Fundies. English
Insider transactions
EDGARKayne Anderson Energy Infrastructure Fund, Inc.
Transactions reported by directors, officers and 10% owners on SEC Forms 3, 4 and 5, read from each filing’s XML. Codes and their wording are the SEC’s own.
A Form 4 is due within two business days of the transaction, so the most recent trades may not be filed yet.
Window: transactions dated on or after 2025-11-15.
- Open-market purchases (code P)
- 19 transactions, 224,521 shares
- Sum of shares × price per share: 2,990,411.61
- Open-market sales (code S)
- 0 transactions, — shares
Totals add the filed transactions listed; they are counts of what was reported, not a measure of direction.
Showing 1–25 of 25
| Date | Reporting owner | Code | Acquired or disposed | Shares | Price per share, as filed | Value (derived) | Shares owned after | Direct or indirect | Rule 10b5-1 box | Notes | Source |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2026-11-05 Filed 2026-11-06 | Baker James C Director · Officer: President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 25,000 | 13.2434 | 331,085Derived: shares × price per share. Exact value 331085.0000. | 1,028,019 | Direct (D) | No | — | Open filing 0001331674-26-000005 Read from the filing’s XML Dispute this row |
| 2026-11-05 Filed 2026-11-06 | Little Harrison James Officer: Executive Vice President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 3,900 | 13.215 | 51,538.5Derived: shares × price per share. Exact value 51538.500. | 25,452.502 | Direct (D) | No | — | Open filing 0002025837-26-000003 Read from the filing’s XML Dispute this row |
| 2026-09-01 Filed 2026-09-04 | MetLife Investment Management, LLC 10% owner | JOther acquisition or disposition (describe transaction) | Disposed (D) | 60,000 | 25 | 1,500,000Derived: shares × price per share. Exact value 1500000. | 0 | Indirect (I) See Footnotes | No | F1, F2, F3
| Open filing 0000905148-26-004084 Read from the filing’s XML Dispute this row |
| 2026-09-01 Filed 2026-09-04 | MetLife Investment Management, LLC 10% owner | JOther acquisition or disposition (describe transaction) | Disposed (D) | 60,000 | 25 | 1,500,000Derived: shares × price per share. Exact value 1500000. | 0 | Indirect (I) See Footnotes | No | F1, F2, F3
| Open filing 0000905148-26-004084 Read from the filing’s XML Dispute this row |
| 2026-08-20 Filed 2026-08-21 | Walker Carita Director | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 3,400 | 14.7015 | 49,985.1Derived: shares × price per share. Exact value 49985.1000. | 3,400 | Direct (D) | No | — | Open filing 0001936132-26-000001 Read from the filing’s XML Dispute this row |
| 2026-06-24 Filed 2026-06-24 | Hennigan Michael J Director | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 5,000 | 13.58 | 67,900Derived: shares × price per share. Exact value 67900.00. | 10,000 | Direct (D) | No | — | Open filing 0001352283-26-000003 Read from the filing’s XML Dispute this row |
| 2026-06-24 Filed 2026-06-24 | Hennigan Michael J Director | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 5,000 | 13.53 | 67,650Derived: shares × price per share. Exact value 67650.00. | 15,000 | Direct (D) | No | — | Open filing 0001352283-26-000003 Read from the filing’s XML Dispute this row |
| 2026-06-24 Filed 2026-06-24 | Hennigan Michael J Director | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 5,000 | 13.61 | 68,050Derived: shares × price per share. Exact value 68050.00. | 20,000 | Direct (D) | No | — | Open filing 0001352283-26-000003 Read from the filing’s XML Dispute this row |
| 2026-06-23 Filed 2026-06-24 | Hennigan Michael J Director | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 5,000 | 13.6 | 68,000Derived: shares × price per share. Exact value 68000.0. | 5,000 | Direct (D) | No | — | Open filing 0001352283-26-000003 Read from the filing’s XML Dispute this row |
| 2026-06-02 Filed 2026-06-02 | Ladhani Holli C. Director | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 3,621 | 13.81 | 50,006.01Derived: shares × price per share. Exact value 50006.01. | 7,221 | Direct (D) | No | — | Open filing 0001221455-26-000005 Read from the filing’s XML Dispute this row |
| 2026-05-13 Filed 2026-05-13 | Parker Austin Colby Officer: CFO and Treasurer | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 2,500 | 13.99 | 34,975Derived: shares × price per share. Exact value 34975.00. | 14,622.89 | Direct (D) | No | — | Open filing 0001921778-26-000002 Read from the filing’s XML Dispute this row |
| 2026-04-27 Filed 2026-04-27 | Baker James C Director · Officer: President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 25,000 | 13.57 | 339,250Derived: shares × price per share. Exact value 339250.00. | 1,003,019 | Direct (D) | No | — | Open filing 0001331674-26-000004 Read from the filing’s XML Dispute this row |
| 2026-04-17 Filed 2026-04-20 | Little Harrison James Officer: Executive Vice President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 5,000 | 13.1901 | 65,950.5Derived: shares × price per share. Exact value 65950.5000. | 20,661.884 | Direct (D) | No | — | Open filing 0002025837-26-000002 Read from the filing’s XML Dispute this row |
| 2026-04-08 Filed 2026-04-08 | Baker James C Director · Officer: President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 25,000 | 13.67 | 341,750Derived: shares × price per share. Exact value 341750.00. | 978,019 | Direct (D) | No | — | Open filing 0001331674-26-000003 Read from the filing’s XML Dispute this row |
| 2026-04-07 Filed 2026-07-07 | LOGAN RON M JR Officer: Executive Vice President | JOther acquisition or disposition (describe transaction) | Acquired (A) | 438 | 14.2139 | 6,225.6882Derived: shares × price per share. Exact value 6225.6882. | 69,910 | Direct (D) | No | F1
| Open filing 0001266094-26-000001 Read from the filing’s XML Dispute this row |
| 2026-04-07 Filed 2026-04-08 | KAYNE ANDERSON CAPITAL ADVISORS LP Other: Manager of Adviser | JOther acquisition or disposition (describe transaction) | Disposed (D) | 808,748 | 14.2139 | 11,495,463.1972Derived: shares × price per share. Exact value 11495463.1972. | 0 | Direct (D) | No | F1
| Open filing 0000949615-26-000002 Read from the filing’s XML Dispute this row |
| 2026-04-07 Filed 2026-04-08 | O'Neil Michael J Officer: Executive VP Secretary | JOther acquisition or disposition (describe transaction) | Acquired (A) | 6,872 | 14.2139 | 97,677.9208Derived: shares × price per share. Exact value 97677.9208. | 17,312 | Indirect (I) The Michael J. O'Neil, Jr. and Katrina E. Nappa 2018 Trust, dtd 12/5/2018 | No | F1
| Open filing 0001638397-26-000002 Read from the filing’s XML Dispute this row |
| 2026-04-07 Filed 2026-04-08 | Baker James C Director · Officer: President | JOther acquisition or disposition (describe transaction) | Acquired (A) | 16,979 | 14.2139 | 241,337.8081Derived: shares × price per share. Exact value 241337.8081. | 953,019 | Direct (D) | No | F1
| Open filing 0001331674-26-000003 Read from the filing’s XML Dispute this row |
| 2026-03-27 Filed 2026-03-27 | Baker James C Director · Officer: President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 25,000 | 14.38 | 359,500Derived: shares × price per share. Exact value 359500.00. | 936,040 | Direct (D) | No | — | Open filing 0001331674-26-000002 Read from the filing’s XML Dispute this row |
| 2026-03-25 Filed 2026-03-25 | Parker Austin Colby Officer: CFO and Treasurer | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 2,500 | 14.32 | 35,800Derived: shares × price per share. Exact value 35800.00. | 12,011 | Direct (D) | No | — | Open filing 0001921778-26-000001 Read from the filing’s XML Dispute this row |
| 2026-03-20 Filed 2026-03-23 | Baker James C Director · Officer: President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 25,000 | 13.9857 | 349,642.5Derived: shares × price per share. Exact value 349642.5000. | 911,040 | Direct (D) | No | — | Open filing 0001331674-26-000001 Read from the filing’s XML Dispute this row |
| 2026-03-19 Filed 2026-03-19 | Little Harrison James Officer: Executive Vice President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 5,000 | 14.115 | 70,575Derived: shares × price per share. Exact value 70575.000. | 15,599.133 | Direct (D) | No | — | Open filing 0002025837-26-000001 Read from the filing’s XML Dispute this row |
| 2026-02-23 Filed 2026-02-24 | Ladhani Holli C. Director | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 3,600 | 13.89 | 50,004Derived: shares × price per share. Exact value 50004.00. | 3,600 | Direct (D) | No | — | Open filing 0001221455-26-000001 Read from the filing’s XML Dispute this row |
| 2025-11-24 Filed 2025-11-24 | Baker James C Director · Officer: President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 25,000 | 11.74 | 293,500Derived: shares × price per share. Exact value 293500.00. | 886,040 | Direct (D) | No | — | Open filing 0001331674-25-000004 Read from the filing’s XML Dispute this row |
| 2025-11-19 Filed 2025-11-19 | Baker James C Director · Officer: President | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 25,000 | 11.81 | 295,250Derived: shares × price per share. Exact value 295250.00. | 861,040 | Direct (D) | No | — | Open filing 0001331674-25-000003 Read from the filing’s XML Dispute this row |
Institutional holders (Form 13F)
Quarter ending 2026-09-30: 7,211 filings read, the latest filed 2026-11-13. Prior quarter ending 2026-06-30: 9,150 filings read.
Showing 1–50 of 238
| Manager | Shares or principal | Value as filed | Change from the prior quarter | Source |
|---|---|---|---|---|
| MORGAN STANLEY Partly reported under another manager | 10,776,316 SH | 146,557,914 dollars | Higher by 370,664 Prior quarter: 10,405,652 | Open filing 0000895421-26-000309 Filed 2026-11-13 Dispute this row |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD | 3,635,032 SH | 49,436,435 dollars | Higher by 50,339 Prior quarter: 3,584,693 | Open filing 0001072613-26-000847 Filed 2026-10-30 Dispute this row |
| Cetera Investment Advisers | 3,531,823 SH | 48,032,795 dollars | Lower by 96,138 Prior quarter: 3,627,961 | Open filing 0001666741-26-000005 Filed 2026-11-13 Dispute this row |
| RAYMOND JAMES FINANCIAL INC Partly reported under another manager | 2,439,119 SH | 33,172,014 dollars | Higher by 43,235 Prior quarter: 2,395,884 | Open filing 0000720005-26-000081 Filed 2026-11-12 Dispute this row |
| Terril Brothers, Inc. | 1,957,734 SH | 26,625,182 dollars | Lower by 10,385 Prior quarter: 1,968,119 | Open filing 0001376474-26-000693 Filed 2026-11-06 Dispute this row |
| UBS Group AG Partly reported under another manager | 1,615,729 SH | 21,973,914 dollars | Lower by 12,139 Prior quarter: 1,627,868 | Open filing 0001610520-26-000121 Filed 2026-11-10 Dispute this row |
| Pathstone Holdings, LLC Partly reported under another manager | 1,532,151 SH | 20,837,267 dollars | Higher by 7,217 Prior quarter: 1,524,934 | Open filing 0002011612-26-000005 Filed 2026-11-13 Dispute this row |
| STIFEL FINANCIAL CORP Partly reported under another manager | 1,188,898 SH | 16,168,980 dollars | Lower by 6,603 Prior quarter: 1,195,501 | Open filing 0000720672-26-000017 Filed 2026-11-12 Dispute this row |
| Advisors Asset Management, Inc. | 843,518 SH | 12,356,213 dollars | Lower by 1,068,663 Prior quarter: 1,912,181 | Open filing 0002000324-26-006103 Filed 2026-11-10 Dispute this row |
| LPL Financial LLC | 677,112 SH | 9,208,725 dollars | Higher by 45,092 Prior quarter: 632,020 | Open filing 0001403438-26-000005 Filed 2026-11-06 Dispute this row |
| OSAIC HOLDINGS, INC. Partly reported under another manager | 676,156 SH | 9,195,849 dollars | Lower by 115,540 Prior quarter: 791,696 | Open filing 0001677044-26-000011 Filed 2026-11-12 Dispute this row |
| BARD ASSOCIATES INC | 645,363 SH | 8,776,931 dollars | Higher by 20,883 Prior quarter: 624,480 | Open filing 0001105907-26-000026 Filed 2026-11-13 Dispute this row |
| Cadent Capital Advisors, LLC | 644,920 SH | 8,770,919 dollars | Lower by 23,758 Prior quarter: 668,678 | Open filing 0001803536-26-000004 Filed 2026-10-09 Dispute this row |
| Magnus Financial Group LLC | 624,702 SH | 8,495,945 dollars | Higher by 141,196 Prior quarter: 483,506 | Open filing 0001951757-26-001751 Filed 2026-10-21 Dispute this row |
| Summit Financial, LLC | 442,966 SH | 6,024,339 dollars | Lower by 11,652 Prior quarter: 454,618 | Open filing 0001172661-26-004963 Filed 2026-11-12 Dispute this row |
| COMMERCE BANK Partly reported under another manager | 442,309 SH | 6,015,402 dollars | Higher by 30,835 Prior quarter: 411,474 | Open filing 0001009076-26-000013 Filed 2026-11-12 Dispute this row |
| Meridian Wealth Management, LLC | 400,127 SH | 5,441,725 dollars | Higher by 26,765 Prior quarter: 373,362 | Open filing 0001697300-26-000012 Filed 2026-11-05 Dispute this row |
| FLAGSHIP HARBOR ADVISORS, LLC | 321,508 SH | 4,372,510 dollars | Higher by 14,076 Prior quarter: 307,432 | Open filing 0001691766-26-000007 Filed 2026-10-26 Dispute this row |
| COMMONWEALTH EQUITY SERVICES, LLC Partly reported under another manager | 314,424 SH | 4,276,161 dollars | Higher by 87,104 Prior quarter: 227,320 | Open filing 0000312272-26-000024 Filed 2026-11-02 Dispute this row |
| OPPENHEIMER CO INC | 312,241 SH | 4,246,478 dollars | Lower by 19,958 Prior quarter: 332,199 | Open filing 0000822581-26-000004 Filed 2026-10-26 Dispute this row |
| Closed-End Fund Advisors, Inc. | 304,479 SH | 4,140,911 dollars | Lower by 6,656 Prior quarter: 311,135 | Open filing 0001214659-26-013722 Filed 2026-11-04 Dispute this row |
| NWF Advisory Services Inc. | 299,559 SH | 4,074,002 dollars | Higher by 24 Prior quarter: 299,535 | Open filing 0002085853-26-001232 Filed 2026-10-19 Dispute this row |
| Thomas J. Herzfeld Advisors, Inc. | 290,530 SH | 3,951,208 dollars | Higher by 14,433 Prior quarter: 276,097 | Open filing 0001398344-26-019864 Filed 2026-11-10 Dispute this row |
| Garner Asset Management Corp | 288,758 SH | 4,132,128 dollars | Lower by 21,223 Prior quarter: 309,981 | Open filing 0001754960-26-000960 Filed 2026-10-30 Dispute this row |
| TSP Capital Management Group, LLC | 273,175 SH | 3,715,179 dollars | Higher by 2,650 Prior quarter: 270,525 | Open filing 0001172661-26-004556 Filed 2026-10-15 Dispute this row |
| RFG Advisory, LLC | 227,093 SH | 3,088,463 dollars | Lower by 2,259 Prior quarter: 229,352 | Open filing 0001633387-26-000011 Filed 2026-11-03 Dispute this row |
| NewEdge Advisors, LLC | 226,290 SH | 3,077,540 dollars | Higher by 6,141 Prior quarter: 220,149 | Open filing 0001213900-26-119695 Filed 2026-11-13 Dispute this row |
| Rockefeller Capital Management L.P. Partly reported under another manager | 215,415 SH | 2,929,648 dollars | Higher by 809 Prior quarter: 214,606 | Open filing 0001739439-26-000009 Filed 2026-11-13 Dispute this row |
| FourThought Financial Partners, LLC | 208,408 SH | 2,834,351 dollars | Lower by 2,180 Prior quarter: 210,588 | Open filing 0001765380-26-000498 Filed 2026-11-13 Dispute this row |
| Quantedge Capital Pte Ltd | 190,194 SH | 2,586,638 dollars | Lower by 145,000 Prior quarter: 335,194 | Open filing 0001561418-26-000012 Filed 2026-11-10 Dispute this row |
| BFC Planning, Inc. | 189,605 SH | 2,578,634 dollars | Higher by 23,126 Prior quarter: 166,479 | Open filing 0001420506-26-002645 Filed 2026-11-13 Dispute this row |
| Edgemoor Investment Advisors, Inc. | 188,533 SH | 2,564,051 dollars | Higher by 2,225 Prior quarter: 186,308 | Open filing 0001398344-26-019481 Filed 2026-11-03 Dispute this row |
| Beverly Hills Private Wealth, LLC | 188,413 SH | 2,562,411 dollars | Lower by 2,399 Prior quarter: 190,812 | Open filing 0001085146-26-000928 Filed 2026-11-04 Dispute this row |
| MGO ONE SEVEN LLC | 175,197 SH | 2,382,678 dollars | Higher by 3,164 Prior quarter: 172,033 | Open filing 0001172661-26-004737 Filed 2026-10-28 Dispute this row |
| Ascentis Wealth Management, LLC | 163,226 SH | 2,219,872 dollars | Lower by 34,909 Prior quarter: 198,135 | Open filing 0002032602-26-000008 Filed 2026-11-03 Dispute this row |
| Cambridge Investment Research Advisors, Inc. | 158,464 SH | 2,155 dollars | Lower by 126,312 Prior quarter: 284,776 | Open filing 0001419186-26-000008 Filed 2026-11-02 Dispute this row |
| FIRST TRUST ADVISORS LP | 153,798 SH | 2,091,652 dollars | Higher by 4,216 Prior quarter: 149,582 | Open filing 0001445546-26-008622 Filed 2026-11-12 Dispute this row |
| RITHOLTZ WEALTH MANAGEMENT | 148,455 SH | 2,018,988 dollars | Lower by 1,545 Prior quarter: 150,000 | Open filing 0001698218-26-000007 Filed 2026-11-05 Dispute this row |
| Prospera Financial Services Inc Partly reported under another manager | 141,295 SH | 2,092,581 dollars | Higher by 45 Prior quarter: 141,250 | Open filing 0001541625-26-000004 Filed 2026-11-04 Dispute this row |
| CALDWELL SUTTER CAPITAL, INC. | 140,945 SH | 1,916,858 dollars | Lower by 161 Prior quarter: 141,106 | Open filing 0000702007-26-000013 Filed 2026-11-09 Dispute this row |
| PROMETHIUM ADVISORS,LLC | 131,585 SH | 1,789,556 dollars | Higher by 3,400 Prior quarter: 128,185 | Open filing 0002034073-26-000006 Filed 2026-10-19 Dispute this row |
| FIFTH THIRD BANCORP Partly reported under another manager | 126,456 SH | 1,719,805 dollars | Lower by 10,418 Prior quarter: 136,874 | Open filing 0001193125-26-449610 Filed 2026-11-05 Dispute this row |
| Crusonia Wealth Advisors LLC | 122,493 SH | 1,665,905 dollars | Higher by 3,595 Prior quarter: 118,898 | Open filing 0001172661-26-004690 Filed 2026-10-26 Dispute this row |
| AG Asset Advisory, LLC | 120,714 SH | 1,641,720 dollars | Unchanged Prior quarter: 120,714 | Open filing 0001625008-26-000006 Filed 2026-11-06 Dispute this row |
| Independent Wealth Network Inc. Partly reported under another manager | 113,264 SH | 1,540,393 dollars | Higher by 1,269 Prior quarter: 111,995 | Open filing 0001891240-26-000004 Filed 2026-10-19 Dispute this row |
| Allspring Global Investments Holdings, LLC Partly reported under another manager | 111,871 SH | 1,521,446 dollars | Higher by 6,501 Prior quarter: 105,370 | Open filing 0001890906-26-000078 Filed 2026-11-04 Dispute this row |
| KESTRA PRIVATE WEALTH SERVICES, LLC | 110,745 SH | 1,506,132 dollars | Lower by 5,484 Prior quarter: 116,229 | Open filing 0001649451-26-000013 Filed 2026-11-06 Dispute this row |
| Lido Advisors, LLC | 109,297 SH | 1,486,450 dollars | Not in the prior quarter’s filings read | Open filing 0001172661-26-004854 Filed 2026-11-04 Dispute this row |
| B. Riley Wealth Advisors, Inc. | 105,076 SH | 1,429,033 dollars | Higher by 19,869 Prior quarter: 85,207 | Open filing 0001464811-26-000010 Filed 2026-10-13 Dispute this row |
| Janney Montgomery Scott LLC Partly reported under another manager | 104,767 SH | 1,425 dollars | Lower by 5,974 Prior quarter: 110,741 | Open filing 0001329948-26-000008 Filed 2026-11-12 Dispute this row |
Managers in the prior quarter with no filing read for the latest
They may simply not have filed yet: absent from the latest quarter’s filings read is not the same as a position sold.
- BANK OF AMERICA CORP /DE/ 4,484,972 SH
- WELLS FARGO COMPANY/MN 3,216,471 SH
- BROWN ADVISORY INC 2,700,420 SH
- ROYAL BANK OF CANADA 1,854,683 SH
- RIVERNORTH CAPITAL MANAGEMENT, LLC 697,198 SH
- Penserra Capital Management LLC 668,387 SH
- Zimmer Partners, LP 652,500 SH
- STANSBERRY ASSET MANAGEMENT, LLC 599,903 SH
- Saba Capital Management, L.P. 550,782 SH
- McGowan Group Asset Management, Inc. 309,680 SH
- Bridgewater Advisors Inc. 176,601 SH
- WOLVERINE ASSET MANAGEMENT LLC 166,818 SH
- TWO SIGMA INVESTMENTS, LP 144,300 SH
- COHEN STEERS, INC. 131,000 SH
- Deeter Investments LLP 129,309 SH
- XTX Topco Ltd 88,661 SH
- Aristides Capital LLC 84,294 SH
- CURA WEALTH ADVISORS, LLC 79,012 SH
- Laird Norton Wetherby Trust Company, LLC 64,411 SH
- Colter Lewis Investment Partners LLC 54,023 SH
- CITADEL ADVISORS LLC 52,800 SH
- MONETARY MANAGEMENT GROUP INC 48,250 SH
- Waverly Advisors, LLC 46,474 SH
- JOHNSON INVESTMENT COUNSEL INC 44,045 SH
- GUGGENHEIM CAPITAL LLC 40,368 SH
- NORTHERN TRUST CORP 34,296 SH
- Corient Private Wealth LP 27,420 SH
- NewEdge Wealth, LLC 26,177 SH
- MERCER GLOBAL ADVISORS INC /ADV 24,340 SH
- ENVESTNET ASSET MANAGEMENT INC 24,110 SH
- Almitas Capital LLC 20,799 SH
- Waterloo Capital, L.P. 17,934 SH
- PIN OAK INVESTMENT ADVISORS INC 17,918 SH
- HURRICANE CAPITAL ADVISORS LLC 17,436 SH
- Jefferies Financial Group Inc. 17,225 SH
- CITADEL ADVISORS LLC 13,144 SH
- GLENMEDE TRUST CO NA 12,900 SH
- Equitable Holdings, Inc. 11,660 SH
- IFC Advisors LLC 10,858 SH
- Ausdal Financial Partners, Inc. 10,407 SH
- Hilltop Holdings Inc. 10,356 SH
- Modern Wealth Management, LLC 10,000 SH
- Integrated Wealth Concepts LLC 9,520 SH
- Wellington Shields Co., LLC 7,943 SH
- NATIONAL BANK OF CANADA /FI/ 6,600 SH
- INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 4,626 SH
- Institute for Wealth Management, LLC. 3,063 SH
- GROUP ONE TRADING LLC 3,000 SH
- Wellington Shields Capital Management, LLC 2,220 SH
- Vermillion Wealth Management, Inc. 2,142 SH
- Form 13F covers long positions in Section 13(f) securities only: no short positions and no securities outside that list.
- A manager that has not yet filed for the latest quarter is absent, not at zero; filings are due up to 45 days after quarter end.
- A change is the difference between two quarter-end snapshots, not a trade.
- A position reported under another manager may also appear in that manager’s filing; rows are not added together.
- Holdings the securities list cannot place with this company, or places ambiguously, are not shown.
5% holders (Schedule 13D and 13G)
Schedules filed in the SEC’s structured format (late 2024 onward) are read here. Earlier schedules are free text and are not read.
No Schedule 13D or 13G naming this issuer is in the store; this is not a statement that none were filed.
What was read
2,012,641 filings read, dated 2004-06-14 to 2026-11-13: Forms 3, 3/A, 4, 4/A, 5, 5/A.
Years can be incomplete while the archive is still being read. A year with few filings here is not a statement that few were made.
| Filing year | Filings read |
|---|---|
| 2015 | 1 |
| 2016 | 204,322 |
| 2017 | 202,494 |
| 2018 | 202,048 |
| 2019 | 193,638 |
| 2020 | 144,184 |
| 2021 | 224,474 |
| 2022 | 40,015 |
| 2023 | 199,811 |
| 2024 | 108,789 |
| 2025 | 235,520 |
| 2026 | 251,567 |
Filings made before the SEC required XML are listed, not extracted.