BROOKFIELD MORTGAGE - 112792106
Detailed investor-level table based on 13F positions.
Early Q2 2014 data: only 7 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| UBS AG | History | Added to | 2,007,645 | 33,769 | 0.03% | 0.03% | 1 | +280,657 | 16.25% | Q1 2014 | May 16, 2014 |
| MARINER INVESTMENT GROUP LLC | History | Added to | 550,066 | 9,252 | 2.03% | 1.08% | 2 | +117,785 | 27.25% | Q1 2014 | May 14, 2014 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | History | Added to | 426,246 | 7,169 | 0.58% | 0.34% | 3 | +157,078 | 58.36% | Q1 2014 | May 15, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Reduced | 411,460 | 6,921 | 0.0% | 107.66% | 4 | -19,358 | -4.49% | Q1 2014 | May 15, 2014 |
| Saba Capital Management, L.P. | History | Added to | 397,768 | 6,690 | 0.38% | 0.35% | 5 | +36,150 | 10.0% | Q1 2014 | May 15, 2014 |
| JPMORGAN CHASE & CO | History | Added to | 226,771 | 3,814 | 0.0% | 0.0% | 6 | +124,230 | 121.15% | Q1 2014 | May 15, 2014 |
| SIT INVESTMENT ASSOCIATES INC | History | Reduced | 205,836 | 3,462 | 0.06% | 0.1% | 7 | -122,558 | -37.32% | Q1 2014 | Apr 24, 2014 |
| Invesco Ltd. | History | Added to | 141,065 | 2,373 | 0.0% | 0.0% | 8 | +8,550 | 6.45% | Q1 2014 | May 15, 2014 |
| BARCLAYS PLC | History | Added to | 114,377 | 1,830 | 0.0% | 0.0% | 9 | +109,045 | 2045.11% | Q1 2014 | May 15, 2014 |
| Merriman Wealth Management, LLC | History | Added to | 95,013 | 1,621 | 1.68% | 0.63% | 10 | +5,000 | 5.55% | Q1 2014 | May 14, 2014 |
| Shaker Financial Services, LLC | History | Added to | 94,932 | 1,597 | 1.05% | 0.87% | 11 | +19,836 | 26.41% | Q1 2014 | May 07, 2014 |
| WELLS FARGO & COMPANY/MN | History | Added to | 79,610 | 1,339 | 0.0% | 0.0% | 12 | +9,699 | 13.87% | Q1 2014 | May 15, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Added to | 62,018 | 1,043 | 0.0% | 0.0% | 13 | +45,556 | 276.73% | Q1 2014 | May 16, 2014 |
| ROYAL BANK OF CANADA | History | Reduced | 61,658 | 1,037 | 0.0% | 0.0% | 14 | -37,116 | -37.58% | Q1 2014 | May 15, 2014 |
| SUNRISE PARTNERS LIMITED PARTNERSHIP /CT | History | Added to | 56,994 | 959 | 0.06% | 0.01% | 15 | +39,670 | 228.99% | Q1 2014 | May 15, 2014 |
| Private Wealth Partners, LLC | History | Added to | 33,164 | 558 | 0.13% | 0.11% | 16 | +3,004 | 9.96% | Q1 2014 | Apr 30, 2014 |
| ROBINSON CAPITAL MANAGEMENT, LLC | History | New | 23,027 | 387 | 0.58% | — | 17 | +23,027 | New | Q1 2014 | May 15, 2014 |
| HighTower Advisors, LLC | History | Added to | 22,950 | 386 | 0.01% | 0.01% | 18 | +1,250 | 5.76% | Q1 2014 | May 15, 2014 |
| KCG Holdings, Inc. | History | Reduced | 20,868 | 351 | 0.0% | 0.0% | 19 | -5,226 | -20.03% | Q1 2014 | May 15, 2014 |
| CTC Alternative Strategies, Ltd. | History | No change | 19,000 | 319 | 0.18% | 0.24% | 20 | 0 | 0.0% | Q1 2014 | May 02, 2014 |
| Raymond James Financial Services Advisors, Inc. | History | New | 16,475 | 277 | 0.02% | — | 21 | +16,475 | New | Q1 2014 | May 08, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 13,750 | 231 | 0.0% | 0.0% | 22 | 0 | 0.0% | Q1 2014 | May 09, 2014 |
| MORGAN STANLEY | History | Added to | 12,828 | 216 | 0.0% | 0.0% | 23 | +6,617 | 106.54% | Q1 2014 | May 13, 2014 |
| KNIGHTSBRIDGE ASSET MANAGEMENT, LLC | History | New | 12,350 | 208 | 0.06% | — | 24 | +12,350 | New | Q1 2014 | May 14, 2014 |
| WEDBUSH MORGAN SECURITIES INC | History | Reduced | 11,460 | 193 | 0.03% | 0.05% | 25 | -1,071 | -8.55% | Q1 2014 | May 09, 2014 |
| Thomas J. Herzfeld Advisors, Inc. | History | No change | 5,001 | 84 | 0.05% | 0.05% | 26 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 4,800 | 81 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| FIFTH THIRD BANCORP | History | New | 4,500 | 76 | 0.0% | — | 28 | +4,500 | New | Q1 2014 | May 15, 2014 |
| Sandy Spring Bank | History | New | 1,250 | 21 | 0.0% | — | 29 | +1,250 | New | Q1 2014 | May 15, 2014 |
| THOMPSON DAVIS & CO., INC. | History | New | 1,000 | 17 | 0.03% | — | 30 | +1,000 | New | Q1 2014 | May 09, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Added to | 1,023 | 17 | 0.0% | 0.0% | 31 | +523 | 104.6% | Q1 2014 | May 15, 2014 |
| DEUTSCHE BANK AG\ | History | New | 900 | 15 | 0.0% | — | 32 | +900 | New | Q1 2014 | May 15, 2014 |
| FIRST MANHATTAN CO | History | New | 600 | 10 | 0.0% | — | 33 | +600 | New | Q1 2014 | May 16, 2014 |
| AMERIPRISE FINANCIAL INC | History | New | 200 | 3 | 0.0% | — | 34 | +200 | New | Q1 2014 | May 14, 2014 |
| CITIGROUP INC | History | Reduced | 57 | 1 | 0.0% | 0.0% | 35 | -395 | -87.39% | Q1 2014 | May 15, 2014 |
| Weiss Asset Management LP | History | Closed out | 0 | 0 | — | 0.32% | — | -53,004 | -100.0% | Q4 2013 | Feb 12, 2014 |
| US BANCORP \DE\ | History | Closed out | 0 | 0 | — | 0.0% | — | -2,500 | -100.0% | Q4 2013 | Feb 13, 2014 |