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GREAT ELM CAP CORP
GREAT ELM CAP CORP. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 21 Institutional holders with a total value of $13,956,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Tower Research Capital LLC (TRC) 67 1,000 0.01%
2 MANUFACTURERS LIFE INSURANCE COMPANY, THE 74 1,000 0.01%
3 SEI INVESTMENTS CO 228 3,000 0.02%
4 ADVISOR GROUP, INC. 398 5,000 0.04%
5 BlackRock Finance, Inc. 736 8,000 0.06%
6 WELLS FARGO & COMPANY/MN 849 10,000 0.07%
7 PRELUDE CAPITAL MANAGEMENT, LLC 3,203 36,000 0.26%
8 CITIGROUP INC 3,253 37,000 0.27%
9 BANK OF AMERICA CORP /DE/ 5,037 57,000 0.41%
10 MORGAN STANLEY 6,392 73,000 0.52%
11 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,976 79,000 0.57%
12 Segantii Capital Management Ltd 9,550 109,000 0.78%
13 Marathon Trading Investment Management LLC 10,000 114,000 0.82%
14 Virtu KCG Holdings LLC 13,457 153,000 1.10%
15 Yakira Capital Management, Inc. 17,500 199,000 1.43% SH
16 SUSQUEHANNA INTERNATIONAL GROUP, LLP 42,011 478,000 3.43%
17 BASSO CAPITAL MANAGEMENT, L.P. 43,367 494,000 3.54%
18 Cambridge Investment Research Advisors, Inc. 49,798 567,000 4.06%
19 UBS Group AG 170,714 1,943,000 13.92%
20 RIVERNORTH CAPITAL MANAGEMENT, LLC 166,870 4,240,000 30.38%
21 Bulldog Investors, LLP 470,056 5,349,000 38.33%

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.