| 11 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 16,054 | 33,000 | 0.69% | ||
| 12 | WFG Advisors, LP | 31,960 | 66,000 | 1.38% | ||
| 13 | Ancora Advisors LLC | 45,106 | 93,000 | 1.94% | ||
| 14 | MARINER INVESTMENT GROUP LLC | 54,278 | 112,000 | 2.34% | ||
| 15 | AUSDAL FINANCIAL PARTNERS, INC. | 94,641 | 195,000 | 4.08% | ||
| 16 | Yakira Capital Management, Inc. | 137,695 | 284,000 | 5.94% | SH | |
| 17 | Radcliffe Capital Management, L.P. | 210,891 | 434,000 | 9.07% | ||
| 18 | RIVERNORTH CAPITAL MANAGEMENT, LLC | 579,042 | 1,193,000 | 24.94% | ||
| 19 | Bulldog Investors, LLP | 1,121,032 | 2,309,000 | 48.28% |
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.
