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SARATOGA INVT CORP
SARATOGA INVT CORP. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 17 Institutional holders with a total value of $30,330,234.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 80,162 12,609,000 41.57%
2 BDCM CT, L.L.C. 505,935 7,958,000 26.24%
3 Raging Capital Management, LLC 318,077 5,004,000 16.50%
4 BANK OF AMERICA CORP /DE/ 190,662 2,999,000 9.89%
5 DIALECTIC CAPITAL MANAGEMENT, LP 32,957 518,000 1.71%
6 MORGAN STANLEY 30,440 479,000 1.58%
7 Ativo Capital Management LLC 25,457 400,000 1.32% SH
8 CONFLUENCE INVESTMENT MANAGEMENT LLC 14,936 235,000 0.77%
9 Legal & General Group Plc 5,125 81,000 0.27%
10 UBS AG 1,377 22,000 0.07%
11 Tower Research Capital LLC (TRC) 966 15,000 0.05%
12 Ground Swell Capital, LLC 278 4,000 0.01%
13 DENALI ADVISORS LLC 254 4,000 0.01%
14 B. Riley Wealth Advisors, Inc. 100 1,573 0.01%
15 BNP PARIBAS FINANCIAL MARKETS 42 661 0.00%
16 WELLS FARGO & COMPANY/MN 0 0 0.00%
17 DEUTSCHE BANK AG\ 8 0 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.