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WESTERN ASSET INVT COM
WESTERN ASSET INVT COM. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 24 Institutional holders with a total value of $36,591,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NEXT Financial Group, Inc 150 3,000 0.01%
2 PENSERRA CAPITAL MANAGEMENT LLC 211 4,000 0.01%
3 Tower Research Capital LLC (TRC) 294 7,000 0.02%
4 Focused Wealth Management, Inc 728 16,000 0.04%
5 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,752 40,000 0.11%
6 MSI Financial Services Inc 3,411 77,000 0.21%
7 WELLS FARGO & COMPANY/MN 5,079 115,000 0.31%
8 Drexel Morgan & Co. 9,615 217,000 0.59%
9 CITIGROUP INC 9,894 224,000 0.61%
10 Raymond James Financial Services Advisors, Inc. 10,116 229,000 0.63%
11 STRATEGIC FINANCIAL GROUP, LLC 11,000 249,000 0.68% PRN
12 AMERIPRISE FINANCIAL INC 13,121 297,000 0.81%
13 Yellowstone Partners, LLC 14,183 321,000 0.88%
14 RAYMOND JAMES & ASSOCIATES 18,430 417,000 1.14%
15 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 20,942 473,000 1.29%
16 ROYAL BANK OF CANADA 23,096 522,000 1.43%
17 LPL Financial LLC 24,666 564,000 1.54%
18 GUGGENHEIM CAPITAL LLC 34,530 780,000 2.13%
19 Cetera Advisor Networks LLC 83,060 1,877,000 5.13%
20 Invesco Ltd. 88,567 2,002,000 5.47%
21 MORGAN STANLEY 113,441 2,563,000 7.00%
22 BANK OF AMERICA CORP /DE/ 182,158 4,117,000 11.25%
23 FIRST MANHATTAN CO. LLC. 357,273 8,074,000 22.07%
24 UBS Group AG 593,054 13,403,000 36.63%

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.