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WESTERN ASSET MTG DEFINED OP
WESTERN ASSET MTG DEFINED OP. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 27 Institutional holders with a total value of $21,428,806.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 182,658 4,163,000 19.43%
2 MORGAN STANLEY 162,346 3,699,000 17.26%
3 MSI Financial Services Inc 93,955 2,141,000 9.99%
4 Horizon Kinetics LLC 82,029 1,870,000 8.73%
5 Cambridge Investment Research Advisors, Inc. 59,120 1,347,000 6.29%
6 UBS Group AG 56,909 1,297,000 6.05%
7 Laurion Capital Management LP 54,889 1,251,000 5.84%
8 Commonwealth Equity Services, Inc 35,401 807,000 3.77%
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 33,103 754,000 3.52%
10 WELLS FARGO & COMPANY/MN 30,004 684,000 3.19%
11 ROYAL BANK OF CANADA 28,546 651,000 3.04%
12 BESSEMER GROUP INC 26,598 606,000 2.83%
13 Virtu KCG Holdings LLC 16,365 373,000 1.74%
14 IFP ADVISORS, INC 15,145 345,000 1.61%
15 NWAM LLC 15,074 344,000 1.61%
16 Cetera Advisors LLC 12,370 282,000 1.32%
17 Janney Montgomery Scott LLC 9,165 209,000 0.98%
18 Global X Management CO LLC 7,732 176,000 0.82%
19 CITIGROUP INC 7,245 165,000 0.77%
20 ADVISOR GROUP, INC. 2,805 64,000 0.30%
21 NEXT Financial Group, Inc 2,350 54,000 0.25%
22 RISK PARADIGM GROUP, LLC 1,990 45,352 0.21%
23 Winslow, Evans & Crocker, Inc. 1,776 40,454 0.19%
24 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,500 34,000 0.16%
25 GENEOS WEALTH MANAGEMENT INC. 800 18,000 0.08%
26 People's United Financial, Inc. 250 6,000 0.03%
27 PENSERRA CAPITAL MANAGEMENT LLC 166 3,000 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.