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HARRIS & HARRIS GROUP INC
HARRIS & HARRIS GROUP INC. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 35 Institutional holders with a total value of $14,728,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ARIEL INVESTMENTS, LLC 5,282,791 7,290,000 49.50%
2 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 1,777,181 2,453,000 16.66%
3 FINANCIAL CONSULATE, INC 1,065,979 1,471,000 9.99%
4 Ancora Advisors LLC 910,021 1,256,000 8.53%
5 NEW YORK STATE COMMON RETIREMENT FUND 818,599 1,130,000 7.67%
6 Granahan Investment Management, LLC 259,437 358,000 2.43%
7 SHUFRO ROSE & CO LLC 98,500 136,000 0.92%
8 Round Table Services, LLC 90,302 125,000 0.85%
9 Legal & General Group Plc 61,109 85,000 0.58%
10 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 52,700 73,000 0.50%
11 UNITED SERVICES AUTOMOBILE ASSOCIATION 39,616 55,000 0.37%
12 AMERIPRISE FINANCIAL INC 30,202 42,000 0.29%
13 ICM ASSET MANAGEMENT INC/WA 22,185 31,000 0.21%
14 HighTower Advisors, LLC 20,800 29,000 0.20%
15 Virtu KCG Holdings LLC 18,196 25,000 0.17%
16 GUGGENHEIM CAPITAL LLC 17,271 24,000 0.16%
17 UBS Group AG 15,100 21,000 0.14%
18 CITADEL ADVISORS LLC 14,400 20,000 0.14% Call
19 GEODE CAPITAL MANAGEMENT, LLC 15,110 20,000 0.14%
20 CUTLER GROUP LLC / CA 14,703 20,000 0.14%
21 MORGAN STANLEY 13,615 19,000 0.13%
22 GOLDMAN SACHS GROUP INC 11,965 17,000 0.12%
23 Cambridge Investment Research Advisors, Inc. 10,325 14,000 0.10%
24 ROYAL BANK OF CANADA 2,576 4,000 0.03%
25 Hartford Financial Management Inc. 2,200 3,000 0.02%
26 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,138 2,000 0.01%
27 CITIGROUP INC 665 1,000 0.01%
28 JPMORGAN CHASE & CO 500 1,000 0.01%
29 Tower Research Capital LLC (TRC) 523 1,000 0.01%
30 Creative Planning 600 1,000 0.01%
31 Blume Capital Management, Inc. 600 1,000 0.01%
32 MSI Financial Services Inc 35 0 0.00%
33 BANK OF AMERICA CORP /DE/ 100 0 0.00%
34 WELLS FARGO & COMPANY/MN 121 0 0.00%
35 LADENBURG THALMANN FINANCIAL SERVICES INC. 100 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.