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MAINSTAY MACKAY DEFINEDTERM FD COM
MAINSTAY MACKAY DEFINEDTERM FD COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 26 Institutional holders with a total value of $37,377,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 466,280 7,913,000 21.17%
2 BB&T SECURITIES, LLC 43,000 7,297,000 19.52%
3 BANK OF AMERICA CORP /DE/ 283,579 4,812,000 12.87%
4 WELLS FARGO & COMPANY/MN 151,685 2,573,000 6.88%
5 Advisors Asset Management, Inc. 148,323 2,517,000 6.73%
6 RAYMOND JAMES & ASSOCIATES 139,439 2,366,000 6.33%
7 GUGGENHEIM CAPITAL LLC 126,258 2,143,000 5.73%
8 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 98,873 1,678,000 4.49%
9 Cetera Advisors LLC 76,178 1,292,000 3.46%
10 UBS AG 65,209 1,107,000 2.96%
11 Commonwealth Equity Services, Inc 57,139 970,000 2.60%
12 Cambridge Investment Research Advisors, Inc. 42,301 718,000 1.92%
13 FIRST TRUST ADVISORS LP 31,966 542,000 1.45%
14 LPL Financial LLC 23,734 403,000 1.08%
15 ACG Wealth 18,352 311,000 0.83%
16 VAN ECK ASSOCIATES CORP 16,405 278,000 0.74%
17 ROYAL BANK OF CANADA 8,800 149,000 0.40%
18 CITIGROUP INC 5,007 85,000 0.23%
19 BARCLAYS PLC 3,681 59,000 0.16%
20 BANK OF MONTREAL /CAN/ 2,500 42,000 0.11%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,000 34,000 0.09%
22 Tradewinds Capital Management, LLC 1,700 29,000 0.08%
23 MYCIO WEALTH PARTNERS, LLC 1,425 24,000 0.06%
24 DEUTSCHE BANK AG\ 927 15,000 0.04%
25 Creative Planning 625 11,000 0.03%
26 Tower Research Capital LLC (TRC) 550 9,000 0.02%

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.