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KKR INCOME OPPORTUNITIES FD
KKR INCOME OPPORTUNITIES FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 22 Institutional holders with a total value of $40,014,780.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 839,609 15,658,000 39.13%
2 UBS AG 627,632 11,705,000 29.25%
3 MARINER INVESTMENT GROUP LLC 144,482 2,695,000 6.74%
4 STIFEL FINANCIAL CORP 127,428 2,377,000 5.94%
5 Shaker Financial Services, LLC 116,624 2,175,000 5.44%
6 Invesco Ltd. 111,518 2,080,000 5.20%
7 1832 Asset Management L.P. 100,000 1,866,000 4.66%
8 CITIGROUP INC 25,500 476,000 1.19%
9 First City Capital Management, Inc. 9,050 168,783 0.42%
10 ROYAL BANK OF CANADA 8,933 166,000 0.41%
11 DEUTSCHE BANK AG\ 8,885 165,000 0.41%
12 MSI Financial Services Inc 4,782 89,000 0.22%
13 BANK OF AMERICA CORP /DE/ 3,833 71,000 0.18%
14 Thomas J. Herzfeld Advisors, Inc. 3,001 56,000 0.14%
15 AMERICAN INTERNATIONAL GROUP, INC. 2,800 52,220 0.13%
16 WELLS FARGO & COMPANY/MN 2,500 47,000 0.12%
17 Highlander Capital Management, LLC 2,445 45,599 0.11%
18 Tower Research Capital LLC (TRC) 2,203 41,000 0.10%
19 AMERIPRISE FINANCIAL INC 1,638 31,000 0.08%
20 B. Riley Wealth Advisors, Inc. 1,350 25,178 0.06%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,074 20,000 0.05%
22 Ground Swell Capital, LLC 270 5,000 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.