* KKR FINL HLDGS LLC COM - 48248A306
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| FMR LLC | History | Reduced | 30,353,720 | 351,193 | 0.05% | 0.05% | 1 | -369,902 | -1.2% | Q1 2014 | May 15, 2014 |
| COOPERMAN LEON G | History | Reduced | 13,609,426 | 157,461 | 2.09% | 2.6% | 2 | -1,448,647 | -9.62% | Q1 2014 | May 15, 2014 |
| THORNBURG INVESTMENT MANAGEMENT INC | History | No change | 11,776,320 | 136,252 | 0.54% | 0.55% | 3 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| MORGAN STANLEY | History | Reduced | 11,238,976 | 130,035 | 0.05% | 0.08% | 4 | -3,682,915 | -24.68% | Q1 2014 | May 13, 2014 |
| WATER ISLAND CAPITAL LLC | History | Added to | 7,923,634 | 91,676 | 3.26% | 0.59% | 5 | +7,050,221 | 807.2% | Q1 2014 | May 14, 2014 |
| CREDIT SUISSE AG/ | History | Added to | 5,764,647 | 66,697 | 0.07% | 0.06% | 6 | +380,415 | 7.07% | Q1 2014 | May 15, 2014 |
| ROYAL BANK OF CANADA | History | Added to | 4,478,590 | 51,818 | 0.04% | 0.03% | 7 | +660,550 | 17.3% | Q1 2014 | May 15, 2014 |
| UBS AG | History | Added to | 4,335,547 | 50,163 | 0.04% | 0.05% | 8 | +280,874 | 6.93% | Q1 2014 | May 16, 2014 |
| CITIGROUP INC | History | Added to | 4,002,074 | 46,304 | 0.05% | 0.03% | 9 | +1,272,470 | 46.62% | Q1 2014 | May 15, 2014 |
| OPPENHEIMER FUNDS INC | History | No change | 3,782,500 | 43,764 | 0.05% | 0.06% | 10 | 0 | 0.0% | Q1 2014 | Apr 30, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Added to | 2,846,061 | 32,929 | 0.01% | 440.46% | 11 | +450,095 | 18.79% | Q1 2014 | May 15, 2014 |
| JPMORGAN CHASE & CO | History | Added to | 2,832,320 | 32,770 | 0.01% | 0.01% | 12 | +1,288,355 | 83.44% | Q1 2014 | May 15, 2014 |
| BARCLAYS PLC | History | Reduced | 2,258,413 | 24,844 | 0.03% | 0.03% | 13 | -69,937 | -3.0% | Q1 2014 | May 15, 2014 |
| DEUTSCHE BANK AG\ | History | Reduced | 1,945,651 | 22,511 | 0.02% | 0.02% | 14 | -118,161 | -5.73% | Q1 2014 | May 15, 2014 |
| Prentice Capital Management, LP | History | No change | 1,900,000 | 21,983 | 19.11% | 18.9% | 15 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| CAPSTONE INVESTMENT ADVISORS, LLC | History | Added to | 1,693,937 | 19,598 | 0.25% | 0.02% | 16 | +1,542,937 | 1021.81% | Q1 2014 | Apr 17, 2014 |
| CQS Cayman LP | History | Added to | 1,646,475 | 19,050 | 1.54% | 0.78% | 17 | +1,060,741 | 181.1% | Q1 2014 | May 14, 2014 |
| Davidson Kempner Capital Management LP | History | New | 1,421,748 | 16,450 | 0.74% | — | 18 | +1,421,748 | New | Q1 2014 | May 15, 2014 |
| OMERS ADMINISTRATION Corp | History | Added to | 1,261,198 | 14,592 | 0.47% | 0.23% | 19 | +741,198 | 142.54% | Q1 2014 | May 08, 2014 |
| Ranger International Management, LP | History | No change | 1,121,488 | 12,976 | 4.12% | 4.85% | 20 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| RENAISSANCE TECHNOLOGIES LLC | History | Reduced | 894,075 | 10,344 | 0.02% | 0.04% | 21 | -320,780 | -26.4% | Q1 2014 | May 14, 2014 |
| CLEARBRIDGE, LLC | History | Reduced | 844,325 | 9,769 | 0.19% | 0.32% | 22 | -538,380 | -38.94% | Q1 2014 | May 15, 2014 |
| COWEN GROUP, INC. | History | New | 756,605 | 8,754 | 1.08% | — | 23 | +756,605 | New | Q1 2014 | May 16, 2014 |
| SELZ CAPITAL LLC | History | No change | 745,000 | 8,620 | 2.17% | 2.28% | 24 | 0 | 0.0% | Q1 2014 | Apr 14, 2014 |
| SHIKIAR ASSET MANAGEMENT INC | History | Reduced | 574,700 | 6,649 | 2.92% | 3.2% | 25 | -29,500 | -4.88% | Q1 2014 | Apr 16, 2014 |
| PALISADE CAPITAL MANAGEMENT LLC/NJ | History | Reduced | 555,848 | 6,431 | 0.16% | 0.18% | 26 | -3,829 | -0.68% | Q1 2014 | May 12, 2014 |
| York Capital Management Global Advisors, LLC | History | Reduced | 507,000 | 5,866 | 0.07% | 1.12% | 27 | -6,159,496 | -92.39% | Q1 2014 | May 16, 2014 |
| GABELLI FUNDS LLC | History | No change | 500,000 | 5,785 | 0.03% | 0.03% | 28 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| HENNESSY ADVISORS INC | History | Reduced | 495,000 | 5,727 | 0.21% | 0.25% | 29 | -15,000 | -2.94% | Q1 2014 | Apr 24, 2014 |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | History | Added to | 488,500 | 5,578 | 0.01% | 0.01% | 30 | +23,000 | 4.94% | Q1 2014 | Apr 18, 2014 |
| SG Americas Securities, LLC | History | New | 480,180 | 5,556 | 0.02% | — | 31 | +480,180 | New | Q1 2014 | May 14, 2014 |
| RUSSELL FRANK CO/ | History | Reduced | 468,682 | 5,423 | 0.01% | 0.01% | 32 | -151,095 | -24.38% | Q1 2014 | May 16, 2014 |
| WHITEBOX ADVISORS LLC | History | Added to | 467,944 | 5,414 | 0.23% | 0.18% | 33 | +127,556 | 37.47% | Q1 2014 | May 14, 2014 |
| DREMAN VALUE MANAGEMENT, L L C | History | Added to | 464,310 | 5,372 | 0.42% | 0.43% | 34 | +3,513 | 0.76% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 457,792 | 5,296 | 0.0% | 0.0% | 35 | -45,760 | -9.09% | Q1 2014 | May 15, 2014 |
| Reservoir Operations, L.P. | History | No change | 419,800 | 4,857 | 1.88% | 2.0% | 36 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Reduced | 418,311 | 4,840 | 0.0% | 0.0% | 37 | -408,162 | -49.39% | Q1 2014 | May 14, 2014 |
| Yorktown Management & Research Co Inc | History | No change | 400,000 | 4,628 | 0.88% | 0.98% | 38 | 0 | 0.0% | Q1 2014 | May 06, 2014 |
| ING GROEP NV | History | No change | 315,000 | 3,643 | 0.02% | 0.02% | 39 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| MERITAGE PORTFOLIO MANAGEMENT | History | Added to | 284,805 | 3,295 | 0.4% | 0.42% | 40 | +6,945 | 2.5% | Q1 2014 | Apr 29, 2014 |
| LPL Financial LLC | History | Reduced | 251,910 | 2,915 | 0.02% | 0.03% | 41 | -138,188 | -35.42% | Q1 2014 | May 12, 2014 |
| Invesco Ltd. | History | Added to | 250,984 | 2,904 | 0.0% | 0.0% | 42 | +97,714 | 63.75% | Q1 2014 | May 15, 2014 |
| ROYCE & ASSOCIATES LLC | History | No change | 228,350 | 2,642 | 0.01% | 0.01% | 43 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Reduced | 179,714 | 2,079 | 0.01% | 0.01% | 44 | -22,064 | -10.93% | Q1 2014 | May 16, 2014 |
| INTEGRAL DERIVATIVES, LLC | History | Added to | 168,500 | 1,950 | 0.04% | 0.01% | 45 | +110,800 | 192.03% | Q1 2014 | May 02, 2014 |
| Stone Toro Investment Advisers, LP | History | New | 120,000 | 1,388 | 1.95% | — | 46 | +120,000 | New | Q1 2014 | Apr 25, 2014 |
| RAYMOND JAMES & ASSOCIATES | History | Added to | 118,373 | 1,370 | 0.01% | 0.01% | 47 | +1,700 | 1.46% | Q1 2014 | May 13, 2014 |
| UNITED CAPITAL FINANCIAL ADVISERS, LLC | History | Reduced | 117,341 | 1,358 | 0.03% | 0.05% | 48 | -5,700 | -4.63% | Q1 2014 | May 14, 2014 |
| Spot Trading L.L.C | History | Reduced | 115,064 | 1,331 | 0.01% | 0.01% | 49 | -27,659 | -19.38% | Q1 2014 | May 13, 2014 |
| Focused Wealth Management, Inc | History | Added to | 102,511 | 1,186 | 0.99% | 1.03% | 50 | +1,858 | 1.85% | Q1 2014 | May 05, 2014 |
| Trellus Management Company, LLC | History | No change | 100,750 | 1,166 | 1.04% | 1.48% | 51 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| SILVER CAPITAL MANAGEMENT LLC | History | Reduced | 98,401 | 1,138 | 3.65% | 4.43% | 52 | -11,500 | -10.46% | Q1 2014 | Apr 28, 2014 |
| STATE OF WISCONSIN INVESTMENT BOARD | History | Added to | 98,000 | 1,134 | 0.0% | 0.0% | 53 | +65,646 | 202.9% | Q1 2014 | May 14, 2014 |
| Alyeska Investment Group, L.P. | History | New | 94,830 | 1,097 | 0.03% | — | 54 | +94,830 | New | Q1 2014 | May 15, 2014 |
| GOLDMAN SACHS GROUP INC | History | Reduced | 88,651 | 1,026 | 0.0% | 0.0% | 55 | -85,653 | -49.14% | Q1 2014 | May 15, 2014 |
| WALNUT PRIVATE EQUITY PARTNERS, LLC | History | No change | 85,000 | 983 | 0.63% | 0.72% | 56 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| PANAGORA ASSET MANAGEMENT INC | History | Reduced | 83,386 | 965 | 0.0% | 0.01% | 57 | -17,869 | -17.65% | Q1 2014 | May 15, 2014 |
| ELKHORN PARTNERS LIMITED PARTNERSHIP | History | Added to | 80,800 | 935 | 0.59% | 0.54% | 58 | +12,300 | 17.96% | Q1 2014 | May 14, 2014 |
| Janney Montgomery Scott LLC | History | Reduced | 80,852 | 935 | 0.02% | 0.03% | 59 | -4,123 | -4.85% | Q1 2014 | May 14, 2014 |
| First Allied Advisory Services, Inc. | History | Reduced | 77,560 | 899 | 0.07% | 0.09% | 60 | -12,521 | -13.9% | Q1 2014 | May 15, 2014 |
| PEAK6 Investments, L.P. | History | Reduced | 77,400 | 895 | 0.01% | 0.02% | 61 | -101,800 | -56.81% | Q1 2014 | May 19, 2014 |
| Concept Capital Markets, LLC | History | No change | 72,557 | 839 | 0.32% | 0.34% | 62 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| SPRINGBOK CAPITAL MANAGEMENT, LLC | History | Reduced | 72,166 | 835 | 0.11% | 0.16% | 63 | -6,200 | -7.91% | Q1 2014 | May 15, 2014 |
| Highlander Capital Management, LLC | History | Added to | 63,800 | 738 | 0.69% | 0.69% | 64 | +3,900 | 6.51% | Q1 2014 | May 08, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Reduced | 61,047 | 706 | 0.02% | 0.02% | 65 | -3,108 | -4.84% | Q1 2014 | May 15, 2014 |
| DEERE & CO | History | Added to | 55,659 | 644 | 0.04% | 0.03% | 66 | +6,878 | 14.1% | Q1 2014 | May 08, 2014 |
| Barnett & Company, Inc. | History | Reduced | 55,058 | 637 | 0.29% | 0.33% | 67 | -3,272 | -5.61% | Q1 2014 | Apr 09, 2014 |
| Ensemble Capital Management, LLC | History | No change | 54,849 | 635 | 0.25% | 0.27% | 68 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Commonwealth Equity Services, Inc | History | Reduced | 51,062 | 591 | 0.01% | 0.01% | 69 | -6,291 | -10.97% | Q1 2014 | May 07, 2014 |
| ProVise Management Group, LLC | History | Reduced | 49,500 | 573 | 0.14% | 0.27% | 70 | -37,100 | -42.84% | Q1 2014 | May 08, 2014 |
| GROUP ONE TRADING, L.P. | History | New | 49,164 | 569 | 0.01% | — | 71 | +49,164 | New | Q1 2014 | May 07, 2014 |
| HighTower Advisors, LLC | History | Reduced | 46,993 | 544 | 0.01% | 0.01% | 72 | -3,883 | -7.63% | Q1 2014 | May 15, 2014 |
| WILLIAM HARRIS INVESTORS INC | History | Added to | 40,705 | 471 | 0.14% | 0.09% | 73 | +17,100 | 72.44% | Q1 2014 | May 08, 2014 |
| BANQUE PICTET & CIE SA | History | New | 40,000 | 463 | 0.01% | — | 74 | +40,000 | New | Q1 2014 | May 09, 2014 |
| AXA | History | No change | 39,100 | 452 | 0.0% | 0.0% | 75 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| HUNTINGTON NATIONAL BANK | History | New | 35,000 | 405 | 0.01% | — | 76 | +35,000 | New | Q1 2014 | May 27, 2014 |
| IndexIQ Advisors LLC | History | New | 34,222 | 396 | 0.04% | — | 77 | +34,222 | New | Q1 2014 | May 05, 2014 |
| FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. | History | Reduced | 32,374 | 374 | 0.01% | 0.01% | 78 | -1,400 | -4.15% | Q1 2014 | May 08, 2014 |
| BLAIR WILLIAM & CO/IL | History | No change | 31,440 | 363 | 0.0% | 0.0% | 79 | 0 | 0.0% | Q1 2014 | May 06, 2014 |
| First City Capital Management, Inc. | History | No change | 31,375 | 363 | 0.26% | 0.31% | 80 | 0 | 0.0% | Q1 2014 | May 19, 2014 |
| Janney Capital Management LLC | History | No change | 29,500 | 341 | 0.02% | 0.03% | 81 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| OTA Financial Group L.P. | History | New | 28,608 | 330 | 0.31% | — | 82 | +28,608 | New | Q1 2014 | Apr 30, 2014 |
| CSS LLC/IL | History | Added to | 28,000 | 324 | 0.02% | 0.01% | 83 | +4,000 | 16.67% | Q1 2014 | May 15, 2014 |
| IFC Holdings Incorporated/FL | History | Reduced | 28,160 | 321 | 0.07% | 0.07% | 84 | -712 | -2.47% | Q1 2014 | Apr 21, 2014 |
| US BANCORP \DE\ | History | Added to | 26,067 | 302 | 0.0% | 0.0% | 85 | +67 | 0.26% | Q1 2014 | May 14, 2014 |
| STEPHENS INC /AR/ | History | No change | 25,670 | 297 | 0.02% | 0.02% | 86 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| KMS FINANCIAL SERVICES, INC | History | No change | 24,850 | 288 | 0.05% | 0.05% | 87 | 0 | 0.0% | Q1 2014 | Aug 08, 2014 |
| ROTHSCHILD INVESTMENT CORP /IL | History | Reduced | 21,637 | 250 | 0.03% | 0.04% | 88 | -537 | -2.42% | Q1 2014 | Apr 28, 2014 |
| TOURADJI CAPITAL MANAGEMENT, LP | History | New | 20,500 | 237 | 1.74% | — | 89 | +20,500 | New | Q1 2014 | May 05, 2014 |
| CITADEL ADVISORS LLC | History | Added to | 20,312 | 235 | 0.34% | 0.1% | 90 | +15,609 | 331.89% | Q1 2014 | Aug 08, 2014 |
| Private Wealth Partners, LLC | History | Reduced | 20,000 | 231 | 0.05% | 0.06% | 91 | -3,000 | -13.04% | Q1 2014 | Apr 30, 2014 |
| National Asset Management, Inc. | History | Added to | 19,791 | 229 | 0.07% | 0.08% | 92 | +418 | 2.16% | Q1 2014 | May 02, 2014 |
| JANE STREET GROUP, LLC | History | New | 18,282 | 212 | 0.0% | — | 93 | +18,282 | New | Q1 2014 | May 15, 2014 |
| Cetera Advisor Networks LLC | History | Added to | 16,675 | 194 | 0.01% | 0.01% | 94 | +1,662 | 11.07% | Q1 2014 | May 15, 2014 |
| Private Advisor Group, LLC | History | Added to | 16,458 | 190 | 0.02% | 0.02% | 95 | +38 | 0.23% | Q1 2014 | May 15, 2014 |
| WHITE BAY PT LLC | History | New | 15,555 | 178 | 0.11% | — | 96 | +15,555 | New | Q1 2014 | Apr 17, 2014 |
| LEVIN CAPITAL STRATEGIES, L.P. | History | No change | 15,000 | 174 | 0.0% | 0.0% | 97 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Regent Investment Management LLC | History | No change | 14,800 | 171 | 0.09% | 0.1% | 98 | 0 | 0.0% | Q1 2014 | Apr 14, 2014 |
| COMMERCE BANK | History | Added to | 14,300 | 165 | 0.0% | 0.0% | 99 | +3,000 | 26.55% | Q1 2014 | May 09, 2014 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 14,216 | 164 | 0.01% | 0.01% | 100 | -164 | -1.14% | Q1 2014 | Apr 29, 2014 |
| Jefferies Group LLC | History | Reduced | 13,400 | 155 | 0.0% | 0.0% | 101 | -10,600 | -44.17% | Q1 2014 | May 16, 2014 |
| Neuberger Berman Group LLC | History | Reduced | 13,000 | 150 | 0.0% | 0.0% | 102 | -1,500 | -10.34% | Q1 2014 | May 05, 2014 |
| STIFEL FINANCIAL CORP | History | New | 12,500 | 145 | 0.0% | — | 103 | +12,500 | New | Q1 2014 | May 15, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Reduced | 10,700 | 123 | 0.0% | 0.0% | 104 | -8,863 | -45.3% | Q1 2014 | May 12, 2014 |
| Mariner Wealth Advisors, LLC | History | New | 10,100 | 117 | 0.02% | — | 105 | +10,100 | New | Q1 2014 | May 08, 2014 |
| FCG ADVISORS, LLC | History | No change | 10,000 | 116 | 0.08% | 0.08% | 106 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| FRANKLIN STREET ADVISORS INC /NC | History | No change | 10,000 | 116 | 0.02% | 0.02% | 107 | 0 | 0.0% | Q1 2014 | Apr 04, 2014 |
| K.J. Harrison & Partners Inc | History | No change | 10,000 | 115 | 0.03% | 0.04% | 108 | 0 | 0.0% | Q1 2014 | Apr 23, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | Reduced | 8,000 | 93 | 0.0% | 0.0% | 109 | -4,548 | -36.24% | Q1 2014 | May 09, 2014 |
| TOCQUEVILLE ASSET MANAGEMENT L.P. | History | No change | 6,600 | 76 | 0.0% | 0.0% | 110 | 0 | 0.0% | Q1 2014 | Apr 30, 2014 |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | History | Added to | 6,204 | 72 | 0.0% | 0.0% | 111 | +427 | 7.39% | Q1 2014 | May 15, 2014 |
| Partnervest Advisory Services LLC | History | Reduced | 5,955 | 69 | 0.03% | 0.25% | 112 | -38,000 | -86.45% | Q1 2014 | May 12, 2014 |
| Creative Planning | History | Added to | 3,400 | 39 | 0.0% | 0.0% | 113 | +1,100 | 47.83% | Q1 2014 | Apr 11, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | New | 3,000 | 35 | 0.0% | — | 114 | +3,000 | New | Q1 2014 | May 13, 2014 |
| Shamrock Asset Management LLC | History | New | 3,000 | 35 | 0.01% | — | 115 | +3,000 | New | Q1 2014 | May 01, 2014 |
| MONROE BANK & TRUST/MI | History | No change | 2,340 | 27 | 0.01% | 0.01% | 116 | 0 | 0.0% | Q1 2014 | Apr 17, 2014 |
| Legg Mason Investment Counsel, LLC | History | Reduced | 2,000 | 24 | 0.0% | 0.0% | 117 | -500 | -20.0% | Q1 2014 | May 15, 2014 |
| Gemmer Asset Management LLC | History | New | 2,000 | 23 | 0.02% | — | 118 | +2,000 | New | Q1 2014 | May 23, 2014 |
| DAVIDSON D A & CO | History | No change | 1,885 | 21 | 0.0% | 0.0% | 119 | 0 | 0.0% | Q1 2014 | May 05, 2014 |
| WFG Advisors, LP | History | Reduced | 1,645 | 19 | 0.0% | 0.01% | 120 | -1,800 | -52.25% | Q1 2014 | Apr 24, 2014 |
| AMERIPRISE FINANCIAL INC | History | No change | 1,330 | 15 | 0.0% | 0.0% | 121 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| KINGS POINT CAPITAL MANAGEMENT | History | Reduced | 1,100 | 13 | 0.0% | 0.04% | 122 | -8,000 | -87.91% | Q1 2014 | May 12, 2014 |
| Crow Point Partners, LLC | History | New | 1,000 | 12 | 0.0% | — | 124 | +1,000 | New | Q1 2014 | May 27, 2014 |
| ADIRONDACK TRUST CO | History | No change | 1,000 | 12 | 0.01% | 0.01% | 123 | 0 | 0.0% | Q1 2014 | Apr 17, 2014 |
| WASHINGTON TRUST BANK | History | New | 750 | 9 | 0.0% | — | 125 | +750 | New | Q1 2014 | May 15, 2014 |
| Parallax Volatility Advisers, LLC | History | Reduced | 600 | 7 | 0.0% | 0.0% | 127 | -15,719 | -96.32% | Q1 2014 | May 15, 2014 |
| CREDIT AGRICOLE S A | History | Reduced | 600 | 7 | 0.0% | 0.0% | 126 | -68 | -10.18% | Q1 2014 | May 12, 2014 |
| Transamerica Financial Advisors, Inc. | History | Reduced | 500 | 6 | 0.0% | 0.01% | 128 | -4,000 | -88.89% | Q1 2014 | Apr 15, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | New | 512 | 5 | 0.0% | — | 129 | +512 | New | Q1 2014 | May 13, 2014 |
| Hudock Moyer Wealth Resources, LLC | History | New | 400 | 5 | 0.0% | — | 130 | +400 | New | Q1 2014 | May 15, 2014 |
| Wunderlich Securities, Inc. | History | New | 400 | 5 | 0.0% | — | 131 | +400 | New | Q1 2014 | Jun 12, 2014 |
| Tower Research Capital LLC | History | Reduced | 299 | 3 | 0.0% | 0.02% | 132 | -8,709 | -96.68% | Q1 2014 | May 02, 2014 |
| FIFTH THIRD BANCORP | History | No change | 200 | 2 | 0.0% | 0.0% | 133 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| MetLife Securities, Inc | History | Reduced | 94 | 1 | 0.0% | 0.0% | 136 | -2,306 | -96.08% | Q1 2014 | May 21, 2014 |
| MESSNER & SMITH THEME VALUE INVESTMENT MANAGEMENT LTD /CA/ | History | New | 10 | 1 | 0.0% | — | 135 | +10 | New | Q1 2014 | May 07, 2014 |
| GLENMEDE TRUST CO NA | History | No change | 165 | 1 | 0.0% | 0.0% | 134 | 0 | 0.0% | Q1 2014 | May 07, 2014 |
| Grantham, Mayo, Van Otterloo & Co. LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -909,810 | -100.0% | Q4 2013 | Feb 13, 2014 |
| Jane Street Holding, LLC | History | Closed out | 0 | 0 | — | 0.07% | — | -396,072 | -100.0% | Q4 2013 | Feb 14, 2014 |
| WASATCH ADVISORS INC | History | Closed out | 0 | 0 | — | 0.04% | — | -303,800 | -100.0% | Q4 2013 | Feb 14, 2014 |
| Weiss Multi-Strategy Advisers LLC | History | Closed out | 0 | 0 | — | 0.07% | — | -250,000 | -100.0% | Q4 2013 | Feb 14, 2014 |
| SCHRODER INVESTMENT MANAGEMENT GROUP | History | Closed out | 0 | 0 | — | 0.0% | — | -133,900 | -100.0% | Q4 2013 | Feb 14, 2014 |
| Arete Wealth Advisors, LLC | History | Closed out | 0 | 0 | — | 1.5% | — | -124,904 | -100.0% | Q4 2013 | Feb 14, 2014 |
| Family Management Corp | History | Closed out | 0 | 0 | — | 0.8% | — | -114,175 | -100.0% | Q4 2013 | Feb 14, 2014 |
| HL FINANCIAL SERVICES LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -43,900 | -100.0% | Q4 2013 | Jan 24, 2014 |
| TCW GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -43,879 | -100.0% | Q4 2013 | Feb 18, 2014 |
| CORNERCAP INVESTMENT COUNSEL INC | History | Closed out | 0 | 0 | — | 0.08% | — | -32,868 | -100.0% | Q4 2013 | Feb 14, 2014 |
| Boyle Capital Management, LLC | History | Closed out | 0 | 0 | — | 0.31% | — | -29,794 | -100.0% | Q4 2013 | Jan 23, 2014 |
| GSA CAPITAL PARTNERS LLP | History | Closed out | 0 | 0 | — | 0.02% | — | -19,000 | -100.0% | Q4 2013 | Feb 12, 2014 |
| OPPENHEIMER & CO INC | History | Closed out | 0 | 0 | — | 0.01% | — | -14,800 | -100.0% | Q4 2013 | Feb 12, 2014 |
| Carroll Financial Associates, Inc. | History | Closed out | 0 | 0 | — | 0.06% | — | -14,000 | -100.0% | Q4 2013 | Feb 06, 2014 |
| STALEY CAPITAL ADVISERS INC | History | Closed out | 0 | 0 | — | 0.02% | — | -10,000 | -100.0% | Q4 2013 | Feb 05, 2014 |
| Ancora Advisors, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -10,000 | -100.0% | Q4 2013 | Feb 07, 2014 |
| TCI Wealth Advisors, Inc. | History | Closed out | 0 | 0 | — | 0.04% | — | -5,000 | -100.0% | Q4 2013 | Jan 21, 2014 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Closed out | 0 | 0 | — | 0.0% | — | -2,816 | -100.0% | Q4 2013 | Feb 14, 2014 |
| Madden Advisory Services, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -102 | -100.0% | Q4 2013 | Jan 30, 2014 |
| Winslow, Evans & Crocker, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -100 | -100.0% | Q4 2013 | Jan 21, 2014 |
| WOLVERINE ASSET MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -27 | -100.0% | Q4 2013 | Feb 14, 2014 |
| PRIVATE TRUST CO NA | History | No change | 38 | 0 | — | — | — | 0 | 0.0% | Q1 2014 | Apr 07, 2014 |