SecuritySGDJ / Sprott Junior Gold Miners ETF (00162Q585)
Institutional Owners21 (3 N-Q Owners)
Institutional Shares2,882,799 (ex. N-Q)
Institutional Value$ 86,433,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

Sprott Junior Gold Miners ETF (NYSE:SGDJ) has 21 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 2,882,799 shares. Largest shareholders include Credit Suisse Ag/, UBS Group AG, Citigroup Inc, Virtu Financial LLC, Scotia Capital Inc., Susquehanna International Group, Llp, Ladenburg Thalmann Financial Services Inc, LPL Financial LLC, Ballew Advisors, Inc, and Bank Of America Corp /de/.
Sprott Junior Gold Miners ETF (NYSE:SGDJ) 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
Prev Value
Current Value
2018-05-15 13F-HR Advisor Group, Inc. 1,100 1,100 0.00 37 33 -10.81
2018-05-15 13F-HR LPL Financial LLC 13,522 12,505 -7.52 454 375 -17.40
2018-04-10 13F-HR Hartford Financial Management Inc. 200 5
2018-05-15 13F-HR SCOTIA CAPITAL INC. 33,625 30,450 -9.44 1,130 912 -19.29
2018-03-29 N-Q Direxion Shares Etf Trust (see advisory)
2018-05-14 13F-HR Virtu Financial LLC 26,081 47,662 82.75 876 1,427 62.90
2018-05-09 13F-HR LINCOLN NATIONAL CORP 10,400 0 -100.00 349 0 -100.00
2018-05-11 13F-HR First Allied Advisory Services, Inc. 5,275 0 -100.00 181 0 -100.00
2018-05-15 13F-HR UBS Group AG 720,000 726,468 0.90 24,192 21,758 -10.06
2018-05-18 13F-HR/A ROYAL BANK OF CANADA 6,687 467 -93.02 225 14 -93.78
2018-05-15 13F-HR CREDIT SUISSE AG/ 1,400,000 1,400,000 0.00 47,040 41,930 -10.86
2018-05-15 13F-HR JANE STREET GROUP, LLC 21,088 0 -100.00 709 0 -100.00
2018-04-16 13F-HR National Planning Corp 60 0 -100.00 2,016 0 -100.00
2018-04-12 13F-HR Prospera Financial Services 14,085 0 -100.00 479 0 -100.00
2018-05-07 13F-HR Ballew Advisors, Inc 10,000 10,000 0.00 336 300 -10.71
2018-04-04 N-Q Bertolet Capital Trust (see advisory)
2018-05-11 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 266 266 0.00 9 8 -11.11
2018-05-15 13F-HR BANK OF AMERICA CORP /DE/ 2,398 2,964 23.60 80 89 11.25
2018-05-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 13,617 21,467 57.65 458 643 40.39
2018-05-11 13F-HR CITIGROUP INC 600,000 600,000 0.00 20,160 18,063 -10.40
2018-05-09 13F-HR IFP Advisors, Inc 300 300 0.00 10 9 -10.00
2018-04-27 N-Q Alps Etf Trust (see advisory)
2018-04-18 13F-HR REGIONS FINANCIAL CORP 500 500 0.00 17 15 -11.76
2018-05-15 13F-HR BARCLAYS PLC 560 560 0.00 19 17 -10.53
2018-05-15 13F-HR BLAIR WILLIAM & CO/IL 1,000 30

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.


  • 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 ( SGDJ / Sprott Junior Gold Miners ETF ), 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: 00162Q585