HELIOS STRATEGIC INCOME FD I - 42328A203
Detailed investor-level table based on 13F positions.
Early Q2 2014 data: only 4 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Bulldog Investors, LLC | History | No change | 787,326 | 5,338 | 2.28% | 2.18% | 1 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| MORGAN STANLEY | History | Added to | 512,473 | 3,474 | 0.0% | 0.0% | 2 | +47,183 | 10.14% | Q1 2014 | May 13, 2014 |
| SIT INVESTMENT ASSOCIATES INC | History | Added to | 307,751 | 2,087 | 0.04% | 0.03% | 3 | +45,991 | 17.57% | Q1 2014 | Apr 24, 2014 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | History | Reduced | 174,771 | 1,185 | 0.1% | 0.09% | 4 | -2,500 | -1.41% | Q1 2014 | May 15, 2014 |
| Horizon Kinetics LLC | History | Reduced | 69,276 | 988 | 0.01% | 0.01% | 5 | -1,319 | -1.87% | Q1 2014 | May 14, 2014 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 69,504 | 471 | 0.0% | 0.0% | 6 | -439 | -0.63% | Q1 2014 | May 15, 2014 |
| Grantham, Mayo, Van Otterloo & Co. LLC | History | Added to | 68,700 | 466 | 0.0% | 0.0% | 7 | +12,279 | 21.76% | Q1 2014 | May 14, 2014 |
| UBS AG | History | Added to | 17,690 | 120 | 0.0% | 0.0% | 8 | +1,091 | 6.57% | Q1 2014 | May 16, 2014 |
| STIFEL FINANCIAL CORP | History | New | 15,387 | 104 | 0.0% | — | 9 | +15,387 | New | Q1 2014 | May 15, 2014 |
| LPL Financial LLC | History | No change | 12,847 | 87 | 0.0% | 0.0% | 10 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| Commonwealth Equity Services, Inc | History | No change | 10,800 | 73 | 0.0% | 0.0% | 11 | 0 | 0.0% | Q1 2014 | May 07, 2014 |
| ICON ADVISERS INC/CO | History | Reduced | 10,349 | 70 | 0.01% | 0.05% | 12 | -86,641 | -89.33% | Q1 2014 | May 07, 2014 |
| Tower Research Capital LLC | History | Reduced | 300 | 2 | 0.0% | 0.0% | 15 | -500 | -62.5% | Q1 2014 | May 02, 2014 |
| Antonetti Capital Management LLC | History | New | 328 | 2 | 0.0% | — | 16 | +328 | New | Q1 2014 | May 14, 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% | Q1 2014 | Apr 23, 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 |
| National Asset Management, Inc. | History | Closed out | 0 | 0 | — | 0.05% | — | -22,638 | -100.0% | Q4 2013 | Jan 21, 2014 |
| DOLIVER CAPITAL ADVISORS, INC. | History | Closed out | 0 | 0 | — | 0.08% | — | -17,852 | -100.0% | Q4 2013 | Feb 13, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -13,049 | -100.0% | Q4 2013 | Feb 14, 2014 |
| Aviance Capital Partners, LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -12,563 | -100.0% | Q4 2013 | Feb 07, 2014 |
| BENJAMIN F. EDWARDS & COMPANY, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -590 | -100.0% | Q4 2013 | Jan 15, 2014 |
| ROYAL BANK OF CANADA | History | Reduced | 50 | 0 | — | 0.0% | — | -65 | -56.52% | Q1 2014 | May 15, 2014 |
| DEUTSCHE BANK AG\ | History | New | 4 | 0 | — | — | — | +4 | New | Q1 2014 | May 15, 2014 |