| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | UBS Group AG | 221,023 | 2,146,000 | 25.91% | ||
| 2 | MORGAN STANLEY | 148,168 | 1,438,000 | 17.37% | ||
| 3 | GUGGENHEIM CAPITAL LLC | 133,517 | 1,297,000 | 15.66% | ||
| 4 | Invesco Ltd. | 98,239 | 954,000 | 11.52% | ||
| 5 | Penbrook Management LLC | 90,000 | 874,000 | 10.55% | ||
| 6 | WELLS FARGO & COMPANY/MN | 42,134 | 410,000 | 4.95% | ||
| 7 | RELATIVE VALUE PARTNERS GROUP, LLC | 29,635 | 288,000 | 3.48% | ||
| 8 | BANK OF AMERICA CORP /DE/ | 25,692 | 249,000 | 3.01% | ||
| 9 | Cambridge Investment Research Advisors, Inc. | 16,203 | 157,000 | 1.90% | ||
| 10 | Clear Harbor Asset Management, LLC | 15,700 | 152,000 | 1.84% | ||
| 11 | Janney Montgomery Scott LLC | 10,500 | 102,000 | 1.23% | ||
| 12 | Tortoise Investment Management, LLC | 10,425 | 101,000 | 1.22% | ||
| 13 | ROYAL BANK OF CANADA | 6,150 | 60,000 | 0.72% | ||
| 14 | NEXT Financial Group, Inc | 1,800 | 17,000 | 0.21% | ||
| 15 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 1,161 | 11,000 | 0.13% | ||
| 16 | Community Bank, N.A. | 1,000 | 10,000 | 0.12% | ||
| 17 | MSI Financial Services Inc | 1,000 | 10,000 | 0.12% | ||
| 18 | FIRST MANHATTAN CO. LLC. | 397 | 3,000 | 0.04% | ||
| 19 | Tower Research Capital LLC (TRC) | 100 | 1,000 | 0.01% | ||
| 20 | CITIGROUP INC | 153 | 1,000 | 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.
