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APOLLO SR FLOATING RATE FD INC COM
APOLLO SR FLOATING RATE FD INC COM. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 38 Institutional holders with a total value of $86,262,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BAILLIE GIFFORD & CO 617,746 10,471,000 12.14%
2 Advisors Asset Management, Inc. 588,992 9,983,000 11.57%
3 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 569,264 9,638,000 11.17%
4 Invesco Ltd. 559,231 9,467,000 10.97%
5 MORGAN STANLEY 426,689 7,223,000 8.37%
6 GUGGENHEIM CAPITAL LLC 425,058 7,205,000 8.35%
7 MARINER INVESTMENT GROUP LLC 239,227 4,050,000 4.69%
8 WELLS FARGO & COMPANY/MN 204,080 3,455,000 4.01%
9 BANK OF AMERICA CORP /DE/ 166,530 2,819,000 3.27%
10 Yorktown Management & Research Co Inc 160,000 2,712,000 3.14%
11 1832 Asset Management L.P. 130,712 2,215,000 2.57%
12 RIVERNORTH CAPITAL MANAGEMENT, LLC 129,350 2,190,000 2.54%
13 ROBINSON CAPITAL MANAGEMENT, LLC 106,333 1,800,000 2.09%
14 Apollo Management Holdings, L.P. 105,236 1,782,000 2.07%
15 DOLIVER ADVISORS, LP 95,131 1,611,000 1.87%
16 CREDIT SUISSE AG/ 69,172 1,171,000 1.36%
17 HighTower Advisors, LLC 64,895 1,099,000 1.27%
18 Cetera Advisor Networks LLC 58,742 995,000 1.15%
19 Capital Investment Advisors, LLC 55,880 946,000 1.10%
20 GREAT AMERICAN GROUP, INC. 49,893 845,000 0.98%
21 UBS Group AG 46,718 791,000 0.92%
22 JPMORGAN CHASE & CO 37,012 627,000 0.73%
23 Shaker Financial Services, LLC 34,075 577,000 0.67%
24 STIFEL FINANCIAL CORP 26,100 441,000 0.51%
25 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 24,823 421,000 0.49%
26 Greenwich Wealth Management LLC 17,900 303,000 0.35%
27 ROYAL BANK OF CANADA 15,134 256,000 0.30%
28 ZAZOVE ASSOCIATES LLC 14,507 246,000 0.29%
29 LPL Financial LLC 13,487 227,000 0.26%
30 RAYMOND JAMES & ASSOCIATES 12,579 213,000 0.25%
31 Cambridge Investment Research Advisors, Inc. 11,122 188,000 0.22%
32 ADVISOR GROUP, INC. 7,576 128,000 0.15%
33 Advisory Services Network, LLC 5,400 91,000 0.11%
34 BANK OF MONTREAL /CAN/ 1,800 30,000 0.03%
35 FIRST MANHATTAN CO. LLC. 1,250 21,000 0.02%
36 MSI Financial Services Inc 834 14,000 0.02%
37 LADENBURG THALMANN FINANCIAL SERVICES INC. 444 8,000 0.01%
38 PENSERRA CAPITAL MANAGEMENT LLC 219 3,000 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.