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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 05/15/2024 | MORGAN STANLEY | 3.11 M | $52.41 M | 2.88% | 6.29% |
| 05/15/2024 | SABA CAPITAL MANAGEMENT, L.P. | 2.56 M | $43.12 M | 79.55% | 5.17% |
| 05/15/2024 | AQR ARBITRAGE LLC | 501,542 | $8.46 M | 0.22% | 1.01% |
| 05/15/2024 | ROYAL BANK OF CANADA | 492,768 | $8.31 M | 4.86% | 1.00% |
| 05/15/2024 | BOOTHBAY FUND MANAGEMENT, LLC | 373,265 | $6.29 M | 19.54% | 0.76% |
| 05/10/2024 | RPO LLC | 370,417 | $6.25 M | -3.16% | 0.75% |
| 05/15/2024 | ESCHLER ASSET MANAGEMENT LLP | 243,560 | $4.05 M | -7.59% | 0.49% |
| 04/22/2024 | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. | 242,045 | $4.08 M | -4.32% | 0.49% |
| 05/15/2024 | NEEDHAM INVESTMENT MANAGEMENT LLC | 239,006 | $4.03 M | 5.31% | 0.48% |
| 04/22/2024 | RAYMOND JAMES & ASSOCIATES | 195,740 | $3.30 M | 17.47% | 0.40% |
| 05/15/2024 | BANK OF AMERICA CORP /DE/ | 190,681 | $3.21 M | 5.77% | 0.39% |
| 05/15/2024 | QUARRY LP | 189,684 | $3.20 M | 155.32% | 0.38% |
| 05/24/2024 | CETERA INVESTMENT ADVISERS | 177,208 | $2.99 M | 46.83% | 0.36% |
| 05/09/2024 | LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | 167,811 | $2.83 M | -29.90% | 0.34% |
| 05/01/2024 | JANNEY MONTGOMERY SCOTT LLC | 162,986 | $2.75 M | 3.49% | 0.33% |
| 05/13/2024 | FIRST TRUST ADVISORS LP | 159,333 | $2.69 M | 16.68% | 0.32% |
| 05/10/2024 | LPL FINANCIAL LLC | 152,282 | $2.57 M | -7.06% | 0.31% |
| 05/13/2024 | UBS GROUP AG | 144,105 | $2.43 M | 5.61% | 0.29% |
| 05/10/2024 | ADVISOR GROUP HOLDINGS, INC. | 142,349 | $2.40 M | -4.64% | 0.29% |
| 05/14/2024 | QUANTEDGE CAPITAL PTE LTD | 140,800 | $2.37 M | -32.82% | 0.28% |
| 05/14/2024 | ADVISORS ASSET MANAGEMENT, INC. | 127,095 | $2.14 M | -12.89% | 0.26% |
| 05/15/2024 | CETERA ADVISORS LLC | 117,085 | $1.97 M | 100.00% | 0.24% |
| 05/07/2024 | OPPENHEIMER & CO INC | 113,387 | $1.91 M | 16.81% | 0.23% |
| 05/15/2024 | AMERIPRISE FINANCIAL INC | 102,485 | $1.73 M | -5.68% | 0.21% |
| 05/15/2024 | CLOUGH CAPITAL PARTNERS L P | 96,765 | $1.63 M | -70.06% | 0.20% |
| 05/10/2024 | CORNERSTONE ADVISORS, LLC | 83,502 | $1.41 M | -88.60% | 0.17% |
| 04/29/2024 | COMMONWEALTH EQUITY SERVICES, LLC | 82,674 | $1.39 M | 100.00% | 0.17% |
| 04/24/2024 | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 73,957 | $1.25 M | 5.89% | 0.15% |
| 05/16/2024 | B. RILEY WEALTH ADVISORS, INC. | 70,441 | $1.10 M | -18.12% | 0.14% |
| 04/17/2024 | CYNDEO WEALTH PARTNERS, LLC | 63,894 | $1.08 M | 0.00% | 0.13% |
| 04/25/2024 | EUDAIMONIA PARTNERS, LLC | 62,118 | $1.05 M | 5.07% | 0.13% |
| 05/15/2024 | COHEN & STEERS, INC. | 60,573 | $1.02 M | 0.00% | 0.12% |
| 05/13/2024 | SAMALIN INVESTMENT COUNSEL, LLC | 59,481 | $1.00 M | 8.06% | 0.12% |
| 05/10/2024 | PREVAIL INNOVATIVE WEALTH ADVISORS, LLC | 59,294 | $999,697 | 22.56% | 0.12% |
| 05/15/2024 | MATRIX PRIVATE CAPITAL GROUP LLC | 57,200 | $964,392 | 0.00% | 0.12% |
| 05/15/2024 | CETERA ADVISOR NETWORKS LLC | 53,645 | $904,457 | 16.95% | 0.11% |
| 05/15/2024 | AE WEALTH MANAGEMENT LLC | 46,716 | $787,638 | 3.19% | 0.09% |
| 05/14/2024 | QUBE RESEARCH & TECHNOLOGIES LTD | 45,343 | $764,483 | 2.33% | 0.09% |
| 05/14/2024 | GUGGENHEIM CAPITAL LLC | 44,121 | $743,880 | 14.24% | 0.09% |
| 05/14/2024 | INVESCO LTD. | 39,997 | $674,349 | -8.19% | 0.08% |
| 04/30/2024 | PRIVATE ADVISOR GROUP, LLC | 36,308 | $612,148 | 15.23% | 0.07% |
| 04/23/2024 | NATIONS FINANCIAL GROUP INC, /IA/ /ADV | 35,650 | $601,059 | 0.00% | 0.07% |
| 05/15/2024 | KESTRA ADVISORY SERVICES, LLC | 35,521 | $598,886 | 7.32% | 0.07% |
| 04/25/2024 | BANK OF NEW YORK MELLON CORP | 34,002 | $573,269 | 0.00% | 0.07% |
| 04/17/2024 | ALL SEASON FINANCIAL ADVISORS, INC. | 32,873 | $554,246 | 69.61% | 0.07% |
| 05/15/2024 | STEPHENS INC /AR/ | 31,760 | $535,468 | -2.15% | 0.06% |
| 05/14/2024 | NEWEDGE ADVISORS, LLC | 29,525 | $497,791 | -27.94% | 0.06% |
| 05/15/2024 | MERCER GLOBAL ADVISORS INC /ADV | 28,138 | $474,000 | -28.64% | 0.06% |
| 05/13/2024 | ENVESTNET ASSET MANAGEMENT INC | 27,210 | $458,755 | -24.15% | 0.06% |
| 05/10/2024 | CITY OF LONDON INVESTMENT MANAGEMENT CO LTD | 27,000 | $455,220 | 12.97% | 0.05% |
A. During the previous two years, 161 institutional investors and hedge funds held shares of Tekla Healthcare Investors. The most heavily invested institutionals were:
MORGAN STANLEY: 3.11 M
Saba Capital Management, L.P.: 2.56 M
AQR Arbitrage LLC: 501,542
ROYAL BANK OF CANADA: 492,768
BOOTHBAY FUND MANAGEMENT, LLC: 373,265
RPO LLC: 370,417
A. 24.74% of Tekla Healthcare Investors stock is owned by institutional investors.
A. Institutional investors have bought a total of 12.89 M shares in the last 24 months. This purchase volume represents approximately $224.28 M in transactions.
