Ownership Profile

Shareholders

Shareholder Holders Value ($MM) % O/S Shares
Institution 87 46.53 18.50 5,141,862
Mutual Fund 10 4.71 1.83 507,606
Insider 5 13.43 5.12 1,423,405

Rotation

Shareholder Holders Value Chg ($MM) % O/S Share Change
Buyers 42 5.94 2.30 638,563
Sellers 32 -4.64 1.84 -511,135
Net -- 1.30 0.46 127,428

Concentration

Value ($MM) % O/S Shares
Total Inst. 46.53 18.50 5,141,862
Top 10 Inst. 31.57 12.67 3,521,083
Top 20 Inst. 39.77 15.86 4,409,800
Top 50 Inst. 45.84 18.22 5,066,592

Style

Holders Value ($MM) % Inst Shares Shares
Growth 15 6.12 2.36 656,708
Core Growth 12 4.06 1.58 440,470
Growth 3 2.06 0.78 216,238
Income 6 6.76 2.64 734,414
Income Value 4 3.91 1.50 416,900
Yield 2 2.86 1.14 317,514
Index 3 3.12 1.25 347,046
Other 24 11.39 4.48 1,245,121
Broker Dealer 11 3.96 1.52 422,473
GARP 4 2.29 0.91 252,292
Hedge Fund 9 5.14 2.05 570,356
Value 11 1.91 0.74 206,772
Core Value 9 1.30 0.50 139,696
Deep Value 2 0.60 0.24 67,076

Location: Global Region

Holders % O/S Shares Share Change
North America 70 11.58 3,219,237 458,619
Europe 8 1.28 355,172 -118,099
Asia 1 0.01 3,504 -67,000

Top Holders

Holder Shares Held % O/S Share Change Filing Date
Gladstone (David John) 1,169,719 4.21 1,000 2/8/18
Marcotte (Robert L) 363,879 1.31 10,000 5/8/18
Advisors Asset Management, Inc. 308,212 1.11 92,447 6/30/18
Two Sigma Investments, LP 288,462 1.04 -27,768 6/30/18
UBS Financial Services, Inc. 283,223 1.02 18,958 6/30/18
Karpus Investment Management 274,050 0.99 274,050 9/30/17
BMO Capital Markets (US) 260,000 0.94 15,000 9/30/18
LPL Financial LLC 210,758 0.76 13,572 6/30/18
Van Eck Associates Corporation 202,100 0.73 5,304 6/30/18
Morgan Stanley Wealth Management 160,680 0.58 -645 6/30/18

Top Holders: Mutual Funds

Fund Shares Held % O/S Share Change Filing Date
VanEck Vectors BDC Income ETF 241,792 0.87 11,049 10/31/18
iShares Listed Private Equity UCITS ETF 150,944 0.54 24,335 10/31/18
DNB Private Equity 54,601 0.20 -7,400 9/30/18
Boston Partners Small Cap Value II Fund 33,694 0.12 865 6/30/18
Esperia Funds SICAV Private Equity Strategies C 10,000 0.04 5,000 9/30/18
Invesco Wilshire Micro-Cap ETF 6,890 0.02 -1,043 9/30/18
Blackstone Alternative Multi-Strategy Fund 6,600 0.02 200 3/31/18
Consultinvest Alto Dividendo 2,000 0.01 -- 9/30/18
John Hancock VIT - Tot. Stock Mrkt. Index 801 -- -- 9/30/18
GraniteShares HIPS US High Income ETF 284 -- 50 9/30/18

* Insider values reflect direct beneficial ownership.

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