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

Institutional Holders (2014Q3)
Portfolio Summary: 17 Institutional holders with a total value of $29,793,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 74,872 11,997,000 40.27%
2 BDCM CT, L.L.C. 505,935 8,107,000 27.21%
3 Raging Capital Management, LLC 260,655 4,176,000 14.02%
4 BANK OF AMERICA CORP /DE/ 153,179 2,454,000 8.24%
5 DIALECTIC CAPITAL MANAGEMENT, LP 80,000 1,282,000 4.30%
6 MORGAN STANLEY 27,905 447,000 1.50%
7 RIVERNORTH CAPITAL MANAGEMENT, LLC 25,876 415,000 1.39%
8 Foundry Partners, LLC 20,700 332,000 1.11%
9 CONFLUENCE INVESTMENT MANAGEMENT LLC 14,936 240,000 0.81%
10 Relative Value Partners, LLC 13,613 218,000 0.73%
11 Legal & General Group Plc 5,125 82,000 0.28%
12 UBS AG 1,170 19,000 0.06%
13 Creative Planning 1,095 18,000 0.06%
14 Tower Research Capital LLC (TRC) 206 3,000 0.01%
15 MANUFACTURERS LIFE INSURANCE COMPANY, THE 96 2,000 0.01%
16 WELLS FARGO & COMPANY/MN 57 1,000 0.00%
17 DEUTSCHE BANK AG\ 52 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.