* 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 | No change | 30,353,720 | 351,193 | 0.05% | 0.05% | 1 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| COOPERMAN LEON G | History | No change | 13,609,426 | 157,461 | 2.09% | 2.09% | 2 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| MORGAN STANLEY | History | No change | 11,238,976 | 130,035 | 0.05% | 0.05% | 3 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| WATER ISLAND CAPITAL LLC | History | No change | 7,923,634 | 91,676 | 3.26% | 3.26% | 4 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| ROYAL BANK OF CANADA | History | No change | 4,478,590 | 51,818 | 0.04% | 0.04% | 5 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| UBS AG | History | No change | 4,335,547 | 50,163 | 0.04% | 0.04% | 6 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| CITIGROUP INC | History | No change | 4,002,074 | 46,304 | 0.05% | 0.05% | 7 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| BANK OF AMERICA CORP /DE/ | History | No change | 2,846,061 | 32,929 | 0.01% | 0.01% | 8 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| JPMORGAN CHASE & CO | History | No change | 2,832,320 | 32,770 | 0.01% | 0.01% | 9 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| BARCLAYS PLC | History | No change | 2,258,413 | 24,844 | 0.03% | 0.03% | 10 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| DEUTSCHE BANK AG\ | History | No change | 1,945,651 | 22,511 | 0.02% | 0.02% | 11 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Prentice Capital Management, LP | History | No change | 1,900,000 | 21,983 | 19.11% | 19.11% | 12 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| CAPSTONE INVESTMENT ADVISORS, LLC | History | No change | 1,693,937 | 19,598 | 0.25% | 0.25% | 13 | 0 | 0.0% | Q1 2014 | Apr 17, 2014 |
| Davidson Kempner Capital Management LP | History | No change | 1,421,748 | 16,450 | 0.74% | 0.74% | 14 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Ranger International Management, LP | History | No change | 1,121,488 | 12,976 | 4.12% | 4.12% | 15 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| RENAISSANCE TECHNOLOGIES LLC | History | No change | 894,075 | 10,344 | 0.02% | 0.02% | 16 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| CLEARBRIDGE, LLC | History | No change | 844,325 | 9,769 | 0.19% | 0.19% | 17 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| COWEN GROUP, INC. | History | No change | 756,605 | 8,754 | 1.08% | 1.08% | 18 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| York Capital Management Global Advisors, LLC | History | No change | 507,000 | 5,866 | 0.07% | 0.07% | 19 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | History | No change | 488,500 | 5,578 | 0.01% | 0.01% | 20 | 0 | 0.0% | Q1 2014 | Apr 18, 2014 |
| SG Americas Securities, LLC | History | No change | 480,180 | 5,556 | 0.02% | 0.02% | 21 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| RUSSELL FRANK CO/ | History | No change | 468,682 | 5,423 | 0.01% | 0.01% | 22 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| WHITEBOX ADVISORS LLC | History | No change | 467,944 | 5,414 | 0.23% | 0.23% | 23 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| DREMAN VALUE MANAGEMENT, L L C | History | No change | 464,310 | 5,372 | 0.42% | 0.42% | 24 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | No change | 457,792 | 5,296 | 0.0% | 0.0% | 25 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Reservoir Operations, L.P. | History | No change | 419,800 | 4,857 | 1.88% | 1.88% | 26 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | No change | 418,311 | 4,840 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| ING GROEP NV | History | No change | 315,000 | 3,643 | 0.02% | 0.02% | 28 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Invesco Ltd. | History | No change | 250,984 | 2,904 | 0.0% | 0.0% | 29 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| GUGGENHEIM CAPITAL LLC | History | No change | 179,714 | 2,079 | 0.01% | 0.01% | 30 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| RAYMOND JAMES & ASSOCIATES | History | No change | 118,373 | 1,370 | 0.01% | 0.01% | 31 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| UNITED CAPITAL FINANCIAL ADVISERS, LLC | History | No change | 117,341 | 1,358 | 0.03% | 0.03% | 32 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Spot Trading L.L.C | History | No change | 115,064 | 1,331 | 0.01% | 0.01% | 33 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| Trellus Management Company, LLC | History | No change | 100,750 | 1,166 | 1.04% | 1.04% | 34 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| STATE OF WISCONSIN INVESTMENT BOARD | History | No change | 98,000 | 1,134 | 0.0% | 0.0% | 35 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Alyeska Investment Group, L.P. | History | No change | 94,830 | 1,097 | 0.03% | 0.03% | 36 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| GOLDMAN SACHS GROUP INC | History | No change | 88,651 | 1,026 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| PANAGORA ASSET MANAGEMENT INC | History | No change | 83,386 | 965 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| ELKHORN PARTNERS LIMITED PARTNERSHIP | History | No change | 80,800 | 935 | 0.59% | 0.59% | 39 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Janney Montgomery Scott LLC | History | No change | 80,852 | 935 | 0.02% | 0.02% | 40 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| First Allied Advisory Services, Inc. | History | No change | 77,560 | 899 | 0.07% | 0.07% | 41 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| PEAK6 Investments, L.P. | History | No change | 77,400 | 895 | 0.01% | 0.01% | 42 | 0 | 0.0% | Q1 2014 | May 19, 2014 |
| SPRINGBOK CAPITAL MANAGEMENT, LLC | History | No change | 72,166 | 835 | 0.11% | 0.11% | 43 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | No change | 61,047 | 706 | 0.02% | 0.02% | 44 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Ensemble Capital Management, LLC | History | No change | 54,849 | 635 | 0.25% | 0.25% | 45 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| GROUP ONE TRADING, L.P. | History | No change | 49,164 | 569 | 0.01% | 0.01% | 46 | 0 | 0.0% | Q1 2014 | May 07, 2014 |
| HighTower Advisors, LLC | History | No change | 46,993 | 544 | 0.01% | 0.01% | 47 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| AXA | History | No change | 39,100 | 452 | 0.0% | 0.0% | 48 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| First City Capital Management, Inc. | History | No change | 31,375 | 363 | 0.26% | 0.26% | 49 | 0 | 0.0% | Q1 2014 | May 19, 2014 |
| OTA Financial Group L.P. | History | No change | 28,608 | 330 | 0.31% | 0.31% | 50 | 0 | 0.0% | Q1 2014 | Apr 30, 2014 |
| CSS LLC/IL | History | No change | 28,000 | 324 | 0.02% | 0.02% | 51 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| US BANCORP \DE\ | History | No change | 26,067 | 302 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| STEPHENS INC /AR/ | History | No change | 25,670 | 297 | 0.02% | 0.02% | 53 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| KMS FINANCIAL SERVICES, INC | History | No change | 24,850 | 288 | 0.05% | 0.05% | 54 | 0 | 0.0% | Q1 2014 | Aug 08, 2014 |
| CITADEL ADVISORS LLC | History | No change | 20,312 | 235 | 0.0% | 0.0% | 55 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| National Asset Management, Inc. | History | No change | 19,791 | 229 | 0.07% | 0.07% | 56 | 0 | 0.0% | Q1 2014 | May 02, 2014 |
| JANE STREET GROUP, LLC | History | No change | 18,282 | 212 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Cetera Advisor Networks LLC | History | No change | 16,675 | 194 | 0.01% | 0.01% | 58 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| WHITE BAY PT LLC | History | No change | 15,555 | 178 | 0.11% | 0.11% | 59 | 0 | 0.0% | Q1 2014 | Apr 17, 2014 |
| LEVIN CAPITAL STRATEGIES, L.P. | History | No change | 15,000 | 174 | 0.0% | 0.0% | 60 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| Jefferies Group LLC | History | No change | 13,400 | 155 | 0.0% | 0.0% | 61 | 0 | 0.0% | Q1 2014 | May 16, 2014 |
| STIFEL FINANCIAL CORP | History | No change | 12,500 | 145 | 0.0% | 0.0% | 62 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Mariner Wealth Advisors, LLC | History | No change | 10,100 | 117 | 0.02% | 0.02% | 63 | 0 | 0.0% | Q1 2014 | May 08, 2014 |
| FCG ADVISORS, LLC | History | No change | 10,000 | 116 | 0.08% | 0.08% | 64 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | History | No change | 6,204 | 72 | 0.0% | 0.0% | 65 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Partnervest Advisory Services LLC | History | No change | 5,955 | 69 | 0.03% | 0.03% | 66 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| Creative Planning | History | No change | 3,400 | 39 | 0.0% | 0.0% | 67 | 0 | 0.0% | Q1 2014 | Apr 11, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | No change | 3,000 | 35 | 0.0% | 0.0% | 68 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| Legg Mason Investment Counsel, LLC | History | No change | 2,000 | 24 | 0.0% | 0.0% | 69 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Gemmer Asset Management LLC | History | No change | 2,000 | 23 | 0.02% | 0.02% | 70 | 0 | 0.0% | Q1 2014 | May 23, 2014 |
| WFG Advisors, LP | History | No change | 1,645 | 19 | 0.0% | 0.0% | 71 | 0 | 0.0% | Q1 2014 | Apr 24, 2014 |
| AMERIPRISE FINANCIAL INC | History | No change | 1,330 | 15 | 0.0% | 0.0% | 72 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| KINGS POINT CAPITAL MANAGEMENT | History | No change | 1,100 | 13 | 0.0% | 0.0% | 73 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| Crow Point Partners, LLC | History | No change | 1,000 | 12 | 0.0% | 0.0% | 74 | 0 | 0.0% | Q1 2014 | May 27, 2014 |
| CREDIT AGRICOLE S A | History | No change | 600 | 7 | 0.0% | 0.0% | 75 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| Parallax Volatility Advisers, LLC | History | No change | 600 | 7 | 0.0% | 0.0% | 76 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | No change | 512 | 5 | 0.0% | 0.0% | 77 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| Hudock Moyer Wealth Resources, LLC | History | No change | 400 | 5 | 0.0% | 0.0% | 78 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Tower Research Capital LLC | History | No change | 299 | 3 | 0.0% | 0.0% | 79 | 0 | 0.0% | Q1 2014 | May 02, 2014 |
| FIFTH THIRD BANCORP | History | No change | 200 | 2 | 0.0% | 0.0% | 80 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| GLENMEDE TRUST CO NA | History | No change | 165 | 1 | 0.0% | 0.0% | 81 | 0 | 0.0% | Q1 2014 | May 07, 2014 |
| THORNBURG INVESTMENT MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.54% | — | -11,776,320 | -100.0% | Q2 2014 | Aug 11, 2014 |
| CREDIT SUISSE AG/ | History | Closed out | 0 | 0 | — | 0.07% | — | -5,764,647 | -100.0% | Q2 2014 | Aug 11, 2014 |
| OPPENHEIMER FUNDS INC | History | Closed out | 0 | 0 | — | 0.05% | — | -3,782,500 | -100.0% | Q2 2014 | Aug 08, 2014 |
| CQS Cayman LP | History | Closed out | 0 | 0 | — | 1.54% | — | -1,646,475 | -100.0% | Q2 2014 | Aug 11, 2014 |
| OMERS ADMINISTRATION Corp | History | Closed out | 0 | 0 | — | 0.47% | — | -1,261,198 | -100.0% | Q2 2014 | Aug 11, 2014 |
| SELZ CAPITAL LLC | History | Closed out | 0 | 0 | — | 2.17% | — | -745,000 | -100.0% | Q2 2014 | Jul 10, 2014 |
| SHIKIAR ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | 2.92% | — | -574,700 | -100.0% | Q2 2014 | Jul 23, 2014 |
| PALISADE CAPITAL MANAGEMENT LLC/NJ | History | Closed out | 0 | 0 | — | 0.16% | — | -555,848 | -100.0% | Q2 2014 | Aug 06, 2014 |
| GABELLI FUNDS LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -500,000 | -100.0% | Q2 2014 | Aug 06, 2014 |
| HENNESSY ADVISORS INC | History | Closed out | 0 | 0 | — | 0.21% | — | -495,000 | -100.0% | Q2 2014 | Jul 15, 2014 |
| Yorktown Management & Research Co Inc | History | Closed out | 0 | 0 | — | 0.88% | — | -400,000 | -100.0% | Q2 2014 | Jul 23, 2014 |
| MERITAGE PORTFOLIO MANAGEMENT | History | Closed out | 0 | 0 | — | 0.4% | — | -284,805 | -100.0% | Q2 2014 | Jul 28, 2014 |
| LPL Financial LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -251,910 | -100.0% | Q2 2014 | Aug 05, 2014 |
| ROYCE & ASSOCIATES LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -228,350 | -100.0% | Q2 2014 | Aug 11, 2014 |
| INTEGRAL DERIVATIVES, LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -168,500 | -100.0% | Q2 2014 | Aug 07, 2014 |
| Stone Toro Investment Advisers, LP | History | Closed out | 0 | 0 | — | 1.95% | — | -120,000 | -100.0% | Q2 2014 | Jul 28, 2014 |
| Focused Wealth Management, Inc | History | Closed out | 0 | 0 | — | 0.99% | — | -102,511 | -100.0% | Q2 2014 | Jul 30, 2014 |
| SILVER CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 3.65% | — | -98,401 | -100.0% | Q2 2014 | Aug 01, 2014 |
| WALNUT PRIVATE EQUITY PARTNERS, LLC | History | Closed out | 0 | 0 | — | 0.63% | — | -85,000 | -100.0% | Q2 2014 | Jul 23, 2014 |
| Concept Capital Markets, LLC | History | Closed out | 0 | 0 | — | 0.32% | — | -72,557 | -100.0% | Q2 2014 | Aug 08, 2014 |
| Highlander Capital Management, LLC | History | Closed out | 0 | 0 | — | 0.69% | — | -63,800 | -100.0% | Q2 2014 | Aug 11, 2014 |
| DEERE & CO | History | Closed out | 0 | 0 | — | 0.04% | — | -55,659 | -100.0% | Q2 2014 | Aug 11, 2014 |
| Barnett & Company, Inc. | History | Closed out | 0 | 0 | — | 0.29% | — | -55,058 | -100.0% | Q2 2014 | Jul 16, 2014 |
| Commonwealth Equity Services, Inc | History | Closed out | 0 | 0 | — | 0.01% | — | -51,062 | -100.0% | Q2 2014 | Jul 23, 2014 |
| ProVise Management Group, LLC | History | Closed out | 0 | 0 | — | 0.14% | — | -49,500 | -100.0% | Q2 2014 | Aug 01, 2014 |
| WILLIAM HARRIS INVESTORS INC | History | Closed out | 0 | 0 | — | 0.14% | — | -40,705 | -100.0% | Q2 2014 | Aug 07, 2014 |
| BANQUE PICTET & CIE SA | History | Closed out | 0 | 0 | — | 0.01% | — | -40,000 | -100.0% | Q2 2014 | Aug 06, 2014 |
| HUNTINGTON NATIONAL BANK | History | Closed out | 0 | 0 | — | 0.01% | — | -35,000 | -100.0% | Q2 2014 | Jul 25, 2014 |
| IndexIQ Advisors LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -34,222 | -100.0% | Q2 2014 | Aug 04, 2014 |
| FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. | History | Closed out | 0 | 0 | — | 0.01% | — | -32,374 | -100.0% | Q2 2014 | Aug 11, 2014 |
| BLAIR WILLIAM & CO/IL | History | Closed out | 0 | 0 | — | 0.0% | — | -31,440 | -100.0% | Q2 2014 | Aug 01, 2014 |
| Janney Capital Management LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -29,500 | -100.0% | Q2 2014 | Jul 18, 2014 |
| IFC Holdings Incorporated/FL | History | Closed out | 0 | 0 | — | 0.07% | — | -28,160 | -100.0% | Q2 2014 | Jul 22, 2014 |
| ROTHSCHILD INVESTMENT CORP /IL | History | Closed out | 0 | 0 | — | 0.03% | — | -21,637 | -100.0% | Q2 2014 | Jul 24, 2014 |
| TOURADJI CAPITAL MANAGEMENT, LP | History | Closed out | 0 | 0 | — | 1.74% | — | -20,500 | -100.0% | Q2 2014 | Aug 06, 2014 |
| Private Wealth Partners, LLC | History | Closed out | 0 | 0 | — | 0.05% | — | -20,000 | -100.0% | Q2 2014 | Aug 05, 2014 |
| Private Advisor Group, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -16,458 | -100.0% | Q2 2014 | Aug 08, 2014 |
| Regent Investment Management LLC | History | Closed out | 0 | 0 | — | 0.09% | — | -14,800 | -100.0% | Q2 2014 | Jul 23, 2014 |
| COMMERCE BANK | History | Closed out | 0 | 0 | — | 0.0% | — | -14,300 | -100.0% | Q2 2014 | Aug 05, 2014 |
| Cambridge Investment Research Advisors, Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -14,216 | -100.0% | Q2 2014 | Jul 25, 2014 |
| Neuberger Berman Group LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -13,000 | -100.0% | Q2 2014 | Aug 05, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -10,700 | -100.0% | Q2 2014 | Aug 08, 2014 |
| FRANKLIN STREET ADVISORS INC /NC | History | Closed out | 0 | 0 | — | 0.02% | — | -10,000 | -100.0% | Q2 2014 | Jul 08, 2014 |
| K.J. Harrison & Partners Inc | History | Closed out | 0 | 0 | — | 0.03% | — | -10,000 | -100.0% | Q2 2014 | Jul 17, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -8,000 | -100.0% | Q2 2014 | Aug 08, 2014 |
| TOCQUEVILLE ASSET MANAGEMENT L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -6,600 | -100.0% | Q2 2014 | Jul 30, 2014 |
| Shamrock Asset Management LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -3,000 | -100.0% | Q2 2014 | Aug 04, 2014 |
| MONROE BANK & TRUST/MI | History | Closed out | 0 | 0 | — | 0.01% | — | -2,340 | -100.0% | Q2 2014 | Jul 31, 2014 |
| DAVIDSON D A & CO | History | Closed out | 0 | 0 | — | 0.0% | — | -1,885 | -100.0% | Q2 2014 | Jul 29, 2014 |
| ADIRONDACK TRUST CO | History | Closed out | 0 | 0 | — | 0.01% | — | -1,000 | -100.0% | Q2 2014 | Jul 23, 2014 |
| WASHINGTON TRUST BANK | History | Closed out | 0 | 0 | — | 0.0% | — | -750 | -100.0% | Q2 2014 | Aug 08, 2014 |
| Transamerica Financial Advisors, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -500 | -100.0% | Q2 2014 | Jul 14, 2014 |
| Wunderlich Securities, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -400 | -100.0% | Q2 2014 | Jul 17, 2014 |
| MetLife Securities, Inc | History | Closed out | 0 | 0 | — | 0.0% | — | -94 | -100.0% | Q2 2014 | Aug 04, 2014 |
| PRIVATE TRUST CO NA | History | Closed out | 0 | 0 | — | — | — | -38 | -100.0% | Q2 2014 | Jul 22, 2014 |
| MESSNER & SMITH THEME VALUE INVESTMENT MANAGEMENT LTD /CA/ | History | Closed out | 0 | 0 | — | 0.0% | — | -10 | -100.0% | Q2 2014 | Aug 11, 2014 |