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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 04/29/2024 | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | 2.34 M | $20.37 M | -9.33% | 13.68% |
| 07/09/2024 | LAZARD ASSET MANAGEMENT LLC | 1.96 M | $17.09 M | -7.96% | 11.47% |
| 05/13/2024 | 1607 CAPITAL PARTNERS, LLC | 1.65 M | $14.39 M | 1.30% | 9.66% |
| 05/10/2024 | CITY OF LONDON INVESTMENT MANAGEMENT CO LTD | 968,443 | $8.44 M | -20.93% | 5.66% |
| 05/13/2024 | SHAKER FINANCIAL SERVICES, LLC | 321,746 | $2.80 M | 5.15% | 1.88% |
| 04/19/2024 | UNCOMMON CENTS INVESTING LLC | 308,220 | $2.68 M | 0.46% | 1.80% |
| 05/14/2024 | GABELLI FUNDS LLC | 268,500 | $2.34 M | 0.00% | 1.57% |
| 05/13/2024 | KARPUS MANAGEMENT, INC. | 115,383 | $1.00 M | 404.25% | 0.67% |
| 05/15/2024 | AQR ARBITRAGE LLC | 98,512 | $858,040 | 38.28% | 0.58% |
| 05/15/2024 | ROYAL BANK OF CANADA | 92,944 | $810,000 | -0.61% | 0.54% |
| 05/15/2024 | LOGAN STONE CAPITAL, LLC | 84,386 | $735,002 | 133.76% | 0.49% |
| 04/30/2024 | MATISSE CAPITAL | 61,001 | $531,318 | 100.00% | 0.36% |
| 05/15/2024 | CSS LLC/IL | 60,526 | $527,181 | 2.54% | 0.35% |
| 05/13/2024 | WOLVERINE ASSET MANAGEMENT LLC | 58,038 | $505,510 | 99.70% | 0.34% |
| 05/09/2024 | LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | 37,329 | $325,136 | 41.76% | 0.22% |
| 05/07/2024 | ARNHOLD LLC | 32,643 | $284,321 | 0.00% | 0.19% |
| 05/10/2024 | LPL FINANCIAL LLC | 25,041 | $218,110 | 109.09% | 0.15% |
| 05/13/2024 | SMITH, MOORE & CO. | 24,560 | $213,920 | 0.00% | 0.14% |
| 05/14/2024 | GAMCO INVESTORS, INC. ET AL | 23,112 | $201,306 | 0.00% | 0.14% |
| 05/02/2024 | SIGMA PLANNING CORP | 19,576 | $170,508 | 0.66% | 0.11% |
| 05/13/2024 | MERIDIAN INVESTMENT COUNSEL INC. | 17,381 | $151,385 | 0.68% | 0.10% |
| 05/13/2024 | RELATIVE VALUE PARTNERS GROUP, LLC | 15,764 | $131,316 | 0.27% | 0.09% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 12,398 | $107,987 | -35.57% | 0.07% |
| 05/13/2024 | UBS GROUP AG | 12,398 | $107,987 | -16.33% | 0.07% |
| 05/15/2024 | MORGAN STANLEY | 11,258 | $98,057 | -4.11% | 0.07% |
| 05/15/2024 | BANK OF AMERICA CORP /DE/ | 10,510 | $91,545 | -71.42% | 0.06% |
| 05/08/2024 | ACORN FINANCIAL ADVISORY SERVICES INC /ADV | 10,462 | $91,124 | 0.00% | 0.06% |
| 05/10/2024 | WELLS FARGO & COMPANY/MN | 3,595 | $31,315 | -6.87% | 0.02% |
| 05/10/2024 | ADVISOR GROUP HOLDINGS, INC. | 3,007 | $26,194 | 0.27% | 0.02% |
| 05/10/2024 | PNC FINANCIAL SERVICES GROUP, INC. | 2,275 | $19,816 | -1.47% | 0.01% |
| 05/13/2024 | THOMAS J. HERZFELD ADVISORS, INC. | 1,453 | $12,656 | 0.00% | 0.01% |
| 05/08/2024 | US BANCORP \DE\ | 983 | $8,562 | 0.00% | 0.01% |
| 04/05/2024 | CWM, LLC | 589 | $5,000 | 100.00% | 0.00% |
| 04/25/2024 | ALLWORTH FINANCIAL LP | 314 | $2,736 | 0.00% | 0.00% |
| 05/14/2024 | ALMITAS CAPITAL LLC | 0 | $0 | -100.00% | 0.00% |
| 04/11/2024 | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | 0 | $0 | -100.00% | 0.00% |
A. During the previous two years, 50 institutional investors and hedge funds held shares of The New Germany Fund, Inc.. The most heavily invested institutionals were:
CWM, LLC: 589
Relative Value Partners Group, LLC: 0
Allspring Global Investments Holdings, LLC: 2.34 M
LAZARD ASSET MANAGEMENT LLC: 1.96 M
1607 Capital Partners, LLC: 1.65 M
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD: 968,443
A. 50.60% of The New Germany Fund, Inc. stock is owned by institutional investors.
A. Institutional investors have bought a total of 9.26 M shares in the last 24 months. This purchase volume represents approximately $79.94 M in transactions.
