HELIOS STRATEGIC INCOME FD I - 42328A203
Detailed investor-level table based on 13F positions.
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Bulldog Investors, LLC | History | No change | 787,326 | 5,338 | 2.28% | 2.28% | 1 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| MORGAN STANLEY | History | No change | 512,473 | 3,474 | 0.0% | 0.0% | 2 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| SIT INVESTMENT ASSOCIATES INC | History | No change | 307,751 | 2,087 | 0.04% | 0.04% | 3 | 0 | 0.0% | Q1 2014 | Apr 24, 2014 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | History | No change | 174,771 | 1,185 | 0.1% | 0.1% | 4 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Horizon Kinetics LLC | History | No change | 69,276 | 988 | 0.01% | 0.01% | 5 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Shaker Financial Services, LLC | History | New | 79,932 | 551 | 0.34% | — | 6 | +79,932 | New | Q2 2014 | Aug 04, 2014 |
| WELLS FARGO & COMPANY/MN | History | No change | 69,504 | 471 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Grantham, Mayo, Van Otterloo & Co. LLC | History | No change | 68,700 | 466 | 0.0% | 0.0% | 8 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| UBS AG | History | No change | 17,690 | 120 | 0.0% | 0.0% | 9 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| STIFEL FINANCIAL CORP | History | No change | 15,387 | 104 | 0.0% | 0.0% | 10 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Commonwealth Equity Services, Inc | History | No change | 10,800 | 74 | 0.0% | 0.0% | 11 | 0 | 0.0% | Q2 2014 | Jul 23, 2014 |
| Aviance Capital Partners, LLC | History | New | 10,414 | 72 | 0.03% | — | 12 | +10,414 | New | Q2 2014 | Aug 01, 2014 |
| FIFTH THIRD BANCORP | History | No change | 317 | 2 | 0.0% | 0.0% | 13 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| DELTA ASSET MANAGEMENT LLC/TN | History | No change | 290 | 2 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2014 | Jul 22, 2014 |
| Tower Research Capital LLC | History | No change | 300 | 2 | 0.0% | 0.0% | 15 | 0 | 0.0% | Q1 2014 | May 02, 2014 |
| Antonetti Capital Management LLC | History | No change | 328 | 2 | 0.0% | 0.0% | 16 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | No change | 152 | 1 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Thomas J. Herzfeld Advisors, Inc. | History | No change | 166 | 1 | 0.0% | 0.0% | 18 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Creative Planning | History | No change | 159 | 1 | 0.0% | 0.0% | 19 | 0 | 0.0% | Q1 2014 | Apr 11, 2014 |
| LPL Financial LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,847 | -100.0% | Q2 2014 | Aug 05, 2014 |
| ICON ADVISERS INC/CO | History | Closed out | 0 | 0 | — | 0.01% | — | -10,349 | -100.0% | Q2 2014 | Aug 06, 2014 |
| DEUTSCHE BANK AG\ | History | No change | 4 | 0 | — | — | — | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| ROYAL BANK OF CANADA | History | No change | 50 | 0 | — | — | — | 0 | 0.0% | Q1 2014 | May 15, 2014 |