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ROYAL BK SCOTLAND GRP PLC REDEEMED @$25.00/SH 9/5/17
ROYAL BK SCOTLAND GRP PLC REDEEMED @$25.00/SH 9/5/17. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 30 Institutional holders with a total value of $17,155,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 223,508 5,735,000 33.43%
2 MORGAN STANLEY 141,767 3,638,000 21.21%
3 BANK OF AMERICA CORP /DE/ 46,741 1,199,000 6.99%
4 LADENBURG THALMANN FINANCIAL SERVICES INC. 39,348 1,010,000 5.89%
5 Archford Capital Strategies, LLC 26 1,000,000 5.83%
6 Bank of New York Mellon Corp 38,936 997,000 5.81%
7 DEUTSCHE BANK AG\ 18,934 485,000 2.83%
8 CITIGROUP INC 15,454 397,000 2.31%
9 RENAISSANCE TECHNOLOGIES LLC 14,800 380,000 2.22%
10 WELLS FARGO & COMPANY/MN 11,456 294,000 1.71%
11 Texas Yale Capital Corp. 11,000 282,000 1.64%
12 GAM Holding AG 10,000 257,000 1.50%
13 Mercer Capital Advisers, Inc. 9,001 230,000 1.34%
14 Investors Capital Advisory Services 8,795 225,000 1.31%
15 FLAHERTY & CRUMRINE INC 8,400 216,000 1.26%
16 LPL Financial LLC 8,200 209,000 1.22%
17 WESTPORT RESOURCES MANAGEMENT INC 5,670 145,000 0.85%
18 GRATICULE ASIA MACRO ADVISORS LLC 5,049 129,000 0.75%
19 ROYAL BANK OF CANADA 4,165 107,000 0.62% PRN
20 MSI Financial Services Inc 2,470 63,000 0.37%
21 Compagnie Lombard Odier SCmA 1,180 30,000 0.17%
22 ROYAL BANK OF CANADA 1,136 29,000 0.17%
23 Sandy Spring Bank 1,000 26,000 0.15%
24 US BANCORP \DE\ 775 20,000 0.12%
25 PNC FINANCIAL SERVICES GROUP, INC. 650 17,000 0.10%
26 AMERICAN INTERNATIONAL GROUP, INC. 545 14,000 0.08%
27 INTEGRATED WEALTH MANAGEMENT 390 10,000 0.06%
28 Creative Planning 200 5,000 0.03%
29 BANK OF MONTREAL /CAN/ 200 5,000 0.03% PRN
30 Endurance Wealth Management, Inc. 40 1,000 0.01%

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.