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

Institutional Holders (2016Q1)
Portfolio Summary: 32 Institutional holders with a total value of $174,622,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GFS Advisors, LLC 1,150,291 58,539,000 33.52%
2 USCA RIA LLC 1,150,291 58,539,000 33.52%
3 BANK OF AMERICA CORP /DE/ 603,175 11,852,000 6.79%
4 MORGAN STANLEY 403,345 7,925,000 4.54%
5 RAYMOND JAMES & ASSOCIATES 371,618 7,302,000 4.18%
6 UBS Group AG 320,636 6,300,000 3.61%
7 Raymond James Financial Services Advisors, Inc. 307,325 6,039,000 3.46%
8 GUGGENHEIM CAPITAL LLC 254,315 4,997,000 2.86%
9 Advisors Asset Management, Inc. 208,062 4,088,000 2.34%
10 WELLS FARGO & COMPANY/MN 120,182 2,361,000 1.35%
11 ROBINSON CAPITAL MANAGEMENT, LLC 56,637 1,113,000 0.64%
12 LPL Financial LLC 52,006 1,029,000 0.59%
13 VAN ECK ASSOCIATES CORP 47,641 936,000 0.54%
14 FIRST TRUST ADVISORS LP 29,654 583,000 0.33%
15 Summit Financial Wealth Advisors, LLC 22,300 438,000 0.25%
16 Cetera Advisors LLC 20,914 411,000 0.24%
17 TRUE PRIVATE WEALTH ADVISORS 19,900 391,000 0.22%
18 Janney Montgomery Scott LLC 18,372 361,000 0.21%
19 HighTower Advisors, LLC 15,903 312,000 0.18%
20 Commonwealth Equity Services, Inc 15,457 304,000 0.17%
21 Advisory Services Network, LLC 13,000 255,000 0.15%
22 Virtu KCG Holdings LLC 10,279 202,000 0.12%
23 CITIGROUP INC 5,180 102,000 0.06%
24 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,330 85,000 0.05%
25 PNC FINANCIAL SERVICES GROUP, INC. 2,350 46,000 0.03%
26 ADVANTAGE INVESTMENT MANAGEMENT, LLC 1,800 35,000 0.02%
27 ROYAL BANK OF CANADA 1,592 31,000 0.02%
28 INTEGRATED WEALTH MANAGEMENT 1,400 28,000 0.02%
29 NEXT Financial Group, Inc 434 8,000 0.00%
30 KELLEHER FINANCIAL ADVISORS 283 5,000 0.00%
31 BlackRock Investment Management, LLC 212 4,000 0.00%
32 Tower Research Capital LLC (TRC) 73 1,000 0.00%

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.