SecurityMAIN / Main Street Capital Corp. (56035L104)
Institutional Owners218 (15 N-Q Owners)
Institutional Shares16,525,661 (ex. N-Q)
Institutional Value$ 4,419,556,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

Main Street Capital Corp. (NYSE:MAIN) has 218 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 16,525,661 shares. Largest shareholders include Burgundy Asset Management Ltd., Muzinich & Co., Inc., Price T Rowe Associates Inc /md/, Macquarie Group Ltd, Bank Of Montreal /can/, Sanders Morris Harris Inc., M&t Bank Corp, UBS Group AG, McGowan Group Asset Management, Inc., and Van Eck Associates Corp.

Main Street Capital Corp. (NYSE:MAIN) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.


File DateFormInvestor Opt Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-02-12 13F-HR EAGLE GLOBAL ADVISORS LLC 14,229 14,229 0.00 566 565 -0.18
2017-10-30 N-Q Innovator Etfs Trust (see advisory)
2018-02-14 13F-HR IHT Wealth Management, LLC 172 18,748 10,800.00 7 737 10,428.57
2018-02-21 13F-HR Hanson McClain, Inc. 705 705 0.00 28 28 0.00
2018-04-06 13F-HR Kistler-Tiffany Companies, LLC 160 160 0.00 6 6 0.00
2018-03-14 13F-HR Creative Financial Designs Inc /adv 1,256 46
2018-02-14 13F-HR BOKF, NA 26,665 25,325 -5.03 1,060 1,006 -5.09
2018-04-12 13F-HR ACADIAN ASSET MANAGEMENT LLC 14,942 551
2018-04-16 13F-HR Capital Investment Advisors, LLC 37,618 41,378 10.00 1,495 1,527 2.14
2017-11-14 13F-HR SALIENT TRUST CO LTA 7,004 0 -100.00 269 0 -100.00
2018-04-11 13F-HR DnB Asset Management AS 62,212 101,712 63.49 2,472,305 3,754,190 51.85
2018-04-11 13F-HR LifePlan Financial Group, Inc 783 29
2018-02-15 13F-HR GLENMEDE TRUST CO NA 1,320 1,070 -18.94 52 42 -19.23
2018-01-17 13F-HR Cutler Group LP Put 15,200 200 -98.68 3 0 -100.00
2018-02-08 13F-HR Advisory Services Network, LLC 47,719 53,912 12.98 1,897 2,142 12.92
2018-02-12 13F-HR Financial Architects, Inc 700 700 0.00 28 28 0.00
2018-02-09 13F-HR SCHRODER INVESTMENT MANAGEMENT GROUP 19,400 19,400 0.00 769 771 0.26
2017-12-29 N-Q Nuveen Preferred & Income Opportunities Fund (see advisory)
2018-04-11 13F-HR Capital Impact Advisors, LLC 38,983 1,438
2018-01-31 13F-HR Capital Investment Advisory Services, LLC 10,000 10,700 7.00 259 270 4.25
2018-04-18 13F-HR REGIONS FINANCIAL CORP 1,061 1,061 0.00 42 39 -7.14
2017-11-08 13F-HR D.A. DAVIDSON & CO. 1,025 0 -100.00 39 0 -100.00
2018-02-09 13F-HR CITADEL ADVISORS LLC Put 5,400 13,200 144.44 215 524 143.72
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 102,115 4,057
2018-02-12 13F-HR Quantbot Technologies LP 0 724 0 28
2018-02-14 13F-HR Prime Capital Investment Advisors, Llc 672 27
2018-01-31 13F-HR Dean Capital Investments Management, Llc 10,129 402
2018-01-09 13F-HR Oak Point Wealth Management 200 8
2018-02-12 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 1,700 1,700 0.00 68 68 0.00
2018-01-30 13F-HR MYCIO WEALTH PARTNERS, LLC 11,500 11,500 0.00 457 457 0.00
2018-02-14 13F-HR Kalos Management, Inc. 14,649 541
2018-01-31 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 2,318 1,059 -54.31 92 42 -54.35
2018-02-07 13F-HR Texas Yale Capital Corp. 70,423 74,423 5.68 2,799 2,957 5.64
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 51 816 1,500.00 2 33 1,550.00
2018-02-13 13F-HR Advisors Asset Management, Inc. 24,454 22,864 -6.50 972 908 -6.58
2018-02-14 13F-HR BLAIR WILLIAM & CO/IL 115,955 110,958 -4.31 4,609 4,408 -4.36
2018-04-17 13F-HR FARMERS & MERCHANTS INVESTMENTS INC 522 445 -14.75 21 16 -23.81
2018-02-12 13F-HR Navellier & Associates Inc 0 5,582 0 222
2017-12-14 N-Q Ranger Funds Investment Trust (see advisory)
2018-01-23 13F-HR Partnervest Advisory Services LLC 17,696 38,209 115.92 703 1,518 115.93
2018-02-14 13F-HR McGowan Group Asset Management, Inc. 299,340 421,744 40.89 11,899 16,756 40.82
2018-01-24 13F-HR IFP Advisors, Inc 13,938 9,921 -28.82 554 394 -28.88
2018-01-03 13F-HR Washington Trust Bank 500 0 -100.00 20 0 -100.00
2018-02-14 13F-HR AVALON ADVISORS, LLC 6,259 6,259 0.00 249 249 0.00
2018-02-13 13F-HR Evercore Wealth Management, LLC 700 0 -100.00 28 0 -100.00
2018-02-12 13F-HR Muzinich & Co., Inc. 2,259,601 1,896,424 -16.07 89,819 75,345 -16.11
2018-02-13 13F-HR JP Morgan Chase & Co 4,648 2,615 -43.74 184 104 -43.48
2018-02-13 13F-HR Financial Gravity Companies, Inc. 52 2
2018-02-08 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 114,511 118,269 3.28 4,552 4,699 3.23
2018-02-09 13F-HR ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 27,000 196,471 627.67 1,073 7,806 627.49
2018-02-07 13F-HR Private Advisor Group, LLC 17,683 7,666 -56.65 707 301 -57.43
2018-02-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 1,027,414 992,814 -3.37 40,840 39,445 -3.42
2018-04-06 13F-HR Eqis Capital Management, Inc. 6,195 6,155 -0.65 246 227 -7.72
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Put 0 100 0 4
2018-02-08 13F-HR Cetera Advisor Networks LLC 7,504 8,763 16.78 296 348 17.57
2017-10-19 13F-HR Winslow, Evans & Crocker, Inc. 10,800 0 -100.00 415,140 0 -100.00
2017-10-26 13F-HR Patriot Financial Group Insurance Agency, LLC 150 0 -100.00 6 0 -100.00
2018-02-15 13F-HR JANE STREET GROUP, LLC 21,549 8,800 -59.16 825 350 -57.58
2018-02-01 13F-HR HL FINANCIAL SERVICES LLC 31,291 28,177 -9.95 1,244 1,119 -10.05
2018-02-02 13F-HR Sandy Spring Bank 557 557 0.00 22 22 0.00
2018-02-13 13F-HR Kaizen Advisory, Llc 26,254 1,301
2018-02-14 13F-HR WOLVERINE TRADING, LLC 0 14,866 0 591
2018-02-14 13F-HR Clearbridge Investments, LLC 667 26 -96.10 27 1 -96.30
2018-02-12 13F-HR CITIGROUP INC Call 2,100 6,100 190.48 83 242 191.57
2018-02-22 13F-HR Cambridge Investment Research Advisors, Inc. 88,465 84,408 -4.59 3,516 3,354 -4.61
2017-10-27 N-Q Valic Co I (see advisory)
2018-02-14 13F-HR GSA CAPITAL PARTNERS LLP 5,231 0 -100.00 208 0 -100.00
2018-02-14 13F-HR LPL Financial LLC 131,226 145,327 10.75 5,216 5,774 10.70
2018-02-07 13F-HR Verity Asset Management, Inc. 6,395 6,150 -3.83 254 244 -3.94
2017-12-05 13F-HR Perigon Wealth Management, LLC 1,911 0 -100.00 74 0 -100.00
2018-01-23 13F-HR Strid Group, LLC 5,121 204
2018-02-12 13F-HR Good Life Advisors, LLC 5,055 5,461 8.03 203 214 5.42
2018-02-14 13F-HR GUGGENHEIM CAPITAL LLC 75,606 71,985 -4.79 3,005 2,860 -4.83
2018-02-14 13F-HR Voya Financial Advisors, Inc. 11,679 11,513 -1.42 463 461 -0.43
2018-02-09 13F-HR CITADEL ADVISORS LLC Call 23,000 14,300 -37.83 914 568 -37.86
2017-11-13 13F-HR Employees Retirement System of Texas 232 0 -100.00 9 0 -100.00
2018-02-08 13F-HR Global Financial Private Capital, LLC 10,936 12,936 18.29 435 514 18.16
2017-11-13 13F-HR MACKENZIE FINANCIAL CORP 8,437 0 -100.00 324 0 -100.00
2018-04-18 13F-HR Creative Planning 20,580 24,934 21.16 818 920 12.47
2018-01-17 13F-HR Cutler Group LP Call 1,000 0 -100.00 0 0
2018-04-19 13F-HR Sequent Asset Management, LLC 30,807 29,837 -3.15 1,224 1,142 -6.70
2018-02-12 13F-HR First City Capital Management, Inc. 12,200 12,200 0.00 485 485 0.00
2018-01-08 13F-HR Carlson Capital Management 65,380 65,380 0.00 2,599 2,598 -0.04
2018-02-12 13F-HR VAN ECK ASSOCIATES CORP 403,372 410,814 1.84 16,034 16,322 1.80
2018-04-16 13F-HR Westside Investment Management, Inc. 34 34 0.00 1,336 1,249 -6.51
2017-11-14 13F-HR GROUP ONE TRADING, L.P. 93 0 -100.00 4 0 -100.00
2018-02-08 13F-HR Ausdal Financial Partners, Inc. 0 5,767 0 229
2018-01-16 13F-HR NEXT Financial Group, Inc 2,100 0 -100.00 84 0 -100.00
2018-01-22 13F-HR Segment Wealth Management, LLC 34,944 34,944 0.00 1,389 1,388 -0.07
2018-02-12 13F-HR Atlantic Trust Group, LLC 62,146 61,713 -0.70 2,470 2,452 -0.73
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 74,854 56,521 -24.49 2,975 2,246 -24.50
2018-01-10 13F-HR SIMPLEX TRADING, LLC Call 9 12 33.33 0 0
2018-01-30 13F-HR Hudock Capital Group, LLC 179 180 0.56 7 7 0.00
2018-04-12 13F-HR Valeo Financial Advisors, Llc 531 539 1.51 21 20 -4.76
2017-12-21 N-Q American Pension Investors Trust (see advisory)
2018-02-14 13F-HR DEUTSCHE BANK AG\ 99,528 106,642 7.15 3,956 4,235 7.05
2018-02-12 13F-HR King Wealth Management Group, LLC 5,180 205
2017-11-14 13F-HR CLS Investments, LLC 275 0 -100.00 11 0 -100.00
2017-11-29 N-Q Investment Managers Series Trust Ii (see advisory)
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 23,434 23,409 -0.11 932 930 -0.21
2018-02-14 13F-HR Sapphire Star Partners LP 0 13,682 0 544
2017-10-19 13F-HR SeaBridge Investment Advisors LLC 560 0 -100.00 22 0 -100.00
2018-01-30 13F-HR Callahan Advisors, LLC 10,720 11,242 4.87 426 447 4.93
2018-02-14 13F-HR HighTower Advisors, LLC 102,495 101,595 -0.88 4,090 4,054 -0.88
2017-11-07 13F-HR Harfst & Associates, Inc. 1,753 0 -100.00 67 0 -100.00
2018-02-14 13F-HR D. E. Shaw & Co., Inc. 36,889 6,178 -83.25 1,467 245 -83.30
2018-02-22 13F-HR GREEN SQUARE CAPITAL LLC 5,326 5,326 0.00 212 212 0.00
2018-02-08 13F-HR Castle Rock Wealth Management, Llc 6,793 270
2017-11-14 13F-HR Homrich & Berg 37,432 0 -100.00 1,440 0 -100.00
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. Put 2,000 0 -100.00 77 0 -100.00
2017-10-27 N-Q Etf Series Solutions (see advisory)
2018-02-07 13F-HR Sigma Planning Corp 36,989 40,799 10.30 1,470 1,621 10.27
2018-02-14 13F-HR NORTHERN TRUST CORP 25,042 30,012 19.85 996 1,193 19.78
2018-02-08 13F-HR Bridgeworth, LLC 6,000 12,000 100.00 239 476 99.16
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 92,100 96,200 4.45 3,661 3,822 4.40
2018-02-14 13F-HR MACQUARIE GROUP LTD 1,105,132 980,980 -11.23 43,929 38,974 -11.28
2018-04-10 13F-HR Gierl Augustine Investment Management Inc 96,642 99,705 3.17 3,840 3,679 -4.19
2018-01-17 13F-HR Cutler Group LP 1,200 800 -33.33 47 31 -34.04
2018-02-02 13F-HR Barnett & Company, Inc. 50,357 50,357 0.00 2,002 2,001 -0.05
2018-02-07 13F-HR WHITTIER TRUST CO 984 984 0.00 39 39 0.00
2018-02-14 13F-HR/A-1 Robeco Institutional Asset Management B.V. 64,591 64,591 0.00 2,568 2,573 0.19
2017-11-14 13F-HR EP Wealth Advisors, Inc. 7,000 0 -100.00 269 0 -100.00
2018-02-02 13F-HR US BANCORP \DE\ 3,153 3,654 15.89 125 145 16.00
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 30,858 51,997 68.50 1,227 2,066 68.38
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 106,775 98,511 -7.74 4,245 3,913 -7.82
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Call 3,100 1,300 -58.06 123 52 -57.72
2018-02-12 13F-HR AMERIPRISE FINANCIAL INC 25,934 28,869 11.32 1,031 1,147 11.25
2018-02-14 13F-HR Greenwich Investment Management, Inc. 108,689 108,243 -0.41 4,320 4,300 -0.46
2018-02-13 13F-HR MML INVESTORS SERVICES, LLC 40,186 33,165 -17.47 1,597 1,318 -17.47
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 98,344 103,287 5.03 3,908 4,104 5.02
2017-11-28 N-Q Ancora Trust (see advisory)
2018-02-27 N-Q Blackstone Alternative Investment Funds (see advisory)
2018-02-09 13F-HR Virtu Financial LLC 6,320 6,531 3.34 251 259 3.19
2018-01-23 13F-HR DELTA ASSET MANAGEMENT LLC/TN 128 5
2018-02-13 13F-HR Parallel Advisors, LLC 1,321 1,333 0.91 53 53 0.00
2018-02-09 13F-HR CAPITAL FUND MANAGEMENT S.A. 25,600 14,300 -44.14 1,018 568 -44.20
2017-11-08 13F-HR Friedberg Investment Management 162,908 23,413 -85.63 6,265 931 -85.14
2017-11-14 13F-HR Concert Wealth Management Inc. 8,356 0 -100.00 322 0 -100.00
2018-02-15 13F-HR Lido Advisors, LLC 7,561 7,561 0.00 303 300 -0.99
2018-02-08 13F-HR Cetera Advisors LLC 27,887 26,890 -3.58 1,109 1,068 -3.70
2018-02-15 13F-HR BB&T SECURITIES, LLC 16,560 15,849 -4.29 658 629 -4.41
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 579,487 614,587 6.06 23,024 22,678 -1.50
2018-02-12 13F-HR CITIGROUP INC 9,282 5,284 -43.07 369 210 -43.09
2018-02-06 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 122,673 130,783 6.61 4,876 5,196 6.56
2018-01-26 13F-HR MILLER HOWARD INVESTMENTS INC /NY 131,648 131,648 0.00 5,233 5,230 -0.06
2018-02-09 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 59,933 2,381
2018-04-17 13F-HR Calton & Associates, Inc. 12,037 13,108 8.90 469 484 3.20
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 148,463 162,013 9.13 5,904 6,435 8.99
2018-04-16 13F-HR IFC Holdings Incorporated/FL 7,029 0 -100.00 276 0 -100.00
2018-03-05 13F-HR/A-1 BNP PARIBAS ARBITRAGE, SA 386 386 0.00 15,344 15,336 -0.05
2018-02-02 13F-HR Texan Capital Management 140,953 134,911 -4.29 5,603 5,360 -4.34
2018-02-12 13F-HR Pacad Investment Ltd. 1,400 0 -100.00 56 0 -100.00
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 97,856 103,123 5.38 3,764 4,099 8.90
2018-03-01 N-Q Rivernorth Funds (see advisory)
2018-02-14 13F-HR FIFTH THIRD BANCORP 7,200 7,200 0.00 286 286 0.00
2017-11-06 13F-HR Spot Trading L.l.c. Call 13,600 0 -100.00 523 0 -100.00
2018-01-30 13F-HR JFS WEALTH ADVISORS, LLC 400 400 0.00 16 16 0.00
2018-02-07 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 300 300 0.00 12 12 0.00
2018-02-12 13F-HR Burgundy Asset Management Ltd. 1,828,173 1,908,296 4.38 72,670 75,817 4.33
2018-02-13 13F-HR Focused Wealth Management, Inc 19,210 16,763 -12.74 764 666 -12.83
2018-04-19 13F-HR WEBSTER BANK, N. A. 750 750 0.00 30 28 -6.67
2018-04-09 13F-HR Founders Capital Management 600 600 0.00 24 22 -8.33
2018-02-14 13F-HR Magnetar Financial LLC 26,561 28,114 5.85 1,056 1,117 5.78
2018-04-10 13F-HR NISA INVESTMENT ADVISORS L.L.C. 2,000 2,000 0.00 79 71 -10.13
2018-02-14 13F-HR Invesco Ltd. 253,946 229,110 -9.78 10,094 9,102 -9.83
2018-04-04 13F-HR CONFLUENCE INVESTMENT MANAGEMENT LLC 92,373 86,673 -6.17 3,670 3,198 -12.86
2018-02-27 N-Q Advisors Series Trust (see advisory)
2018-01-25 13F-HR Sumitomo Mitsui Asset Management Company, LTD 177,844 140,377 -21.07 7,069 5,577 -21.11
2018-03-28 13F-HR Mainstay Capital Management Llc /adv 330 13
2018-02-09 13F-HR Bank of New York Mellon Corp 7,480 297
2018-04-06 13F-HR KEMPNER CAPITAL MANAGEMENT INC. 5,500 5,500 0.00 219 203 -7.31
2018-02-06 13F-HR M&T BANK CORP 470,617 478,304 1.63 18,707 19,004 1.59
2018-02-14 13F-HR PEAK6 Investments, L.P. Call 17,400 16,700 -4.02 692 663 -4.19
2018-02-12 13F-HR Midwest Professional Planners, Ltd. 366 15
2018-04-19 13F-HR Janney Montgomery Scott LLC 13,717 17,661 28.75 545 652 19.63
2018-02-09 13F-HR SII INVESTMENTS INC/WI 6,456 0 -100.00 246 0 -100.00
2018-04-05 13F-HR Edge Wealth Management LLC 300 400 33.33 11 15 36.36
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. 307 0 -100.00 12 0 -100.00
2018-01-24 13F-HR HOWE & RUSLING INC 99 0 -100.00 4 0 -100.00
2018-01-20 13F-HR Shamrock Asset Management LLC 2,220 2,220 0.00 88 88 0.00
2017-10-30 N-Q Northern Lights Fund Trust Iv (see advisory)
2018-02-14 13F-HR Advisor Group, Inc. 49,106 52,277 6.46 1,952 2,076 6.35
2018-02-15 13F-HR Archford Capital Strategies, LLC 40,893 38,852 -4.99 1,625 1,543 -5.05
2018-02-13 13F-HR AllSquare Wealth Management LLC 21,050 21,050 0.00 837 836 -0.12
2018-02-08 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 145,282 145,282 0.00 5,775 5,772 -0.05
2018-02-14 13F-HR ROYAL BANK OF CANADA 22,772 24,132 5.97 905 959 5.97
2017-11-06 13F-HR Spot Trading L.l.c. Put 1,000 0 -100.00 38 0 -100.00
2018-02-08 13F-HR SEI INVESTMENTS CO 1,031 5,860 468.38 41 233 468.29
2018-04-19 13F-HR Versant Capital Management, Inc 5,786 5,706 -1.38 229 210 -8.30
2018-02-09 13F-HR USCA RIA LLC 372,302 372,087 -0.06 14,319 14,783 3.24
2018-02-13 13F-HR Invictus RG 18,054 10,070 -44.22 718 400 -44.29
2018-02-12 13F-HR Sheaff Brock Investment Advisors, LLC 22,957 23,052 0.41 913 916 0.33
2018-02-09 13F-HR Baird Financial Group, Inc. 32,340 26,505 -18.04 1,286 1,053 -18.12
2018-02-09 13F-HR Shell Asset Management Co 73,677 0 -100.00 2,257 0 -100.00
2018-04-17 13F-HR Monument Capital Management 35,989 36,002 0.04 1,429 1,323 -7.42
2018-02-22 13F-HR Certified Advisory Corp 109 4
2018-02-15 13F-HR National Asset Management, Inc. 9,715 10,733 10.48 387 427 10.34
2018-02-14 13F-HR Acorn Wealth Advisors, Llc 596 23
2018-02-14 13F-HR Sound Income Strategies, Llc 299,969 11,135
2018-04-16 13F-HR Raymond James Financial Services Advisors, Inc. 48,776 38,253 -21.57 1,938 1,411 -27.19
2018-02-06 13F-HR Regal Investment Advisors LLC 7,486 7,514 0.37 298 299 0.34
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,278 4,298 31.12 130 171 31.54
2018-02-02 13F-HR Aperio Group, LLC 6,524 6,477 -0.72 259 257 -0.77
2018-01-02 13F-HR American Financial Network Advisory Services Llc 12,878 14,531 12.84 512 577 12.70
2018-01-19 13F-HR Financial Management Professionals, Inc. 26,229 26,249 0.08 1,042 1,042 0.00
2017-11-29 N-Q Nuveen Tax-advantaged Dividend Growth Fund (see advisory)
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 12,162 10,695 -12.06 483 424 -12.22
2018-01-16 13F-HR OPTIMUM INVESTMENT ADVISORS 31,605 31,605 0.00 1,256 1,256 0.00
2018-02-06 13F-HR Russell Investments Group, Ltd. 6,100 244
2017-10-30 N-Q Delaware Group Equity Funds V (see advisory)
2018-02-01 13F-HR CIBC World Markets Inc. 23,477 20,255 -13.72 933 805 -13.72
2018-02-14 13F-HR CLEARBRIDGE, LLC 235,775 260,301 10.40 9,372 10,342 10.35
2018-02-01 13F-HR Kovack Advisors, Inc. 26,241 1,043
2018-02-13 13F-HR BANK OF NOVA SCOTIA 194,000 194,000 0.00 7,712 7,708 -0.05
2018-02-14 13F-HR Paloma Partners Management Co 0 7,932 0 315
2018-02-14 13F-HR Cubist Systematic Strategies, LLC 0 11,510 0 457
2017-11-08 13F-HR ICON ADVISERS INC/CO 42,400 0 -100.00 1,631 0 -100.00
2018-03-28 13F-HR Chicago Partners Investment Group LLC 13,626 13,337 -2.12 542 530 -2.21
2017-11-16 13F-HR Cetera Investment Advisers 29,433 0 -100.00 1,132 0 -100.00
2018-02-13 13F-HR Yorktown Management & Research Co Inc 8,800 8,800 0.00 350 350 0.00
2018-01-26 13F-HR Nelson Roberts Investment Advisors, LLC 173 173 0.00 7 7 0.00
2018-01-30 13F-HR BESSEMER GROUP INC 25 0 -100.00 1 0 -100.00
2018-02-08 13F-HR Global X Management CO LLC 4,838 5,930 22.57 192 236 22.92
2018-01-10 13F-HR SIMPLEX TRADING, LLC Put 84 19 -77.38 4 1 -75.00
2018-02-14 13F-HR Brasada Capital Management, Lp 177,045 7,034
2018-02-20 13F-HR Pin Oak Investment Advisors Inc 425 17
2018-02-02 13F-HR Seacrest Wealth Management, Llc 1,548 62
2018-01-23 13F-HR Baystate Wealth Management LLC 350 350 0.00 14 14 0.00
2018-02-12 13F-HR KING LUTHER CAPITAL MANAGEMENT CORP 37,130 37,130 0.00 1,476 1,475 -0.07
2018-02-14 13F-HR TUDOR INVESTMENT CORP ET AL 8,065 5,512 -31.66 321 219 -31.78
2018-02-14 13F-HR MORGAN STANLEY 204,576 209,768 2.54 8,131 8,335 2.51
2018-02-15 13F-HR SANDERS MORRIS HARRIS INC. 600,214 563,170 -6.17 23,859 22,374 -6.22
2018-01-19 13F-HR Steward Partners Investment Advisory, Llc 316 316 0.00 12 12 0.00
2018-02-16 13F-HR We Are One Seven, Llc 30 1
2018-02-08 13F-HR PineBridge Investments, L.P. 24,962 24,718 -0.98 992 982 -1.01
2018-02-14 13F-HR UBS Group AG 522,129 437,531 -16.20 20,755 17,383 -16.25
2018-02-09 13F-HR Dynamic Technology Lab Private Ltd 12,435 0 -100.00 494 0 -100.00
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 5,700 0 -100.00 227 0 -100.00
2018-02-09 13F-HR Centaurus Financial, Inc. 236,353 9,390
2018-02-14 13F-HR STIFEL FINANCIAL CORP 5,880 5,740 -2.38 236 230 -2.54
2018-02-14 13F-HR COLDSTREAM CAPITAL MANAGEMENT INC 16,858 17,791 5.53 670 707 5.52
2018-04-13 13F-HR Cwm Advisors, Llc 1,400 0 -100.00 56 0 -100.00
2018-02-06 13F-HR Wellington Shields Capital Management, LLC 59,700 60,200 0.84 2,373 2,392 0.80
2018-02-09 13F-HR CITADEL ADVISORS LLC 10,906 7,343 -32.67 434 292 -32.72
2018-02-14 13F-HR BARCLAYS PLC 6,338 1,210 -80.91 252 49 -80.56
2018-02-14 13F-HR MILLENNIUM MANAGEMENT LLC 47,672 0 -100.00 1,895 0 -100.00
2018-02-12 13F-HR CITIGROUP INC Put 1,400 1,100 -21.43 56 44 -21.43
2018-02-14 13F-HR BARCLAYS PLC Call 200 0 -100.00 8 0 -100.00
2018-02-14 13F-HR Gotham Asset Management, LLC 6,365 6,475 1.73 253 257 1.58
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 160,190 160,579 0.24 6,367 6,380 0.20
2018-02-14 13F-HR BARCLAYS PLC Put 1,200 3,100 158.33 48 123 156.25
2018-02-14 13F-HR Polar Capital LLP 97,414 99,914 2.57 3,870 3,970 2.58
2018-02-09 13F-HR BlackRock Inc. 314,082 338,702 7.84 12,485 13,457 7.79
2018-02-12 13F-HR Hamilton Point Investment Advisors, LLC 48,759 50,979 4.55 1,947 2,035 4.52
2018-02-13 13F-HR Legal & General Group Plc 165,356 182,646 10.46 6,569 7,259 10.50
2017-10-26 N-Q Global X Funds (see advisory)
2018-02-27 13F-HR Rikoon Group, LLC 25,593 38,793 51.58 1,017 1,541 51.52
2018-02-08 13F-HR ADVISORY RESEARCH INC 185,510 148,135 -20.15 7,374 5,885 -20.19
2018-02-05 13F-HR SILVER CAPITAL MANAGEMENT LLC 21,810 21,810 0.00 868 867 -0.12
2018-04-10 13F-HR Gradient Investments LLC 576 609 5.73 23 22 -4.35
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 14,000 15,100 7.86 557 600 7.72
2018-02-14 13F-HR Frontier Wealth Management LLC 11,000 9,000 -18.18 437 358 -18.08
2018-02-07 13F-HR Penserra Capital Management LLC 684 0 -100.00 27 0 -100.00
2018-02-14 13F-HR WOLVERINE TRADING, LLC Put 10,000 25,700 157.00 398 1,021 156.53
2018-02-16 13F-HR SevenBridge Financial Group, LLC 100 100 0.00 4 4 0.00
2018-01-31 13F-HR Resources Investment Advisors, Inc. 6,130 8,743 42.63 244 347 42.21
2018-01-10 13F-HR SIMPLEX TRADING, LLC 4,532 1,181 -73.94 180 46 -74.44

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( MAIN / Main Street Capital Corp. ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!

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CUSIP: 56035L104