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

Institutional Holders (2014Q3)
Portfolio Summary: 26 Institutional holders with a total value of $38,974,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 388,117 6,928,000 17.78%
2 BANK OF AMERICA CORP /DE/ 329,074 5,874,000 15.07%
3 BB&T SECURITIES, LLC 28,665 5,116,000 13.13%
4 RAYMOND JAMES & ASSOCIATES 230,505 4,115,000 10.56%
5 GUGGENHEIM CAPITAL LLC 172,075 3,072,000 7.88%
6 WELLS FARGO & COMPANY/MN 151,020 2,695,000 6.91%
7 Advisors Asset Management, Inc. 148,188 2,645,000 6.79%
8 UBS AG 142,248 2,539,000 6.51%
9 Commonwealth Equity Services, Inc 60,427 1,079,000 2.77%
10 Cetera Advisors LLC 52,964 943,000 2.42%
11 SIT INVESTMENT ASSOCIATES INC 36,200 646,000 1.66%
12 FIRST TRUST ADVISORS LP 36,066 644,000 1.65%
13 VAN ECK ASSOCIATES CORP 25,210 450,000 1.15%
14 LPL Financial LLC 21,577 386,000 0.99%
15 BANK OF MONTREAL /CAN/ 18,700 334,000 0.86%
16 Cambridge Investment Research Advisors, Inc. 15,384 275,000 0.71%
17 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 14,800 264,000 0.68%
18 USCA RIA LLC 14,000 250,000 0.64%
19 ACG Wealth 13,077 233,000 0.60%
20 JANE STREET GROUP, LLC 10,891 194,000 0.50%
21 ROYAL BANK OF CANADA 8,300 148,000 0.38%
22 CITIGROUP INC 5,049 90,000 0.23%
23 NEXT Financial Group, Inc 1,390 25,000 0.06%
24 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,000 18,000 0.05%
25 D.A. DAVIDSON & CO. 560 9,000 0.02%
26 Ground Swell Capital, LLC 100 2,000 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.