SecurityMAIN / Main Street Capital Corp. (56035L104)
Chairman and CEOFOSTER VINCENT D
Institutional Owners218
Institutional Shares15,573,649
Institutional Value$ 3,440,993,000 USD
Related MSCA / Main Street Capital Corp., 6.125% Senior Bonds due 4/1/2023
MSCA.CL / Main Street Capital Corporation

Institutional Stock Ownership and Shareholders

MAIN / Main Street Capital Corp. Institutional Ownership

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 15,573,649 shares. Largest shareholders include Burgundy Asset Management Ltd., Muzinich & Co., Inc., Price T Rowe Associates Inc /md/, Macquarie Group Ltd, Bank Of Montreal /can/, M&t Bank Corp, Sanders Morris Harris Inc., Van Eck Associates Corp, McGowan Group Asset Management, Inc., and Sound Income Strategies, Llc.
Main Street Capital Corp. (NYSE:MAIN) ownership structure 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)
2018-08-13 13F-HR Global Retirement Partners, Llc 4,258 4,352 2.21 157 166 5.73
2018-08-09 13F-HR Private Advisor Group, LLC 12,382 13,417 8.36 457 511 11.82
2018-08-14 13F-HR Invesco Ltd. 215,463 160,335 -25.59 7,951 6,102 -23.25
2018-08-10 13F-HR Burgundy Asset Management Ltd. 1,899,256 1,767,621 -6.93 70,083 67,276 -4.01
2018-08-14 13F-HR Wealthstar Advisors, Llc 8,385 8,385 0.00 309 340 10.03
2018-08-07 13F-HR Verity Asset Management, Inc. 6,150 7,429 20.80 227 283 24.67
2018-08-14 13F-HR AVALON ADVISORS, LLC 6,259 6,259 0.00 249 238 -4.42
2018-08-10 13F-HR Greenwich Investment Management, Inc. 103,091 102,383 -0.69 3,804 3,897 2.44
2018-07-24 13F-HR Squar Milner Financial Services Llc 240 9
2018-08-14 13F-HR D. E. Shaw & Co., Inc. 0 33,415 0 1,272
2018-07-05 13F-HR Cerebellum Gp, Llc 101 4
2018-07-13 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 111,153 120,262 8.20 4,101 4,577 11.61
2018-04-16 13F-HR IFC Holdings Incorporated/FL 7,029 0 -100.00 276 0 -100.00
2018-08-09 13F-HR BlackRock Inc. 300,926 245,206 -18.52 11,104 9,333 -15.95
2018-08-03 13F-HR Financial Architects, Inc 1,000 1,000 0.00 37 38 2.70
2018-08-08 13F-HR Poehling Capital Management, Llc 1,300 1,300 0.00 48 49 2.08
2018-08-14 13F-HR ADVISORY RESEARCH INC 159,859 131,959 -17.45 5,899 5,022 -14.87
2018-08-03 13F-HR Global Financial Private Capital, LLC 12,534 6,338 -49.43 463 241 -47.95
2018-07-30 13F-HR/A Virtu Financial LLC 0 7,313 0 278
2018-08-13 13F-HR GROUP ONE TRADING, L.P. Put 400 100 -75.00 15 4 -73.33
2018-08-10 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 14,478 15,067 4.07 536 573 6.90
2018-08-13 13F-HR Hudson Bay Capital Management LP Call 25,000 25,000 0.00 923 952 3.14
2018-08-14 13F-HR CLEARBRIDGE, LLC 261,086 295,174 13.06 9,634 11,234 16.61
2018-07-31 13F-HR Sumitomo Mitsui Asset Management Company, LTD 150,239 123,108 -18.06 5,543 4,685 -15.48
2018-08-22 13F-HR/A Advisors Asset Management, Inc. 22,162 0 -100.00 789 0 -100.00
2018-08-06 13F-HR Navellier & Associates Inc 5,448 5,375 -1.34 201 205 1.99
2018-07-05 13F-HR Clarus Wealth Advisors 1,410 52
2017-08-18 13F-HR WFG Advisors, LP 9,835 18,624 89.36 376 716 90.43
2017-07-27 13F-HR Spot Trading L.l.c. Call 13,600 523
2018-08-13 13F-HR WOLVERINE TRADING, LLC Put 13,700 13,700 0.00 506 506 0.00
2018-07-17 13F-HR Baystate Wealth Management LLC 350 354 1.14 13 14 7.69
2018-08-14 13F-HR Marshall Wace North America L.P. 9,210 351
2018-05-09 13F-HR OPTIMUM INVESTMENT ADVISORS 31,605 31,605 0.00 1,256 1,166 -7.17
2018-08-14 13F-HR SUSQUEHANNA FUNDAMENTAL INVESTMENTS, LLC 20,648 786
2018-08-10 13F-HR Regal Investment Advisors LLC 7,094 6,925 -2.38 262 264 0.76
2018-07-09 13F-HR Founders Capital Management 600 600 0.00 22 23 4.55
2018-08-14 13F-HR Financial Gravity Wealth, Inc. 62 59 -4.84 2 2 0.00
2018-08-14 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,594 3,884 8.07 133 148 11.28
2018-08-14 13F-HR Ionic Capital Management LLC Call 50,000 50,000 0.00 1,845 1,903 3.14
2018-07-30 13F-HR SIMPLEX TRADING, LLC 16,375 0 -100.00 604 0 -100.00
2018-08-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 20,295 0 -100.00 749 0 -100.00
2018-07-25 13F-HR Capital Impact Advisors, LLC 38,983 0 -100.00 1,438 0 -100.00
2018-08-08 13F-HR US BANCORP \DE\ 2,922 2,653 -9.21 108 101 -6.48
2018-07-30 13F-HR Aperio Group, LLC 19,717 6,257 -68.27 728 238 -67.31
2018-08-09 13F-HR PineBridge Investments, L.P. 28,492 27,799 -2.43 1,051 1,058 0.67
2018-08-07 13F-HR American Financial Network Advisory Services Llc 11 9 -18.18 409 334 -18.34
2018-07-13 13F-HR BANK OF MONTREAL /CAN/ 614,587 567,557 -7.65 22,678 21,602 -4.74
2018-07-19 13F-HR MYCIO WEALTH PARTNERS, LLC 11,500 11,500 0.00 424 438 3.30
2018-07-25 13F-HR JFS WEALTH ADVISORS, LLC 400 0 -100.00 15 0 -100.00
2018-08-14 13F-HR MACQUARIE GROUP LTD 979,812 971,655 -0.83 36,155 36,981 2.28
2018-08-17 13F-HR Trilogy Capital Inc. 23 1
2018-08-13 13F-HR KING LUTHER CAPITAL MANAGEMENT CORP 37,130 37,130 0.00 1,370 1,413 3.14
2018-08-14 13F-HR TWO SIGMA INVESTMENTS LLC 15,632 0 -100.00 577 0 -100.00
2018-08-14 13F-HR Lido Advisors, LLC 9,461 7,061 -25.37 349 268 -23.21
2018-08-13 13F-HR Hillsdale Investment Management Inc. 0 230 0 9
2018-08-14 13F-HR Schonfeld Strategic Advisors LLC 6,606 0 -100.00 244 0 -100.00
2018-07-18 13F-HR Hamilton Point Investment Advisors, LLC 52,991 53,021 0.06 1,965 2,028 3.21
2018-08-13 13F-HR Archford Capital Strategies, LLC 38,852 35,946 -7.48 1,544 1,368 -11.40
2017-05-01 13F-HR Spot Trading L.L.C Call 30,100 1,152
2018-08-13 13F-HR VAN ECK ASSOCIATES CORP 392,447 413,929 5.47 14,481 15,754 8.79
2018-07-27 13F-HR Eqis Capital Management, Inc. 6,155 7,071 14.88 227 269 18.50
2018-08-09 13F-HR GAM Holding AG 23,383 890
2018-08-08 13F-HR USCA RIA LLC 352,069 347,040 -1.43 12,991 13,208 1.67
2018-08-02 13F-HR Sigma Planning Corp 33,834 26,682 -21.14 1,248 1,016 -18.59
2018-08-13 13F-HR/A Robeco Institutional Asset Management B.V. 64,591 64,591 0.00 2,390 2,465 3.14
2018-08-14 13F-HR Rikoon Group, LLC 36,193 35,643 -1.52 1,330 1,357 2.03
2018-05-11 13F-HR CITIGROUP INC 5,284 6,187 17.09 210 228 8.57
2018-08-01 13F-HR TrueNorth, Inc. 0 99 0 4
2018-08-06 13F-HR Partnervest Advisory Services LLC 43,229 44,137 2.10 1,595 1,679 5.27
2018-08-15 13F-HR Focused Wealth Management, Inc 17,074 16,952 -0.71 630 645 2.38
2018-07-11 13F-HR Gierl Augustine Investment Management Inc 99,705 108,730 9.05 3,679 4,138 12.48
2018-08-10 13F-HR Cambridge Investment Research Advisors, Inc. 68,402 74,814 9.37 2,524 2,847 12.80
2018-07-25 13F-HR LifePlan Financial Group, Inc 783 783 0.00 29 30 3.45
2018-07-12 13F-HR WEBSTER BANK, N. A. 750 750 0.00 28 29 3.57
2018-08-13 13F-HR Baird Financial Group, Inc. 22,939 21,871 -4.66 846 832 -1.65
2018-08-14 13F-HR Gotham Asset Management, LLC 8,550 0 -100.00 315 0 -100.00
2018-08-14 13F-HR MORGAN STANLEY 159,930 164,609 2.93 5,902 6,265 6.15
2018-07-20 13F-HR Steward Partners Investment Advisory, Llc 10,101 13,542 34.07 372 515 38.44
2018-08-13 13F-HR GROUP ONE TRADING, L.P. Call 5,000 5,000 0.00 185 190 2.70
2018-08-14 13F-HR Resources Investment Advisors, Inc. 9,143 7,937 -13.19 337 302 -10.39
2018-08-14 13F-HR/A CITADEL ADVISORS LLC 8,883 7,032 -20.84 328 268 -18.29
2018-08-22 13F-HR PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 35,550 35,550 0.00 1,312 1,353 3.13
2018-08-03 13F-HR SEI INVESTMENTS CO 7,021 5,720 -18.53 259 218 -15.83
2018-04-30 13F-HR Oak Point Wealth Management 200 200 0.00 8 7 -12.50
2018-08-15 13F-HR GLENMEDE TRUST CO NA 1,070 1,070 0.00 42 41 -2.38
2018-08-14 13F-HR AMERIPRISE FINANCIAL INC 24,322 28,606 17.61 898 1,089 21.27
2018-08-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 6,919 0 -100.00 255 0 -100.00
2018-07-06 13F-HR DnB Asset Management AS 101,712 74,612 -26.64 3,754,190 2,839,733 -24.36
2018-08-03 13F-HR Dean Capital Investments Management, Llc 10,129 14,137 39.57 374 538 43.85
2018-08-14 13F-HR BARCLAYS PLC 1,784 5,767 223.26 65 219 236.92
2018-08-13 13F-HR Advisor Group, Inc. 23,089 24,211 4.86 851 921 8.23
2018-08-14 13F-HR PEAK6 Investments, L.P. 7,052 2,834 -59.81 260 108 -58.46
2018-08-10 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 11,297 11,332 0.31 416 430 3.37
2018-08-14 13F-HR Parallax Volatility Advisers, L.P. 6,014 0 -100.00 222 0 -100.00
2018-05-04 13F-HR Financial Gravity Companies, Inc. 52 62 19.23 2 2 0.00
2018-08-14 13F-HR JP Morgan Chase & Co 44,584 20,495 -54.03 1,644 780 -52.55
2018-07-12 13F-HR CONFLUENCE INVESTMENT MANAGEMENT LLC 86,673 86,101 -0.66 3,198 3,277 2.47
2018-07-17 13F-HR MILLER HOWARD INVESTMENTS INC /NY 131,648 131,648 0.00 4,858 5,011 3.15
2018-08-13 13F-HR RAYMOND JAMES & ASSOCIATES 92,436 109,589 18.56 3,411 4,171 22.28
2018-07-24 13F-HR ACADIAN ASSET MANAGEMENT LLC 14,942 0 -100.00 551 0 -100.00
2018-08-03 13F-HR Parkside Financial Bank & Trust 268 10
2018-08-10 13F-HR Acorn Wealth Advisors, Llc 596 596 0.00 23 23 0.00
2018-07-30 13F-HR Raymond James Financial Services Advisors, Inc. 38,253 41,984 9.75 1,411 1,598 13.25
2018-08-14 13F-HR BANK OF AMERICA CORP /DE/ 22,456 22,532 0.34 828 858 3.62
2018-05-15 13F-HR National Asset Management, Inc. 10,733 13,450 25.31 427 496 16.16
2018-08-10 13F-HR Calton & Associates, Inc. 13,108 11,433 -12.78 484 464 -4.13
2018-08-14 13F-HR CAPITAL FUND MANAGEMENT S.A. 43,600 37,900 -13.07 1,609 1,442 -10.38
2018-08-14 13F-HR/A CITADEL ADVISORS LLC Put 18,000 20,300 12.78 664 773 16.42
2018-08-09 13F-HR D'Orazio & Associates, Inc. 30 31 3.33 1 1 0.00
2018-08-14 13F-HR UBS Group AG 249,214 199,099 -20.11 9,196 7,577 -17.61
2018-07-20 13F-HR Creative Planning 24,934 27,827 11.60 920 1,059 15.11
2018-08-08 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 300 0 -100.00 11 0 -100.00
2018-08-14 13F-HR DEUTSCHE BANK AG\ 86,580 200,010 131.01 3,194 7,612 138.32
2018-08-22 13F-HR McAdam, LLC 155 6
2018-08-13 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 60,548 59,762 -1.30 2,234 2,274 1.79
2018-08-14 13F-HR BlueCrest Capital Management Ltd 14,718 0 -100.00 543 0 -100.00
2018-07-31 13F-HR EAGLE GLOBAL ADVISORS LLC 16,400 16,400 0.00 605 624 3.14
2017-01-13 13F-HR MetLife Securities, Inc 48,623 36,933 -24.04 1,669 1,358 -18.63
2018-08-14 13F-HR FLAGSHIP HARBOR ADVISORS, LLC 130 4
2018-08-14 13F-HR STIFEL FINANCIAL CORP 5,747 5,837 1.57 212 225 6.13
2018-08-03 13F-HR Seacrest Wealth Management, Llc 1,550 1,551 0.06 57 59 3.51
2018-08-13 13F-HR Castle Rock Wealth Management, Llc 6,795 11,717 72.44 251 446 77.69
2018-08-14 13F-HR AllSquare Wealth Management LLC 20,050 20,050 0.00 740 763 3.11
2018-05-11 13F-HR CITIGROUP INC Call 6,100 8,600 40.98 242 317 30.99
2018-08-10 13F-HR CITIGROUP INC 6,187 15,335 147.86 228 584 156.14
2018-08-20 13F-HR GREEN SQUARE CAPITAL LLC 0 5,326 0 203
2018-07-27 13F-HR CULLEN/FROST BANKERS, INC. 9,067 27,083 198.70 335 1,031 207.76
2017-07-27 13F-HR Spot Trading L.l.c. Put 1,000 38
2018-07-23 13F-HR FARMERS & MERCHANTS INVESTMENTS INC 445 445 0.00 16 17 6.25
2018-08-06 13F-HR HL FINANCIAL SERVICES LLC 24,629 21,734 -11.75 909 827 -9.02
2018-08-08 13F-HR Hanson McClain, Inc. 705 705 0.00 26 27 3.85
2018-08-07 13F-HR IFP Advisors, Inc 8,155 10,809 32.54 301 411 36.54
2018-08-14 13F-HR Brasada Capital Management, Lp 179,683 168,158 -6.41 6,630 6,400 -3.47
2018-08-02 13F-HR Atlantic Trust Group, LLC 44,618 46,735 4.74 1,646 1,779 8.08
2018-08-13 13F-HR First City Capital Management, Inc. 12,150 12,000 -1.23 448 457 2.01
2018-08-10 13F-HR Midwest Professional Planners, Ltd. 366 366 0.00 14 14 0.00
2018-08-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 96,100 81,100 -15.61 3,546 3,087 -12.94
2018-08-13 13F-HR MML INVESTORS SERVICES, LLC 22,362 17,257 -22.83 825 657 -20.36
2018-08-14 13F-HR SevenBridge Financial Group, LLC 100 100 0.00 4 4 0.00
2018-08-14 13F-HR Dynamic Technology Lab Private Ltd 25,438 0 -100.00 939 0 -100.00
2018-08-01 13F-HR Financial Management Professionals, Inc. 26,302 27,576 4.84 971 1,050 8.14
2018-08-13 13F-HR BB&T SECURITIES, LLC 12,929 7,559 -41.53 477 287 -39.83
2018-07-12 13F-HR/A Cx Institutional 200 8
2018-08-14 13F-HR ROYAL BANK OF CANADA 59,343 72,302 21.84 2,190 2,751 25.62
2018-08-13 13F-HR Wilks Brothers, LLC 25,900 986
2018-08-13 13F-HR BOKF, NA 25,825 25,825 0.00 953 983 3.15
2018-07-30 13F-HR SIMPLEX TRADING, LLC Put 213 1 -99.53 65 3 -95.38
2018-08-03 13F-HR Barnett & Company, Inc. 50,357 50,357 0.00 1,858 1,917 3.18
2018-05-15 13F-HR We Are One Seven, Llc 30 10 -66.67 1 0 -100.00
2018-07-23 13F-HR DELTA ASSET MANAGEMENT LLC/TN 128 128 0.00 5 5 0.00
2018-08-14 13F-HR BARCLAYS PLC Call 2,000 700 -65.00 74 27 -63.51
2018-08-23 13F-HR/A SCHRODER INVESTMENT MANAGEMENT GROUP 19,400 0 -100.00 716 0 -100.00
2018-07-19 13F-HR Callahan Advisors, LLC 11,176 11,310 1.20 412 430 4.37
2018-08-02 13F-HR Adviser Investments LLC 1,150 44
2018-07-09 13F-HR KEMPNER CAPITAL MANAGEMENT INC. 5,500 5,500 0.00 203 209 2.96
2018-04-23 13F-HR SILVER CAPITAL MANAGEMENT LLC 21,810 21,810 0.00 867 38 -95.62
2018-08-13 13F-HR WOLVERINE TRADING, LLC 6,515 6,515 0.00 240 240 0.00
2018-08-13 13F-HR BlueMountain Capital Management, LLC 8,756 10,255 17.12 323 390 20.74
2018-08-31 13F-HR Chicago Partners Investment Group LLC 11,330 11,498 1.48 418 438 4.78
2018-08-14 13F-HR Patriot Financial Group Insurance Agency, LLC 0 150 0 6
2018-07-31 13F-HR Allianz Life Insurance Co Of North America 16,205 22,958 41.67 598 874 46.15
2018-08-13 13F-HR HONKAMP KRUEGER FINANCIAL SERVICES INC /ADV 928 0 -100.00 34 0 -100.00
2018-08-10 13F-HR Opus Capital Group, LLC 47,048 46,983 -0.14 1,736 1,788 3.00
2018-08-10 13F-HR Yorktown Management & Research Co Inc 8,800 9,944 13.00 325 378 16.31
2018-08-14 13F-HR Kalos Management, Inc. 12,846 12,063 -6.10 497 486 -2.21
2018-08-10 13F-HR Cutler Group LP Call 1,000 0 -100.00 0 0
2018-08-07 13F-HR Texas Yale Capital Corp. 76,573 82,273 7.44 2,826 3,131 10.79
2018-08-13 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 1,700 1,700 0.00 63 65 3.17
2018-08-14 13F-HR GOLDMAN SACHS GROUP INC 23,959 50,033 108.83 884 1,904 115.38
2018-07-24 13F-HR Janney Montgomery Scott LLC 17,661 18,014 2.00 652 686 5.21
2018-08-14 13F-HR Sound Income Strategies, Llc 322,352 355,931 10.42 11,895 13,547 13.89
2018-07-31 13F-HR Commonwealth Equity Services, Llc. 78,382 82,869 5.72 2,892 3,154 9.06
2018-08-14 13F-HR MILLENNIUM MANAGEMENT LLC 140,737 7,529 -94.65 5,193 287 -94.47
2018-08-09 13F-HR Gradient Investments LLC 609 576 -5.42 22 22 0.00
2018-08-14 13F-HR Centaurus Financial, Inc. 250,183 275,724 10.21 9,232 10,494 13.67
2018-07-09 13F-HR CENTRAL TRUST Co 100 4
2018-08-13 13F-HR Stratos Wealth Partners, LTD. 57,981 54,323 -6.31 2,140 2,068 -3.36
2018-07-26 13F-HR REGIONS FINANCIAL CORP 1,061 656 -38.17 39 25 -35.90
2018-08-09 13F-HR GSA CAPITAL PARTNERS LLP 0 8,604 0 327
2017-08-07 13F-HR Geneva Advisors, LLC 44,092 56,135 27.31 1,687 2,159 27.98
2018-08-14 13F-HR FIFTH THIRD BANCORP 6,600 6,600 0.00 244 251 2.87
2018-08-14 13F-HR Cetera Advisor Networks LLC 8,892 9,011 1.34 329 342 3.95
2018-07-18 13F-HR NISA INVESTMENT ADVISORS L.L.C. 2,000 2,000 0.00 71 76 7.04
2018-07-10 13F-HR SANDERS MORRIS HARRIS INC. 420,717 417,403 -0.79 15,524 15,887 2.34
2018-07-16 13F-HR Guild Investment Management, Inc. 29,104 1,108
2018-08-14 13F-HR/A CITADEL ADVISORS LLC Call 0 7,000 0 266
2018-08-09 13F-HR Bay Colony Advisory Group, Inc D/b/a Bay Colony Advisors 1,144 44
2018-07-09 13F-HR Capital Investment Advisors, LLC 41,378 41,568 0.46 1,527 1,582 3.60
2018-08-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 176,047 176,047 0.00 6,469 6,469 0.00
2018-08-15 13F-HR JANE STREET GROUP, LLC Call 20,000 20,000 0.00 738 761 3.12
2018-08-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 49,000 75,700 54.49 1,808 2,881 59.35
2018-08-13 13F-HR Certified Advisory Corp 386 1,888 389.12 14 72 414.29
2018-08-15 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 120,945 108,916 -9.95 4,463 4,145 -7.13
2017-02-10 13F-HR BlackRock Group LTD 241,231 337,034 39.71 8,281 12,393 49.66
2018-08-01 13F-HR WELLS FARGO & COMPANY/MN 69,403 53,121 -23.46 2,561 2,023 -21.01
2018-08-14 13F-HR HighTower Advisors, LLC 103,446 149,127 44.16 3,818 5,689 49.00
2018-08-13 13F-HR Quantbot Technologies LP 1,898 1,714 -9.69 70 65 -7.14
2018-08-08 13F-HR Whitener Capital Management, Inc. 8,170 8,620 5.51 301 328 8.97
2018-07-30 13F-HR SIMPLEX TRADING, LLC Call 19 20 5.26 0 76
2018-07-17 13F-HR Nelson Roberts Investment Advisors, LLC 173 173 0.00 6 7 16.67
2018-08-10 13F-HR Amerivest Investment Management LLC 1,035 39
2018-07-27 13F-HR Advisory Services Network, LLC 59,348 62,697 5.64 2,190 2,470 12.79
2018-05-11 13F-HR CITIGROUP INC Put 1,100 6,700 509.09 44 247 461.36
2018-08-14 13F-HR GUGGENHEIM CAPITAL LLC 68,528 63,519 -7.31 2,529 2,418 -4.39
2018-08-14 13F-HR Tower Research Capital LLC (TRC) 16,797 0 -100.00 620 0 -100.00
2018-08-14 13F-HR Bridgeworth, LLC 20,622 20,622 0.00 759 784 3.29
2018-07-20 13F-HR Cornerstone Wealth Management, LLC 91,020 2,392
2018-07-30 13F-HR Parallel Advisors, LLC 1,354 1,273 -5.98 50 48 -4.00
2017-11-08 13F-HR Friedberg Investment Management 162,908 23,413 -85.63 6,265 931 -85.14
2018-08-14 13F-HR PEAK6 Investments, L.P. Put 18,800 18,800 0.00 694 716 3.17
2018-07-10 13F-HR Shamrock Asset Management LLC 2,220 2,220 0.00 85 84 -1.18
2018-08-01 13F-HR Hudock Capital Group, LLC 182 443 143.41 6 16 166.67
2018-08-10 13F-HR CITIGROUP INC Put 6,700 9,500 41.79 247 362 46.56
2018-09-18 13F-HR/A NORTHERN TRUST CORP 31,741 29,541 -6.93 1,171 1,124 -4.01
2018-08-07 13F-HR Lexaurum Advisors, Llc 24,666 0 -100.00 1 0 -100.00
2018-08-08 13F-HR Ausdal Financial Partners, Inc. 5,671 5,778 1.89 209 220 5.26
2018-07-31 13F-HR HOWE & RUSLING INC 333 0 -100.00 12 0 -100.00
2018-07-25 13F-HR BNP PARIBAS ARBITRAGE, SA 386 386 0.00 14,243 14,691 3.15
2018-08-14 13F-HR MILES CAPITAL, INC. 25,692 24,583 -4.32 948 936 -1.27
2018-08-14 13F-HR Valeo Financial Advisors, Llc 539 544 0.93 20 22 10.00
2018-08-14 13F-HR Clearbridge Investments, LLC 26 31 19.23 1 1 0.00
2018-08-13 13F-HR McGowan Group Asset Management, Inc. 411,498 406,622 -1.18 15,184 15,476 1.92
2018-05-14 13F-HR Muzinich & Co., Inc. 1,896,424 1,416,818 -25.29 75,345 52,281 -30.61
2018-08-14 13F-HR LPL Financial LLC 116,556 108,140 -7.22 4,301 4,116 -4.30
2018-08-10 13F-HR WASHINGTON TRUST Co 100 4
2018-08-03 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 146,027 149,292 2.24 5,388 5,682 5.46
2018-08-15 13F-HR Pin Oak Investment Advisors Inc 200 280 40.00 7 11 57.14
2018-07-31 13F-HR Sheaff Brock Investment Advisors, LLC 24,240 23,686 -2.29 894 901 0.78
2018-08-13 13F-HR Westside Investment Management, Inc. 34 0 -100.00 1,249 0 -100.00
2018-08-10 13F-HR Legal & General Group Plc 218,073 229,561 5.27 8,051 8,736 8.51
2017-01-23 13F-HR CenterStar Fund, LLC Call 18
2018-08-13 13F-HR IHT Wealth Management, LLC 21,453 23,511 9.59 789 895 13.43
2018-08-02 13F-HR Wellington Shields Capital Management, LLC 60,350 21,850 -63.79 2,227 832 -62.64
2018-08-13 13F-HR WESTWOOD HOLDINGS GROUP INC 1,400 1,400 0.00 52 53 1.92
2018-08-10 13F-HR CITIGROUP INC Call 8,600 4,500 -47.67 317 171 -46.06
2018-08-07 13F-HR Trexquant Investment LP 13,061 0 -100.00 482 0 -100.00
2018-08-13 13F-HR BLAIR WILLIAM & CO/IL 110,070 108,357 -1.56 4,062 4,124 1.53
2018-07-17 13F-HR Edge Wealth Management LLC 400 500 25.00 15 19 26.67
2018-02-02 13F-HR Texan Capital Management 140,953 134,911 -4.29 5,603 5,360 -4.34
2018-07-30 13F-HR Sequent Asset Management, LLC 29,837 0 -100.00 1,142 0 -100.00
2018-08-13 13F-HR OXFORD ASSET MANAGEMENT 22,900 871
2018-08-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 992,478 987,939 -0.46 36,622 37,601 2.67
2018-08-08 13F-HR Sapphire Star Partners LP 13,974 14,930 6.84 516 568 10.08
2018-08-14 13F-HR Point72 Asset Management, L.P. 24,267 0 -100.00 895 0 -100.00
2018-08-14 13F-HR BARCLAYS PLC Put 1,600 0 -100.00 59 0 -100.00
2018-07-06 13F-HR Versant Capital Management, Inc 5,706 4,172 -26.88 210 158 -24.76
2017-05-10 13F-HR Concert Wealth Management Inc. 8,955 8,921 -0.38 330 329 -0.30
2018-07-17 13F-HR Monument Capital Management 36,002 32,083 -10.89 1,323 1,221 -7.71
2018-08-01 13F-HR CNO Financial Group, Inc. 140,000 300,000 114.29 5,166 11,418 121.02
2018-08-14 13F-HR Cetera Advisors LLC 24,522 21,627 -11.81 906 825 -8.94
2018-08-16 13F-HR Global X Management CO LLC 6,671 7,039 5.52 246 268 8.94
2018-08-10 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,459 1,559 6.85 54 59 9.26
2018-07-25 13F-HR Carlson Capital Management 65,380 65,380 0.00 2,413 2,488 3.11
2018-02-16 13F-HR/A Commonwealth Equity Services, Inc 97,856 103,123 5.38 3,764 4,099 8.90
2018-08-15 13F-HR JANE STREET GROUP, LLC 12,229 0 -100.00 451 0 -100.00
2018-07-19 13F-HR A. D. Beadell Investment Counsel, Inc. 13,980 13,980 0.00 515 532 3.30
2018-08-10 13F-HR M&T BANK CORP 475,756 471,000 -1.00 17,555 17,927 2.12
2018-08-14 13F-HR Squarepoint Ops LLC 9,210 0 -100.00 340 0 -100.00
2018-08-08 13F-HR CIBC World Markets Inc. 18,444 17,140 -7.07 681 652 -4.26
2018-08-14 13F-HR Cubist Systematic Strategies, LLC 8,973 0 -100.00 331 0 -100.00
2018-07-17 13F-HR Kistler-Tiffany Companies, LLC 160 160 0.00 6 6 0.00

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