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CM FIN INC COM
CM FIN INC COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 22 Institutional holders with a total value of $55,070,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CYRUS CAPITAL PARTNERS, L.P. 3,818,186 42,000,000 76.27%
2 Yorktown Management & Research Co Inc 173,534 1,909,000 3.47%
3 CONFLUENCE INVESTMENT MANAGEMENT LLC 151,621 1,668,000 3.03%
4 UBS Group AG 140,428 1,545,000 2.81%
5 RAYMOND JAMES & ASSOCIATES 129,037 1,419,000 2.58%
6 RIVERNORTH CAPITAL MANAGEMENT, LLC 114,628 1,261,000 2.29%
7 GUGGENHEIM CAPITAL LLC 80,478 885,000 1.61%
8 ClariVest Asset Management LLC 63,938 705,000 1.28%
9 STIFEL FINANCIAL CORP 58,596 645,000 1.17%
10 Advisors Asset Management, Inc. 55,282 608,000 1.10%
11 STEPHENS INC /AR/ 53,659 590,000 1.07%
12 RUSSELL FRANK CO/ 45,400 500,000 0.91%
13 CITADEL ADVISORS LLC 34,178 376,000 0.68%
14 MORGAN STANLEY 29,010 319,000 0.58%
15 Virtu KCG Holdings LLC 28,193 310,000 0.56%
16 OPPENHEIMER & CO INC 16,200 178,000 0.32%
17 CAXTON CORP 11,259 124,000 0.23%
18 B. Riley Wealth Management, Inc. 1,400 15,000 0.03%
19 Tower Research Capital LLC (TRC) 1,075 12,000 0.02%
20 CITIGROUP INC 57 1,000 0.00%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 0 0 0.00%
22 WELLS FARGO & COMPANY/MN 1 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.