PRUDENTIAL PLC

HTTP://WWW.PPMAMERICA.COM • CHICAGO, IL • Investment Advisor • Hedge Fund How do I update this listing?

Prudential PLC is based out of Chicago. Prudential PLC is a large advisory firm with 35 clients and discretionary assets under management (AUM) of $129,662,447,089 (Form ADV from 2020-03-27). Their last reported 13F filing for Q1 2020 included $18,757,838,000 in managed 13F securities and a top 10 holdings concentration of 22.19%. Prudential PLC's largest holding is Vanguard Intermediate-Term Corp Bond ETF with shares held of 8,128,760. Prudential PLC has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 87 13F filings

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03/31/2020

13F Activity

  • Market Value $18.758 Billion
  • Prior Market Value $23.723 Billion
  • New Purchases115 stocks
  • Additional Purchases208 stocks
  • Sold out of97 stocks
  • Reduced holdings in231 stocks
  • Top 10 Holdings % 22.19 %
  • Turnover % [1]:36.81%
  • Turnover Alt % [2]: 41.46 %
  • Time Held Top20:7.55 quarters
  • Time Held Top10:4.00 quarters
  • Time Held All:17.13 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 21.18%
Performance Last 4 Quarters: -0.17%
Performance Metrics
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Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

PPM AMERICA INC
Classified as Hedge Fund
225 WEST WACKER DRIVE SUITE 1200
CHICAGO IL    60606
Country: United States
Business Phone: 312-634-2500
Fax: 312-634-0049
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: DE
Number of employees: 268
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 285,945,000
Total Number of Clients: 35
Amount of client funds and securities by related persons: 1,236,030,000
Total Number of clients from related persons: 5
Disclosures: 11.D (1),11.D (2)
Data above was derived from SEC filings.

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PPM AMERICA, INC.

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PPM AMERICA STRUCTURED FINANCE CBO I, LTD. Cayman Islands 805-3914774452 Securitized Asset Fund 8,137,333 500,000
PPM AMERICA PRIVATE EQUITY FUND VII LP United States 805-7451126495 Private Equity Fund 789,582,769 300,000,000
PPM AMERICA PRIVATE EQUITY FUND IV LP United States 805-3163493907 Private Equity Fund 116,384,330 100,000,000
PPM AMERICA PRIVATE EQUITY FUND III LP United States 805-5534076465 Private Equity Fund 88,588,543 207,000,000
PPM AMERICA PRIVATE EQUITY FUND VI LP United States 805-2288715911 Private Equity Fund 325,625,856 30,000,000
PPM AMERICA PRIVATE EQUITY FUND V LP United States 805-7203190431 Private Equity Fund 172,463,935 100,000,000
PPM GRAYHAWK CLO, LTD. Cayman Islands 805-3220975743 Securitized Asset Fund 592,672 500,000

PPM AMERICA, INC.

ownership team - last updated 2019-12-20
Name Title Start Date Direct/Indirect % Ownership
MANDICH, MARK, BERNARD PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 03/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1994-03-01
EASTSPRING INVESTMENTS INCORPORATED DIRECTOR direct 2012-06-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-05-01
CURIAN CAPITAL, LLC MEMBER OF BOARD OF MANAGERS, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2015-05-01
CURIAN CAPITAL, LLC INVESTMENT POLICY COMMITEE direct 2004-02-01 2006-11-15
PPM AMERICA INC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR direct 1994-03-01 2007-03-27
PPM AMERICA, INC. CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1994-03-01 2012-06-05
PPM AMERICA, INC. CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1994-03-01 2015-03-30
CURIAN CAPITAL, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2014-08-01 2015-03-31
PPM AMERICA, INC. CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1994-03-01 2015-07-01
PPM HOLDINGS, INC. SOLE SHAREHOLDER OF APPLICANT 02/01/1996 Direct 75% or more
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. SOLE SHAREHOLDER OF APPLICANT direct 1996-02-01
BARRUS, THOMAS, RICHARD VP, CHIEF COMPLIANCE OFFICER 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. AVP, CHIEF COMPLIANCE OFFICER direct 2014-08-01
PPM AMERICA, INC. VP, CHIEF COMPLIANCE OFFICER direct 2014-08-01
MYERS, PAUL, CHADWICK CHAIRMAN OF THE BOARD, DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. CO-CHAIRMAN OF THE BOARD, DIRECTOR direct 2015-06-01
PPM AMERICA, INC. DIRECTOR direct 2015-06-01
PPM AMERICA, INC. CHAIRMAN OF THE BOARD, DIRECTOR direct 2015-06-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER & CHAIRMAN direct 2015-05-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-05-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC CHAIRMAN direct 2015-11-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2011-02-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2015-05-01
JACKSON INVESTMENT MANAGEMENT, LLC MEMBER BOARD OF MANAGERS direct 2011-01-01
SMITH, CRAIG, DONALD DIRECTOR, CHIEF INVESTMENT OFFICER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
Harris, Bradley, Olan DIRECTOR 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. DIRECTOR direct 2017-02-01
IFC HOLDINGS, INC. DIRECTOR direct 2017-02-01
INVESTMENT CENTERS OF AMERICA, INC. DIRECTOR direct 2017-02-01
NATIONAL PLANNING CORPORATION DIRECTOR direct 2017-02-01
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-12-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2016-02-01
BARNICLE, THOMAS, EDWARD EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER direct 2016-03-01
Davidson, Grant SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2016-04-01
REED, ALISON, RUSS DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. NPH VP DUE DILIGENCE direct 2006-12-01
SII INVESTMENTS, INC. DIRECTOR direct 2016-06-01
IFC HOLDINGS, INC. NPH VP, DUE DILIGENCE direct 2006-12-01
IFC HOLDINGS, INC. DIRECTOR direct 2016-06-01
INVESTMENT CENTERS OF AMERICA, INC. NPH VP DUE DILIGENCE direct 2006-12-01
INVESTMENT CENTERS OF AMERICA, INC. DIRECTOR direct 2016-06-01
NATIONAL PLANNING CORPORATION NPH VP, DUE DILIGENCE direct 2006-12-01
NATIONAL PLANNING CORPORATION DIRECTOR direct 2016-06-01
PPM AMERICA, INC. DIRECTOR direct 2016-07-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2016-06-01
CAPASSO, MARY, T SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM LOAN MANAGEMENT COMPANY, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY direct 2018-05-01
PPM AMERICA, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2018-06-01
PRUDENTIAL PLC SOLE SHAREHOLDER PRUDENTIAL CORPORATION ASIA LIMITED 10/01/2019 Indirect 75% or more
PRUDENTIAL (US HOLDCO 1) LIMITED SOLE SHAREHOLDER BROOKE (HOLDCO 1) INC. 08/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2011-05-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2011-05-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2011-08-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2011-05-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
JACKSON HOLDINGS LLC SOLE SHAREHOLDER PPM HOLDINGS, INC. 03/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1987-07-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SOLE SHARE HOLDER OF COMON STOCK OF BROOKE HOLDINGS, INC. indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2008-06-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2004-06-16
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2005-04-07
IFC HOLDINGS, INC. SHAREHOLDER indirect 1998-07-01 2008-01-24
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
JACKSON INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER OF COMMON STOCK OF BROOKE HOLDINGS INC indirect 2006-04-01 2011-03-21
PRUDENTIAL CORPORATION ASIA LIMITED SOLE SHAREHOLDER PRUDENTIAL (US HOLDCO 1) LIMITED 10/01/2019 Indirect 75% or more
BROOKE (HOLDCO 1) INC. SOLE SHAREHOLDER JACKSON HOLDINGS LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2015-12-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
PPM AMERICA, INC. 99% PARTNER indirect 2006-03-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2011-08-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-03-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-06-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PPM AMERICA PRIVATE EQUITY FUND VII LP United States 805-7451126495 Private Equity Fund 737,862,868 300,000,000
PPM AMERICA PRIVATE EQUITY FUND VI LP United States 805-2288715911 Private Equity Fund 286,274,982 30,000,000
PPM AMERICA PRIVATE EQUITY FUND V LP United States 805-7203190431 Private Equity Fund 195,230,379 100,000,000
PPM AMERICA PRIVATE EQUITY FUND IV LP United States 805-3163493907 Private Equity Fund 118,598,826 100,000,000
PPM AMERICA PRIVATE EQUITY FUND III LP United States 805-5534076465 Private Equity Fund 155,802,621 207,000,000
PPM GRAYHAWK CLO, LTD. Cayman Islands 805-3220975743 Securitized Asset Fund 2,509,078 500,000
PPM AMERICA STRUCTURED FINANCE CBO I, LTD. Cayman Islands 805-3914774452 Securitized Asset Fund 3,201,768 500,000

PPM AMERICA, INC.

ownership team - last updated 2019-06-07
Name Title Start Date Direct/Indirect % Ownership
MANDICH, MARK, BERNARD PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 03/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1994-03-01
EASTSPRING INVESTMENTS INCORPORATED DIRECTOR direct 2012-06-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-05-01
CURIAN CAPITAL, LLC MEMBER OF BOARD OF MANAGERS, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2015-05-01
CURIAN CAPITAL, LLC INVESTMENT POLICY COMMITEE direct 2004-02-01 2006-11-15
PPM AMERICA INC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR direct 1994-03-01 2007-03-27
PPM AMERICA, INC. CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1994-03-01 2012-06-05
PPM AMERICA, INC. CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1994-03-01 2015-03-30
CURIAN CAPITAL, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2014-08-01 2015-03-31
PPM AMERICA, INC. CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1994-03-01 2015-07-01
PPM HOLDINGS, INC. SOLE SHAREHOLDER OF APPLICANT 02/01/1996 Direct 75% or more
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. SOLE SHAREHOLDER OF APPLICANT direct 1996-02-01
BARRUS, THOMAS, RICHARD VP, CHIEF COMPLIANCE OFFICER 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. AVP, CHIEF COMPLIANCE OFFICER direct 2014-08-01
PPM AMERICA, INC. VP, CHIEF COMPLIANCE OFFICER direct 2014-08-01
MYERS, PAUL, CHADWICK CHAIRMAN OF THE BOARD, DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. CO-CHAIRMAN OF THE BOARD, DIRECTOR direct 2015-06-01
PPM AMERICA, INC. DIRECTOR direct 2015-06-01
PPM AMERICA, INC. CHAIRMAN OF THE BOARD, DIRECTOR direct 2015-06-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER & CHAIRMAN direct 2015-05-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-05-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC CHAIRMAN direct 2015-11-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2011-02-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2015-05-01
JACKSON INVESTMENT MANAGEMENT, LLC MEMBER BOARD OF MANAGERS direct 2011-01-01
SMITH, CRAIG, DONALD DIRECTOR, CHIEF INVESTMENT OFFICER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
Harris, Bradley, Olan DIRECTOR 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. DIRECTOR direct 2017-02-01
IFC HOLDINGS, INC. DIRECTOR direct 2017-02-01
INVESTMENT CENTERS OF AMERICA, INC. DIRECTOR direct 2017-02-01
NATIONAL PLANNING CORPORATION DIRECTOR direct 2017-02-01
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-12-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2016-02-01
BARNICLE, THOMAS, EDWARD EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER direct 2016-03-01
Davidson, Grant SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2016-04-01
REED, ALISON, RUSS DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. NPH VP DUE DILIGENCE direct 2006-12-01
SII INVESTMENTS, INC. DIRECTOR direct 2016-06-01
IFC HOLDINGS, INC. NPH VP, DUE DILIGENCE direct 2006-12-01
IFC HOLDINGS, INC. DIRECTOR direct 2016-06-01
INVESTMENT CENTERS OF AMERICA, INC. NPH VP DUE DILIGENCE direct 2006-12-01
INVESTMENT CENTERS OF AMERICA, INC. DIRECTOR direct 2016-06-01
NATIONAL PLANNING CORPORATION NPH VP, DUE DILIGENCE direct 2006-12-01
NATIONAL PLANNING CORPORATION DIRECTOR direct 2016-06-01
PPM AMERICA, INC. DIRECTOR direct 2016-07-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2016-06-01
CAPASSO, MARY, T SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM LOAN MANAGEMENT COMPANY, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY direct 2018-05-01
PPM AMERICA, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2018-06-01
PRUDENTIAL PLC SOLE SHAREHOLDER PRUDENTIAL (US HOLDCO 1) LIMITED 08/01/2011 Indirect 75% or more
PRUDENTIAL (US HOLDCO 1) LIMITED SOLE SHAREHOLDER BROOKE (HOLDCO1) INC. 08/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2011-05-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2011-05-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2011-08-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2011-05-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
JACKSON HOLDINGS LLC SOLE SHAREHOLDER PPM HOLDINGS, INC. 03/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1987-07-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SOLE SHARE HOLDER OF COMON STOCK OF BROOKE HOLDINGS, INC. indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2008-06-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2004-06-16
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2005-04-07
IFC HOLDINGS, INC. SHAREHOLDER indirect 1998-07-01 2008-01-24
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
JACKSON INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER OF COMMON STOCK OF BROOKE HOLDINGS INC indirect 2006-04-01 2011-03-21

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PPM AMERICA PRIVATE EQUITY FUND VII LP United States 805-7451126495 Private Equity Fund 737,862,868 300,000,000
PPM AMERICA PRIVATE EQUITY FUND VI LP United States 805-2288715911 Private Equity Fund 286,274,982 30,000,000
PPM AMERICA PRIVATE EQUITY FUND V LP United States 805-7203190431 Private Equity Fund 195,230,379 100,000,000
PPM AMERICA PRIVATE EQUITY FUND IV LP United States 805-3163493907 Private Equity Fund 118,598,826 100,000,000
PPM AMERICA PRIVATE EQUITY FUND III LP United States 805-5534076465 Private Equity Fund 155,802,621 207,000,000
PPM GRAYHAWK CLO, LTD. Cayman Islands 805-3220975743 Securitized Asset Fund 2,509,078 500,000
PPM AMERICA STRUCTURED FINANCE CBO I, LTD. Cayman Islands 805-3914774452 Securitized Asset Fund 3,201,768 500,000

PPM AMERICA, INC.

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
MANDICH, MARK, BERNARD PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 03/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1994-03-01
EASTSPRING INVESTMENTS INCORPORATED DIRECTOR direct 2012-06-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-05-01
CURIAN CAPITAL, LLC MEMBER OF BOARD OF MANAGERS, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2015-05-01
CURIAN CAPITAL, LLC INVESTMENT POLICY COMMITEE direct 2004-02-01 2006-11-15
PPM AMERICA INC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR direct 1994-03-01 2007-03-27
PPM AMERICA, INC. CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1994-03-01 2012-06-05
PPM AMERICA, INC. CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1994-03-01 2015-03-30
CURIAN CAPITAL, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2014-08-01 2015-03-31
PPM AMERICA, INC. CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1994-03-01 2015-07-01
PPM HOLDINGS, INC. SOLE SHAREHOLDER OF APPLICANT 02/01/1996 Direct 75% or more
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. SOLE SHAREHOLDER OF APPLICANT direct 1996-02-01
BARRUS, THOMAS, RICHARD VP, CHIEF COMPLIANCE OFFICER 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. AVP, CHIEF COMPLIANCE OFFICER direct 2014-08-01
PPM AMERICA, INC. VP, CHIEF COMPLIANCE OFFICER direct 2014-08-01
MYERS, PAUL, CHADWICK CHAIRMAN OF THE BOARD, DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. CO-CHAIRMAN OF THE BOARD, DIRECTOR direct 2015-06-01
PPM AMERICA, INC. DIRECTOR direct 2015-06-01
PPM AMERICA, INC. CHAIRMAN OF THE BOARD, DIRECTOR direct 2015-06-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER & CHAIRMAN direct 2015-05-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-05-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC CHAIRMAN direct 2015-11-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2011-02-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2015-05-01
JACKSON INVESTMENT MANAGEMENT, LLC MEMBER BOARD OF MANAGERS direct 2011-01-01
SMITH, CRAIG, DONALD DIRECTOR, CHIEF INVESTMENT OFFICER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
Harris, Bradley, Olan DIRECTOR 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. DIRECTOR direct 2017-02-01
IFC HOLDINGS, INC. DIRECTOR direct 2017-02-01
INVESTMENT CENTERS OF AMERICA, INC. DIRECTOR direct 2017-02-01
NATIONAL PLANNING CORPORATION DIRECTOR direct 2017-02-01
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-12-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2016-02-01
BARNICLE, THOMAS, EDWARD EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER direct 2016-03-01
Davidson, Grant SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2016-04-01
REED, ALISON, RUSS DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. NPH VP DUE DILIGENCE direct 2006-12-01
SII INVESTMENTS, INC. DIRECTOR direct 2016-06-01
IFC HOLDINGS, INC. NPH VP, DUE DILIGENCE direct 2006-12-01
IFC HOLDINGS, INC. DIRECTOR direct 2016-06-01
INVESTMENT CENTERS OF AMERICA, INC. NPH VP DUE DILIGENCE direct 2006-12-01
INVESTMENT CENTERS OF AMERICA, INC. DIRECTOR direct 2016-06-01
NATIONAL PLANNING CORPORATION NPH VP, DUE DILIGENCE direct 2006-12-01
NATIONAL PLANNING CORPORATION DIRECTOR direct 2016-06-01
PPM AMERICA, INC. DIRECTOR direct 2016-07-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2016-06-01
CAPASSO, MARY, T SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM LOAN MANAGEMENT COMPANY, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY direct 2018-05-01
PPM AMERICA, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2018-06-01
PRUDENTIAL PLC SOLE SHAREHOLDER PRUDENTIAL (US HOLDCO 1) LIMITED 08/01/2011 Indirect 75% or more
PRUDENTIAL (US HOLDCO 1) LIMITED SOLE SHAREHOLDER BROOKE (HOLDCO1) INC. 08/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2011-05-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2011-05-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2011-08-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2011-05-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
JACKSON HOLDINGS LLC SOLE SHAREHOLDER PPM HOLDINGS, INC. 03/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1987-07-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SOLE SHARE HOLDER OF COMON STOCK OF BROOKE HOLDINGS, INC. indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2008-06-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2004-06-16
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2005-04-07
IFC HOLDINGS, INC. SHAREHOLDER indirect 1998-07-01 2008-01-24
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
JACKSON INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER OF COMMON STOCK OF BROOKE HOLDINGS INC indirect 2006-04-01 2011-03-21

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PPM AMERICA PRIVATE EQUITY FUND VII LP United States 805-7451126495 Private Equity Fund 737,862,868 300,000,000
PPM AMERICA PRIVATE EQUITY FUND VI LP United States 805-2288715911 Private Equity Fund 286,274,982 30,000,000
PPM AMERICA PRIVATE EQUITY FUND V LP United States 805-7203190431 Private Equity Fund 195,230,379 100,000,000
PPM AMERICA PRIVATE EQUITY FUND IV LP United States 805-3163493907 Private Equity Fund 118,598,826 100,000,000
PPM AMERICA PRIVATE EQUITY FUND III LP United States 805-5534076465 Private Equity Fund 155,802,621 207,000,000
PPM GRAYHAWK CLO, LTD. Cayman Islands 805-3220975743 Securitized Asset Fund 2,509,078 500,000
PPM AMERICA STRUCTURED FINANCE CBO I, LTD. Cayman Islands 805-3914774452 Securitized Asset Fund 3,201,768 500,000

PPM AMERICA, INC.

ownership team - last updated 2018-06-04
Name Title Start Date Direct/Indirect % Ownership
MANDICH, MARK, BERNARD PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 03/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1994-03-01
EASTSPRING INVESTMENTS INCORPORATED DIRECTOR direct 2012-06-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-05-01
CURIAN CAPITAL, LLC MEMBER OF BOARD OF MANAGERS, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2015-05-01
CURIAN CAPITAL, LLC INVESTMENT POLICY COMMITEE direct 2004-02-01 2006-11-15
PPM AMERICA INC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR direct 1994-03-01 2007-03-27
PPM AMERICA, INC. CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1994-03-01 2012-06-05
PPM AMERICA, INC. CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1994-03-01 2015-03-30
CURIAN CAPITAL, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2014-08-01 2015-03-31
PPM AMERICA, INC. CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1994-03-01 2015-07-01
PPM HOLDINGS, INC. SOLE SHAREHOLDER OF APPLICANT 02/01/1996 Direct 75% or more
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. SOLE SHAREHOLDER OF APPLICANT direct 1996-02-01
BARRUS, THOMAS, RICHARD VP, CHIEF COMPLIANCE OFFICER 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. AVP, CHIEF COMPLIANCE OFFICER direct 2014-08-01
PPM AMERICA, INC. VP, CHIEF COMPLIANCE OFFICER direct 2014-08-01
MYERS, PAUL, CHADWICK CHAIRMAN OF THE BOARD, DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. CO-CHAIRMAN OF THE BOARD, DIRECTOR direct 2015-06-01
PPM AMERICA, INC. DIRECTOR direct 2015-06-01
PPM AMERICA, INC. CHAIRMAN OF THE BOARD, DIRECTOR direct 2015-06-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER & CHAIRMAN direct 2015-05-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-05-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC CHAIRMAN direct 2015-11-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2011-02-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2015-05-01
JACKSON INVESTMENT MANAGEMENT, LLC MEMBER BOARD OF MANAGERS direct 2011-01-01
BALESTRIERI, ANTHONY, GERARD DIRECTOR, CHIEF INVESTMENT OFFICER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
SMITH, CRAIG, DONALD DIRECTOR, CHIEF INVESTMENT OFFICER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
Harris, Bradley, Olan DIRECTOR 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. DIRECTOR direct 2017-02-01
IFC HOLDINGS, INC. DIRECTOR direct 2017-02-01
INVESTMENT CENTERS OF AMERICA, INC. DIRECTOR direct 2017-02-01
NATIONAL PLANNING CORPORATION DIRECTOR direct 2017-02-01
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-12-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2016-02-01
BARNICLE, THOMAS, EDWARD EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER direct 2016-03-01
Davidson, Grant SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM AMERICA, INC. SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2016-04-01
REED, ALISON, RUSS DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. NPH VP DUE DILIGENCE direct 2006-12-01
SII INVESTMENTS, INC. DIRECTOR direct 2016-06-01
IFC HOLDINGS, INC. NPH VP, DUE DILIGENCE direct 2006-12-01
IFC HOLDINGS, INC. DIRECTOR direct 2016-06-01
INVESTMENT CENTERS OF AMERICA, INC. NPH VP DUE DILIGENCE direct 2006-12-01
INVESTMENT CENTERS OF AMERICA, INC. DIRECTOR direct 2016-06-01
NATIONAL PLANNING CORPORATION NPH VP, DUE DILIGENCE direct 2006-12-01
NATIONAL PLANNING CORPORATION DIRECTOR direct 2016-06-01
PPM AMERICA, INC. DIRECTOR direct 2016-07-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2016-06-01
CAPASSO, MARY, T SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PPM LOAN MANAGEMENT COMPANY, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY direct 2018-05-01
PPM AMERICA, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2018-06-01
PRUDENTIAL PLC SOLE SHAREHOLDER PRUDENTIAL US LIMITED 08/01/2011 Indirect 75% or more
PRUDENTIAL (US HOLDCO 1) LIMITED SOLE SHAREHOLDER BROOKE (HOLDCO1) INC. 08/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2011-05-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2011-05-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2011-08-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2011-05-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
BROOKE (HOLDCO1) INC. SOLE SHAREHOLDER BROOKE UK LLC 08/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2015-12-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
PPM AMERICA, INC. 99% PARTNER indirect 2006-03-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2011-08-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-03-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-06-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
JACKSON HOLDINGS LLC SOLE SHAREHOLDER PPM HOLDINGS, INC. 03/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1987-07-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SOLE SHARE HOLDER OF COMON STOCK OF BROOKE HOLDINGS, INC. indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2008-06-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2004-06-16
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2005-04-07
IFC HOLDINGS, INC. SHAREHOLDER indirect 1998-07-01 2008-01-24
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
JACKSON INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER OF COMMON STOCK OF BROOKE HOLDINGS INC indirect 2006-04-01 2011-03-21

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PPM AMERICA PRIVATE EQUITY FUND VI LP United States 805-2288715911 Private Equity Fund 263,534,397 30,000,000
PPM AMERICA PRIVATE EQUITY FUND II LP United States 805-6021426129 Private Equity Fund 18,388,160 186,567,164
PPM AMERICA PRIVATE EQUITY FUND LP United States 805-5192633612 Private Equity Fund 106,567,310 300,000,000
PPM AMERICA PRIVATE EQUITY FUND V LP United States 805-7203190431 Private Equity Fund 230,253,675 100,000,000
PPM AMERICA PRIVATE EQUITY FUND IV LP United States 805-3163493907 Private Equity Fund 123,410,972 100,000,000
PPM AMERICA PRIVATE EQUITY FUND III LP United States 805-5534076465 Private Equity Fund 149,283,896 207,000,000
OLD HICKORY FUND I, LLC United States 805-5465545421 Private Equity Fund 369,254 10,000
PPM GRAYHAWK CLO, LTD. Cayman Islands 805-3220975743 Securitized Asset Fund 3,112,553 500,000
PPM AMERICA STRUCTURED FINANCE CBO I, LTD. Cayman Islands 805-3914774452 Securitized Asset Fund 10,916,355 500,000

WhaleScore history for PRUDENTIAL PLC

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**EXPERIMENTAL** Current Hong Kong Exchange Long Positions

Updated daily

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin
Prudential plc AMVIG Holdings Ltd. 2018-02-01 Long 2.1 17,000,000 40,357,000 4.34% Hong Kong
Prudential plc China Everbright Ltd. 2020-05-22 Long 10.744 1,580,000 135,150,000 8.01% Hong Kong
Prudential plc China Int'l Marine Containers (Group) Co., Ltd. - H Shares 2020-05-12 Long 6.944 923,000 164,940,280 8.0% Hong Kong
Prudential plc China Yongda Automobiles Services Holdings Ltd. 2019-04-23 Long 7.156 311,000 91,735,000 4.99% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2020-06-18 Long 3.927 1,508,000 65,188,000 5.02% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2018-12-03 Long 0.0 8,478,000 170,911,600 13.18% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2019-10-02 Long 7.552 2,600,000 169,304,000 5.92% Hong Kong
Prudential plc Greatview Aseptic Packaging Co. Ltd. 2018-11-19 Long 5.238 166,000 66,768,200 4.99% Hong Kong

Position History

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin
Prudential plc AMVIG Holdings Ltd. 2017-10-12 Long 2.3 4,040,000 62,227,000 6.69% Hong Kong
Prudential plc AMVIG Holdings Ltd. 2017-09-28 Long 2.301 2,770,000 73,841,000 7.94% Hong Kong
Prudential plc China Everbright Ltd. 2020-04-17 Long 11.784 2,118,000 119,862,000 7.11% Hong Kong
Prudential plc China Yongda Automobiles Services Holdings Ltd. 2019-03-28 Long 6.008 1,867,000 93,166,500 5.06% Hong Kong
Prudential plc China Yongda Automobiles Services Holdings Ltd. 2019-03-05 Long 6.223 1,126,000 91,050,000 4.95% Hong Kong
Prudential plc China Yongda Automobiles Services Holdings Ltd. 2019-02-13 Long 5.297 1,160,500 92,173,500 5.01% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2020-04-09 Long 4.372 6,788,000 77,208,000 5.95% Hong Kong
Eastspring Investments COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2020-02-21 Long 3.493 1,710,000 92,014,000 7.09% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2020-02-21 Long 3.493 2,082,000 169,210,000 13.05% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2020-02-11 Long 3.379 3,644,000 157,530,000 12.15% Hong Kong
Eastspring Investments COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2020-02-06 Long 3.445 2,822,000 78,162,000 6.03% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2019-10-21 Long 0.0 11,512,000 146,498,000 11.3% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2019-08-08 Long 3.835 858,000 168,199,600 12.97% Hong Kong
Eastspring Investments COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2019-06-26 Long 4.71 454,000 77,394,000 5.97% Hong Kong
Eastspring Investments COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2019-06-10 Long 4.267 506,000 77,848,000 6.0% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2019-05-31 Long 0.0 5,216,000 172,479,600 13.3% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2019-05-07 Long 5.184 3,356,000 166,825,600 12.87% Hong Kong
Eastspring Investments COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2019-04-29 Long 0.0 3,898,000 77,342,000 5.96% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2018-04-17 Long 3.934 1,864,000 157,126,000 12.12% Hong Kong
Eastspring Investments COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2018-01-05 Long 4.349 926,000 65,460,000 5.05% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2018-01-04 Long 4.353 3,800,000 132,158,000 10.19% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2017-11-27 Long 4.265 1,154,000 117,444,000 9.06% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2017-11-02 Long 4.515 1,900,000 103,920,000 8.01% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2017-08-31 Long 4.499 2,724,000 91,650,000 7.07% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2017-08-22 Long 4.445 12,024,000 81,544,000 6.29% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2017-08-18 Long 4.44 5,216,000 69,466,000 5.36% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2019-09-16 Long 7.793 6,072,000 197,070,000 6.9% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2019-08-14 Long 6.809 2,924,000 201,658,000 7.06% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2019-06-13 Long 6.378 1,152,000 198,822,000 6.96% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2019-05-09 Long 6.864 28,978,000 179,400,000 6.28% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2018-12-17 Long 6.934 122,000 142,900,000 5.0% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2018-12-14 Long 6.719 94,000 142,778,000 4.99% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2018-12-06 Long 7.056 846,000 142,872,000 5.0% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2018-08-31 Long 7.949 174,000 142,656,000 4.99% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2018-08-14 Long 7.6 140,000 142,890,000 5.0% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2018-08-10 Long 7.657 376,000 142,754,000 4.99% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2018-04-17 Long 0.0 1,509,004 142,940,000 5.0% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2018-04-03 Long 9.091 148,000 142,910,000 5.0% Hong Kong
Prudential plc Dongfeng Motor Group Co. Ltd. - H Shares 2017-07-21 Long 9.815 1,200,000 141,692,000 4.96% Hong Kong
Prudential plc Global Brands Group Holding Ltd. 2019-10-21 Long 0.0 82,838,000 0 0.0% Hong Kong
Prudential plc Global Brands Group Holding Ltd. 2019-07-04 Long 0.71 922,000 82,316,000 8.0% Hong Kong
Prudential plc Global Brands Group Holding Ltd. 2019-05-09 Long 0.82 5,618,000 72,174,000 7.01% Hong Kong
Prudential plc Global Brands Group Holding Ltd. 2019-05-02 Long 0.95 1,043,200 62,612,000 6.08% Hong Kong
Prudential plc Global Brands Group Holding Ltd. 2019-04-04 Long 0.101 22,440,000 528,646,000 6.18% Hong Kong
Prudential plc Greatview Aseptic Packaging Co. Ltd. 2017-12-18 Long 5.051 885,000 119,947,900 8.97% Hong Kong

**EXPERIMENTAL** Current UK Positions

Updated daily

Contains transactions from January 1st, 2015 on.

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
PRUDENTIAL PLC NEXTENERGY SOL GBP 2017-06-23 82,091,787 14.36%
PRUDENTIAL PLC PORTS & LOGISTICS LIMITED ORD NPV 2017-06-23 60,634,550 14.64%
PRUDENTIAL PLC St Ives PLC 2017-06-14 7,719,887 5.4%
PRUDENTIAL PLC Tullow Oil PLC (New ADR) ADR 2017-06-13 69,725,004 5.04%
PRUDENTIAL PLC VIRGIN MON HLDG 2017-06-01 22,995,359 5.16%
PRUDENTIAL PLC Britvic PLC Ordinary 2017-05-26 16,549,600 6.27%
PRUDENTIAL PLC BERENDSEN PLC UNSPONSORED ADR 2017-05-22 13,577,116 7.86%
PRUDENTIAL PLC Restaurant Group (The) PLC 2017-05-08 11,870,027 5.9%
PRUDENTIAL PLC HgCapital Trust PLC 2017-04-11 4,084,614 10.94%
PRUDENTIAL PLC BIOPHARMA CREDIT PLC ORD USD0.01 2017-03-30 109,000,000 14.3%
PRUDENTIAL PLC ESSENTRA 2017-03-13 15,408,830 5.86%
PRUDENTIAL PLC Henderson Smaller Companies Investment Trust PLC 2017-02-16 2,410,147 3.22%
PRUDENTIAL PLC BLUE CAP GL RSR VR 2017-02-13 19,057,398 10.66%
PRUDENTIAL PLC OPHIR ENERGY 2017-02-10 63,040,874 8.92%
PRUDENTIAL PLC M & G High Income Investment Trust PLC 2017-02-07 250,361,580 49.97%
PRUDENTIAL PLC St. James Place Capital Plc 2017-02-02 27,682,923 5.24%
PRUDENTIAL PLC Petra Diamonds Ordinary 2017-01-19 26,464,990 4.99%
PRUDENTIAL PLC Chesnara PLC 2017-01-04 6,692,370 4.46%
PRUDENTIAL PLC Vitec Group (The) PLC 2016-12-16 3,112,201 6.95%
PRUDENTIAL PLC HONEYCOMB INVESTMENT TRUST PLC ORD 1P 2016-12-16 1,634,482 8.2%
PRUDENTIAL PLC DP Aircraft I Limited 2016-11-15 49,190,421 23.49%
PRUDENTIAL PLC PLC ORD 5P 2016-10-21 30,267,515 8.85%
PRUDENTIAL PLC Signature Aviation PLC 2016-10-03 31,530,272 3.05%
PRUDENTIAL PLC GLOBAL UTILITIES AND INFRASTRUCTURE TRUST PLC ORD 1P 2016-09-26 5,554,029 6.04%
PRUDENTIAL PLC Standard Life UK Smaller Companies Trust PLC 2016-09-09 4,662,407 6.92%
PRUDENTIAL PLC CAPE PLC ORD SHS (UK) 2016-08-26 11,867,052 9.79%
PRUDENTIAL PLC FASTJET 2016-08-09 19,274,776 19.92%
PRUDENTIAL PLC UK Mail Group PLC 2016-08-09 2,494,184 4.52%
PRUDENTIAL PLC RESOURCES PLC A ORD EUR0.0004 2016-08-04 1,092,482,588 22.18%
PRUDENTIAL PLC PLC ORD 5P 2016-08-01 500,963 2.95%
PRUDENTIAL PLC GROUP PLC ORD 5P 2016-07-29 141,251,167 10.03%
PRUDENTIAL PLC Regus plc ADR 2016-07-21 80,776,178 8.68%
PRUDENTIAL PLC Premier Farnell PLC Sponsored ADR 2016-06-15 30,563,769 8.22%
PRUDENTIAL PLC BALFOUR BEATTY PLC UNSPON ADR (UK) 2016-06-14 42,969,270 6.22%
PRUDENTIAL PLC Stobart Group Ltd 2016-06-03 34,353,207 9.97%
PRUDENTIAL PLC INCHCAPE 2016-05-31 15,251,091 3.55%
PRUDENTIAL PLC Provident Financial PLC 2016-05-31 4,307,890 2.91%
PRUDENTIAL PLC LOW & BONAR PLC 2016-05-25 15,819,478 4.8%
PRUDENTIAL PLC REGENERSIS 2016-05-16 10,278,053 17.66%
PRUDENTIAL PLC Avation PLC 2016-05-09 4,200,000 7.54%
PRUDENTIAL PLC BTG 2016-04-22 19,132,868 4.99%
PRUDENTIAL PLC STOCK SPIRITS 2016-04-06 15,279,607 7.63%
PRUDENTIAL PLC Hochschild Mining PLC ADR 2016-03-23 25,176,847 4.97%
PRUDENTIAL PLC CONNECT GROUP 2016-03-23 12,297,662 4.98%
PRUDENTIAL PLC ACCESSO TECY 2016-02-04 1,084,140 4.93%
PRUDENTIAL PLC INDIVIOR PLC ORD HS S(GBR) 2015-12-18 37,217,232 5.17%
PRUDENTIAL PLC PARAGON GROUP 2015-12-08 18,012,554 6.07%
PRUDENTIAL PLC GROUP PLC ORD EUR0.005 2015-11-26 21,907,125 13.77%
PRUDENTIAL PLC Petropavlovsk PLC 2015-11-25 225,155,859 6.86%
PRUDENTIAL PLC BLACKROCK THROGMORTON TRUST PLC ORD 5P 2015-11-24 2,915,372 3.98%
PRUDENTIAL PLC Imagination Technology Group Plc 2015-11-19 29,699,893 10.84%
PRUDENTIAL PLC C&C Group PLC 2015-10-09 13,463,100 3.96%
PRUDENTIAL PLC NB DIST DB GBP-NGL- 2015-09-11 61,341,726 13.06%
PRUDENTIAL PLC SPARK VENTURES 2015-08-07 431,284 11.69%
PRUDENTIAL PLC Xaar PLC 2015-07-03 7,344,491 9.53%
PRUDENTIAL PLC ACT EXPERIENCE 2015-06-16 5,263,157 14.21%
PRUDENTIAL PLC Anite PLC 2015-06-11 18,740,003 6.22%
PRUDENTIAL PLC Lavendon Group PLC 2015-06-01 32,134,507 18.95%
PRUDENTIAL PLC GW Pharmaceuticals PLC 2015-05-28 25,568,479 9.96%
PRUDENTIAL PLC Great Eastern Energy Corp Ltd 2015-05-07 8,617,775 14.46%
PRUDENTIAL PLC GVC HOLD 2015-04-01 2,325,000 3.79%
PRUDENTIAL PLC SYNERGY HEALTH PLC SHS PLC (UK) 2015-03-19 3,144,016 5.31%
PRUDENTIAL PLC ORMONDE MINING 2015-03-11 42,013,876 8.89%
PRUDENTIAL PLC Advanced Computer Software Group PLC 2015-03-02 42,000,000 8.73%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED EXT SHS NPV 2015-01-07 64,292,274 12.41%

Position History

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
PRUDENTIAL PLC Severfield PLC 2017-06-15 41,927,230 13.99%
PRUDENTIAL PLC Tullow Oil PLC (New ADR) ADR 2017-06-12 69,271,752 5.0%
PRUDENTIAL PLC MINING PLC ORD 0.01P 2017-06-09 75,000,000 9.77%
PRUDENTIAL PLC BOVIS HOMES GROUP 2017-06-01 7,549,881 5.61%
PRUDENTIAL PLC CATCO REINSURANCE 2017-05-31 42,043,478 10.73%
PRUDENTIAL PLC Miton Worldwide Growth Ord 2017-05-25 1,294,379 5.12%
PRUDENTIAL PLC CATCO REINSURANCE 2017-05-23 42,309,481 11.88%
PRUDENTIAL PLC Britvic PLC Ordinary 2017-05-17 15,269,000 5.79%
PRUDENTIAL PLC BOVIS HOMES GROUP 2017-05-16 7,503,544 5.57%
PRUDENTIAL PLC Restaurant Group (The) PLC 2017-05-03 11,870,027 5.9%
PRUDENTIAL PLC BERENDSEN PLC UNSPONSORED ADR 2017-04-27 13,441,367 7.78%
PRUDENTIAL PLC Restaurant Group (The) PLC 2017-04-25 11,884,800 5.91%
PRUDENTIAL PLC HgCapital Trust PLC 2017-04-10 4,114,304 11.02%
PRUDENTIAL PLC FX GROUP PLC ORD 0.2P 2017-04-07 1,959,183 5.98%
PRUDENTIAL PLC SPIRENT COMMUNICTS 2017-04-04 61,809,617 10.1%
PRUDENTIAL PLC Phoenix Group Holdings Ordinary 2017-04-04 19,738,783 5.02%
PRUDENTIAL PLC RENEW INF GR GBP 2017-04-03 93,839,726 9.97%
PRUDENTIAL PLC BERENDSEN PLC UNSPONSORED ADR 2017-04-03 13,251,381 7.67%
PRUDENTIAL PLC BIOPHARMA CREDIT PLC ORD USD0.01 2017-03-27 109,000,000 20.69%
PRUDENTIAL PLC BERENDSEN PLC UNSPONSORED ADR 2017-03-24 13,251,381 7.67%
PRUDENTIAL PLC Britvic PLC Ordinary 2017-03-20 15,093,927 5.72%
PRUDENTIAL PLC Phoenix Group Holdings Ordinary 2017-03-16 19,399,691 4.93%
PRUDENTIAL PLC BOVIS HOMES GROUP 2017-03-15 7,501,847 5.57%
PRUDENTIAL PLC Britvic PLC Ordinary 2017-03-15 15,096,274 5.72%
PRUDENTIAL PLC Victrex PLC 2017-03-15 2,750,431 3.2%
PRUDENTIAL PLC BERENDSEN PLC UNSPONSORED ADR 2017-03-14 13,251,381 7.67%
PRUDENTIAL PLC RENEW INF GR GBP 2017-03-14 83,265,752 9.99%
PRUDENTIAL PLC ESSENTRA 2017-03-10 15,004,054 5.7%
PRUDENTIAL PLC RENEW INF GR GBP 2017-03-10 84,512,802 10.14%
PRUDENTIAL PLC Victrex PLC 2017-03-10 2,750,431 3.2%
PRUDENTIAL PLC HARBOURVEST GLOBAL PRIVATE EQUITY LIMITED ORD NPV 2017-03-10 8,655,272 10.83%
PRUDENTIAL PLC BERENDSEN PLC UNSPONSORED ADR 2017-03-09 13,251,381 7.67%
PRUDENTIAL PLC RENEW INF GR GBP 2017-03-09 85,056,659 10.21%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 2017-03-09 55,373,032 16.25%
PRUDENTIAL PLC Victrex PLC 2017-03-08 2,750,431 3.2%
PRUDENTIAL PLC RENEW INF GR GBP 2017-03-07 85,169,779 10.22%
PRUDENTIAL PLC Digital Barriers PLC 2017-03-06 11,666,158 7.06%
PRUDENTIAL PLC BOVIS HOMES GROUP 2017-03-03 7,499,678 5.57%
PRUDENTIAL PLC Severfield PLC 2017-03-01 42,127,230 14.09%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 2017-02-24 52,605,278 15.43%
PRUDENTIAL PLC ESSENTRA 2017-02-23 13,356,466 5.08%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 2017-02-23 52,605,278 14.98%
PRUDENTIAL PLC RENEW INF GR GBP 2017-02-20 88,982,580 10.68%
PRUDENTIAL PLC BOVIS HOMES GROUP 2017-02-20 6,992,662 5.19%
PRUDENTIAL PLC RENEW INF GR GBP 2017-02-17 89,707,580 10.76%
PRUDENTIAL PLC Severfield PLC 2017-02-17 42,127,230 14.09%
PRUDENTIAL PLC Severfield PLC 2017-02-13 42,127,230 14.09%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 2017-02-13 53,887,532 15.33%
PRUDENTIAL PLC Miton Worldwide Growth Ord 2017-02-03 1,294,379 5.12%
PRUDENTIAL PLC HOLDINGS PLC ORD 1.5P 2017-02-03 1,248,490 6.68%
PRUDENTIAL PLC Restaurant Group (The) PLC 2017-02-03 11,921,242 5.92%
PRUDENTIAL PLC Eco Animal Health Group PLC 2017-01-19 7,680,862 11.75%
PRUDENTIAL PLC Petra Diamonds Ordinary 2017-01-18 26,592,106 5.01%
PRUDENTIAL PLC St. James Place Capital Plc 2017-01-17 26,814,269 5.08%
PRUDENTIAL PLC St. James Place Capital Plc 2017-01-16 26,490,037 5.02%
PRUDENTIAL PLC VIRGIN MON HLDG 2017-01-13 16,018,229 3.6%
PRUDENTIAL PLC McCarthy & Stone Plc 2017-01-13 27,618,103 5.14%
PRUDENTIAL PLC McCarthy & Stone Plc 2017-01-12 26,919,346 5.0%
PRUDENTIAL PLC Restaurant Group (The) PLC 2017-01-11 12,733,360 6.33%
PRUDENTIAL PLC VIRGIN MON HLDG 2017-01-06 16,018,229 3.6%
PRUDENTIAL PLC M & G High Income Investment Trust PLC 2017-01-03 255,492,236 50.99%
PRUDENTIAL PLC BLUE CAP GL RSR VR 2016-12-30 19,057,398 10.66%
PRUDENTIAL PLC HARBOURVEST GLOBAL PRIVATE EQUITY LIMITED ORD NPV 2016-12-30 8,243,928 10.32%
PRUDENTIAL PLC Victrex PLC 2016-12-28 2,752,475 3.21%
PRUDENTIAL PLC HARBOURVEST GLOBAL PRIVATE EQUITY LIMITED ORD NPV 2016-12-21 8,243,928 10.32%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 2016-12-19 51,887,519 14.74%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 2016-12-15 1,504,147 4.0%
PRUDENTIAL PLC Chesnara PLC 2016-12-15 7,663,873 5.11%
PRUDENTIAL PLC Tullow Oil PLC (New ADR) ADR 2016-12-13 45,298,758 4.96%
PRUDENTIAL PLC Electra Private Equity PLC 2016-12-13 3,634,169 9.02%
PRUDENTIAL PLC Tullow Oil PLC (New ADR) ADR 2016-12-12 45,809,457 5.02%
PRUDENTIAL PLC Tullow Oil PLC (New ADR) ADR 2016-12-08 49,179,287 5.38%
PRUDENTIAL PLC EI GROUP PLC ADR 2016-12-08 69,323,645 14.17%
PRUDENTIAL PLC SPIRENT COMMUNICTS 2016-12-06 61,712,760 10.08%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-12-06 13,006,480 6.46%
PRUDENTIAL PLC EI GROUP PLC ADR 2016-12-05 68,611,161 14.01%
PRUDENTIAL PLC VIRGIN MON HLDG 2016-12-01 14,003,154 3.14%
PRUDENTIAL PLC Tullow Oil PLC (New ADR) ADR 2016-11-28 45,672,826 5.0%
PRUDENTIAL PLC EI GROUP PLC ADR 2016-11-28 68,536,597 13.96%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-11-28 13,193,028 5.01%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2016-11-25 79,032,769 17.42%
PRUDENTIAL PLC SPIRENT COMMUNICTS 2016-11-22 61,712,760 10.08%
PRUDENTIAL PLC OPHIR ENERGY 2016-11-22 70,388,599 9.96%
PRUDENTIAL PLC Tullow Oil PLC (New ADR) ADR 2016-11-22 45,618,351 4.99%
PRUDENTIAL PLC Close Brothers Group PLC 2016-11-21 8,659,956 5.77%
PRUDENTIAL PLC OPHIR ENERGY 2016-11-21 72,049,735 10.2%
PRUDENTIAL PLC Tullow Oil PLC (New ADR) ADR 2016-11-18 45,757,356 5.01%
PRUDENTIAL PLC OPHIR ENERGY 2016-11-18 73,195,298 10.36%
PRUDENTIAL PLC Close Brothers Group PLC 2016-11-17 8,659,956 5.77%
PRUDENTIAL PLC Henderson Smaller Companies Investment Trust PLC 2016-11-15 2,372,588 3.17%
PRUDENTIAL PLC Electra Private Equity PLC 2016-11-14 3,637,169 9.03%
PRUDENTIAL PLC OPHIR ENERGY 2016-11-14 77,360,189 10.95%
PRUDENTIAL PLC CATCO REINSURANCE 2016-11-07 42,515,941 11.31%
PRUDENTIAL PLC SPIRENT COMMUNICTS 2016-11-03 61,712,760 10.08%
PRUDENTIAL PLC SPIRENT COMMUNICTS 2016-10-27 61,712,760 10.08%
PRUDENTIAL PLC RENEW INF GR GBP 2016-10-21 88,136,431 10.6%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2016-10-21 78,966,383 23.0%
PRUDENTIAL PLC Henderson Smaller Companies Investment Trust PLC 2016-10-20 2,372,588 3.17%
PRUDENTIAL PLC HANSTEEN HOLDINGS PLC ORD SHS (UK) 2016-10-19 37,439,546 5.02%
PRUDENTIAL PLC WORKSPACE GRP 2016-10-18 8,247,226 5.05%
PRUDENTIAL PLC WORKSPACE GRP 2016-10-17 8,197,226 5.02%
PRUDENTIAL PLC WORKSPACE GRP 2016-10-10 5,052,599 3.09%
PRUDENTIAL PLC M & G High Income Investment Trust PLC 2016-10-06 260,495,214 51.99%
PRUDENTIAL PLC RENEW INF GR GBP 2016-09-30 86,041,275 10.35%
PRUDENTIAL PLC GLOBAL UTILITIES AND INFRASTRUCTURE TRUST PLC ORD 1P 2016-09-26 9,266,529 10.08%
PRUDENTIAL PLC Signature Aviation PLC 2016-09-26 31,530,272 3.05%
PRUDENTIAL PLC BBGI SICAV S.A. ORD NPV (DI) 2016-09-21 64,297,577 14.88%
PRUDENTIAL PLC Signature Aviation PLC 2016-09-15 31,597,264 3.06%
PRUDENTIAL PLC PLC ORD 5P 2016-09-14 37,513,596 10.97%
PRUDENTIAL PLC Signature Aviation PLC 2016-09-08 31,597,264 3.06%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-08-31 13,080,229 6.5%
PRUDENTIAL PLC Signature Aviation PLC 2016-08-30 31,686,736 3.07%
PRUDENTIAL PLC RESOURCES PLC ORD 0.1P 2016-08-30 3,092,998 11.35%
PRUDENTIAL PLC M & G High Income Investment Trust PLC 2016-08-25 262,404,712 52.37%
PRUDENTIAL PLC PLC ORD 5P 2016-08-24 38,054,099 11.13%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-08-22 13,080,229 6.5%
PRUDENTIAL PLC Eco Animal Health Group PLC 2016-08-19 8,330,000 12.87%
PRUDENTIAL PLC CAPE PLC ORD SHS (UK) 2016-08-19 14,406,622 11.89%
PRUDENTIAL PLC OPHIR ENERGY 2016-08-15 80,462,526 11.39%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-08-08 13,102,948 4.98%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2016-08-04 75,953,990 22.81%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2016-08-03 75,953,990 23.22%
PRUDENTIAL PLC M & G High Income Investment Trust PLC 2016-08-02 260,441,800 51.98%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 2016-08-01 1,507,882 4.0%
PRUDENTIAL PLC PLC ORD 5P 2016-07-29 38,314,281 11.21%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-07-28 13,145,131 6.53%
PRUDENTIAL PLC UK Mail Group PLC 2016-07-28 2,885,907 5.23%
PRUDENTIAL PLC UK Mail Group PLC 2016-07-28 2,885,907 5.23%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2016-07-27 75,953,990 23.6%
PRUDENTIAL PLC RESOURCES PLC ORD 0.1P 2016-07-27 4,627,998 16.99%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 2016-07-26 1,507,882 3.99%
PRUDENTIAL PLC MORGAN ADV 2016-07-26 28,533,428 9.99%
PRUDENTIAL PLC PZ Cussons PLC 2016-07-19 22,092,376 5.15%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 2016-07-19 1,514,742 4.01%
PRUDENTIAL PLC RESOURCES PLC A ORD EUR0.0004 2016-07-19 1,092,482,588 22.66%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-07-14 13,189,126 5.01%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-07-12 13,192,360 5.01%
PRUDENTIAL PLC PZ Cussons PLC 2016-07-07 22,512,779 5.25%
PRUDENTIAL PLC Eco Animal Health Group PLC 2016-07-05 8,730,000 13.62%
PRUDENTIAL PLC RENEW INF GR GBP 2016-06-30 86,038,525 11.22%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-06-29 13,192,360 5.02%
PRUDENTIAL PLC MORGAN ADV 2016-06-27 28,663,418 10.04%
PRUDENTIAL PLC RESOURCES PLC A ORD EUR0.0004 2016-06-24 1,092,482,588 29.02%
PRUDENTIAL PLC OPHIR ENERGY 2016-06-22 80,893,144 11.45%
PRUDENTIAL PLC MORGAN ADV 2016-06-20 28,475,620 9.97%
PRUDENTIAL PLC MORGAN ADV 2016-06-20 28,475,620 9.97%
PRUDENTIAL PLC OPHIR ENERGY 2016-06-17 80,863,559 11.45%
PRUDENTIAL PLC Porvair PLC 2016-06-15 4,000,000 8.86%
PRUDENTIAL PLC Severfield PLC 2016-06-15 44,523,933 14.96%
PRUDENTIAL PLC Phoenix Group Holdings Ordinary 2016-06-10 12,649,238 5.1%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-06-08 12,957,042 6.44%
PRUDENTIAL PLC Severfield PLC 2016-06-07 44,643,933 15.0%
PRUDENTIAL PLC RENEW INF GR GBP 2016-06-01 86,035,710 11.22%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 2016-05-27 1,514,742 3.95%
PRUDENTIAL PLC Regus plc ADR 2016-05-26 83,868,451 8.99%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-05-24 13,065,269 6.49%
PRUDENTIAL PLC INCHCAPE 2016-05-23 21,579,214 5.02%
PRUDENTIAL PLC CAPE PLC ORD SHS (UK) 2016-05-20 15,725,805 12.98%
PRUDENTIAL PLC RENEW INF GR GBP 2016-05-19 85,960,710 11.21%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-05-18 13,085,621 4.98%
PRUDENTIAL PLC OPHIR ENERGY 2016-05-18 80,276,495 11.36%
PRUDENTIAL PLC Porvair PLC 2016-05-16 4,923,000 10.9%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 2016-05-13 54,044,380 14.26%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-05-11 12,338,162 6.13%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-05-10 13,135,621 5.0%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-05-09 13,235,621 5.03%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2016-05-06 69,495,459 25.0%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-05-06 13,235,621 5.03%
PRUDENTIAL PLC OPHIR ENERGY 2016-05-05 80,230,737 11.36%
PRUDENTIAL PLC OPHIR ENERGY 2016-05-04 80,230,737 11.36%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-05-03 11,808,833 5.87%
PRUDENTIAL PLC INCHCAPE 2016-05-03 21,579,214 5.01%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 2016-05-03 54,044,380 14.25%
PRUDENTIAL PLC Victrex PLC 2016-04-28 4,274,860 4.99%
PRUDENTIAL PLC LOW & BONAR PLC 2016-04-28 16,569,478 5.03%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 2016-04-28 55,353,560 14.59%
PRUDENTIAL PLC EI GROUP PLC ADR 2016-04-27 66,729,999 13.23%
PRUDENTIAL PLC Provident Financial PLC 2016-04-27 4,639,350 3.14%
PRUDENTIAL PLC EI GROUP PLC ADR 2016-04-25 65,605,376 13.01%
PRUDENTIAL PLC EI GROUP PLC ADR 2016-04-19 65,234,383 12.92%
PRUDENTIAL PLC HgCapital Trust PLC 2016-04-19 4,457,049 11.94%
PRUDENTIAL PLC INCHCAPE 2016-04-19 21,579,214 5.01%
PRUDENTIAL PLC LOW & BONAR PLC 2016-04-15 16,569,478 5.03%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-04-12 11,808,833 5.87%
PRUDENTIAL PLC INCHCAPE 2016-04-07 21,581,093 5.0%
PRUDENTIAL PLC M & G High Income Investment Trust PLC 2016-04-01 265,478,306 52.98%
PRUDENTIAL PLC Britvic PLC Ordinary 2016-03-31 13,235,621 5.04%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 2016-03-30 55,353,570 14.0%
PRUDENTIAL PLC INCHCAPE 2016-03-30 21,581,093 4.99%
PRUDENTIAL PLC STOCK SPIRITS 2016-03-23 15,259,967 7.62%
PRUDENTIAL PLC BOVIS HOMES GROUP 2016-03-22 6,576,735 4.89%
PRUDENTIAL PLC Hochschild Mining PLC ADR 2016-03-22 25,989,315 5.14%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-03-18 11,708,833 5.82%
PRUDENTIAL PLC REGENERSIS 2016-03-18 10,278,053 13.0%
PRUDENTIAL PLC BOVIS HOMES GROUP 2016-03-16 6,772,006 5.03%
PRUDENTIAL PLC OPHIR ENERGY 2016-03-16 79,679,844 11.28%
PRUDENTIAL PLC SPIRENT COMMUNICTS 2016-03-16 67,263,910 10.99%
PRUDENTIAL PLC SPIRENT COMMUNICTS 2016-03-15 67,486,656 11.03%
PRUDENTIAL PLC BLUE CAP GL RSR VR 2016-03-15 25,680,000 12.89%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-03-11 11,708,833 5.82%
PRUDENTIAL PLC RESOURCES PLC A ORD EUR0.0004 2016-03-09 632,752,105 19.18%
PRUDENTIAL PLC OPHIR ENERGY 2016-03-09 79,689,091 11.29%
PRUDENTIAL PLC OPHIR ENERGY 2016-03-07 79,689,091 11.29%
PRUDENTIAL PLC OPHIR ENERGY 2016-03-04 79,689,091 11.29%
PRUDENTIAL PLC Porvair PLC 2016-03-03 5,408,643 11.98%
PRUDENTIAL PLC OPHIR ENERGY 2016-03-03 79,689,091 11.29%
PRUDENTIAL PLC OPHIR ENERGY 2016-03-01 79,689,091 11.29%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 2016-02-29 1,623,733 4.15%
PRUDENTIAL PLC BOVIS HOMES GROUP 2016-02-26 6,810,930 5.06%
PRUDENTIAL PLC Tullow Oil PLC (New ADR) ADR 2016-02-25 46,045,258 5.05%
PRUDENTIAL PLC OXFORD BIOMEDICA PLC ORD SHS (BMU) 2016-02-25 490,443,106 18.14%
PRUDENTIAL PLC BOVIS HOMES GROUP 2016-02-18 6,853,351 5.09%
PRUDENTIAL PLC BERENDSEN PLC UNSPONSORED ADR 2016-02-17 14,391,388 8.33%
PRUDENTIAL PLC BOVIS HOMES GROUP 2016-02-15 6,927,178 5.15%
PRUDENTIAL PLC M & G High Income Investment Trust PLC 2016-02-15 265,517,028 52.99%
PRUDENTIAL PLC Premier Farnell PLC Sponsored ADR 2016-02-05 31,519,294 8.48%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 2016-02-05 1,623,733 4.14%
PRUDENTIAL PLC BOVIS HOMES GROUP 2016-02-04 6,927,178 5.15%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 2016-02-03 1,623,733 4.14%
PRUDENTIAL PLC BOVIS HOMES GROUP 2016-02-02 6,938,299 5.16%
PRUDENTIAL PLC BOVIS HOMES GROUP 2016-02-01 7,017,276 5.22%
PRUDENTIAL PLC OPHIR ENERGY 2016-01-28 78,711,376 11.15%
PRUDENTIAL PLC Electra Private Equity PLC 2016-01-25 3,761,802 9.34%
PRUDENTIAL PLC Provident Financial PLC 2016-01-25 7,376,604 5.01%
PRUDENTIAL PLC BBGI SICAV S.A. ORD NPV (DI) 2016-01-21 69,164,769 16.07%
PRUDENTIAL PLC Restaurant Group (The) PLC 2016-01-21 10,065,216 5.0%
PRUDENTIAL PLC BBGI SICAV S.A. ORD NPV (DI) 2016-01-14 67,912,153 15.77%
PRUDENTIAL PLC BBGI SICAV S.A. ORD NPV (DI) 2016-01-13 67,312,153 15.63%
PRUDENTIAL PLC ACCESSO TECY 2016-01-12 1,134,140 5.15%
PRUDENTIAL PLC Digital Barriers PLC 2016-01-11 0 0%
PRUDENTIAL PLC PLC ORD 5P 2016-01-11 42,962,908 12.57%
PRUDENTIAL PLC Electra Private Equity PLC 2015-12-30 3,811,476 9.46%
PRUDENTIAL PLC Restaurant Group (The) PLC 2015-12-24 8,848,300 4.4%
PRUDENTIAL PLC CAPE PLC ORD SHS (UK) 2015-12-22 16,944,402 13.99%
PRUDENTIAL PLC Stobart Group Ltd 2015-12-17 36,710,648 10.66%
PRUDENTIAL PLC OPHIR ENERGY 2015-12-11 77,757,214 11.01%
PRUDENTIAL PLC Standard Life UK Smaller Companies Trust PLC 2015-12-08 5,019,960 7.53%
PRUDENTIAL PLC Restaurant Group (The) PLC 2015-12-07 8,848,300 4.4%
PRUDENTIAL PLC Restaurant Group (The) PLC 2015-12-04 8,848,300 4.4%
PRUDENTIAL PLC RESOURCES PLC A ORD EUR0.0004 2015-11-27 632,752,105 9.49%
PRUDENTIAL PLC Signature Aviation PLC 2015-11-27 32,649,608 3.16%
PRUDENTIAL PLC NATIONAL EXP GRP 2015-11-27 50,987,079 9.96%
PRUDENTIAL PLC DP Aircraft I Limited 2015-11-25 46,914,412 22.41%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2015-11-25 69,495,459 25.0%
PRUDENTIAL PLC Electra Private Equity PLC 2015-11-25 3,317,111 9.09%
PRUDENTIAL PLC CAPE PLC ORD SHS (UK) 2015-11-24 17,287,834 14.27%
PRUDENTIAL PLC FBD HOLDS 2015-11-24 1,445,475 4.17%
PRUDENTIAL PLC BACANORA MINERALS LTD COM (CDA) 2015-11-19 8,399,642 8.69%
PRUDENTIAL PLC HOLDINGS PLC ORD 1.5P 2015-11-19 478,490 4.52%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2015-11-18 69,495,459 25.0%
PRUDENTIAL PLC RENEW INF GR GBP 2015-11-17 84,992,778 11.59%
PRUDENTIAL PLC Severfield PLC 2015-11-13 44,509,946 14.96%
PRUDENTIAL PLC Regus plc ADR 2015-11-13 91,334,639 9.82%
PRUDENTIAL PLC Premier Farnell PLC Sponsored ADR 2015-11-10 31,126,375 8.37%
PRUDENTIAL PLC CATCO REINSURANCE 2015-11-02 42,396,898 11.72%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2015-10-30 69,464,799 24.99%
PRUDENTIAL PLC EI GROUP PLC ADR 2015-10-21 60,737,717 12.0%
PRUDENTIAL PLC Novae Group PLC 2015-10-09 6,421,925 0%
PRUDENTIAL PLC EI GROUP PLC ADR 2015-10-08 59,764,405 11.81%
PRUDENTIAL PLC UDG Healthcare PLC 2015-10-05 12,243,598 4.99%
PRUDENTIAL PLC RENEW INF GR GBP 2015-10-03 87,313,550 10.5%
PRUDENTIAL PLC UDG Healthcare PLC 2015-10-01 12,293,598 5.02%
PRUDENTIAL PLC RENEW INF GR GBP 2015-09-30 66,276,129 10.12%
PRUDENTIAL PLC HOMESERVE PLC 2015-09-25 17,302,878 5.62%
PRUDENTIAL PLC Severfield PLC 2015-09-25 44,909,946 15.09%
PRUDENTIAL PLC Regus plc ADR 2015-09-23 92,756,956 9.97%
PRUDENTIAL PLC EI GROUP PLC ADR 2015-09-15 55,922,811 11.05%
PRUDENTIAL PLC EI GROUP PLC ADR 2015-09-14 54,915,480 10.85%
PRUDENTIAL PLC St. James Place Capital Plc 2015-09-11 0 0.0%
PRUDENTIAL PLC OPHIR ENERGY 2015-09-10 72,551,680 10.28%
PRUDENTIAL PLC MORGAN ADV 2015-09-09 31,389,883 10.99%
PRUDENTIAL PLC Vitec Group (The) PLC 2015-09-09 3,128,834 7.05%
PRUDENTIAL PLC OPHIR ENERGY 2015-09-07 65,982,052 9.35%
PRUDENTIAL PLC OPHIR ENERGY 2015-09-07 69,627,298 9.87%
PRUDENTIAL PLC Signature Aviation PLC 2015-08-27 0 0.0%
PRUDENTIAL PLC HgCapital Trust PLC 2015-08-25 4,699,857 12.59%
PRUDENTIAL PLC C&C Group PLC 2015-08-25 16,027,771 4.71%
PRUDENTIAL PLC LOW & BONAR PLC 2015-08-19 0 0%
PRUDENTIAL PLC M & G High Income Investment Trust PLC 2015-08-17 270,468,044 53.98%
PRUDENTIAL PLC FBD HOLDS 2015-08-06 1,575,475 4.54%
PRUDENTIAL PLC OXFORD BIOMEDICA PLC ORD SHS (BMU) 2015-08-05 462,983,605 17.99%
PRUDENTIAL PLC Cobham Plc 2015-08-04 57,114,339 5.01%
PRUDENTIAL PLC Aggreko plc 2015-08-03 12,874,582 5.02%
PRUDENTIAL PLC Imagination Technology Group Plc 2015-08-03 29,976,473 10.99%
PRUDENTIAL PLC Novae Group PLC 2015-07-31 7,057,166 10.95%
PRUDENTIAL PLC Porvair PLC 2015-07-29 5,800,000 12.94%
PRUDENTIAL PLC RENEW INF GR GBP 2015-07-29 64,140,584 9.85%
PRUDENTIAL PLC Regus plc ADR 2015-07-28 102,185,104 10.99%
PRUDENTIAL PLC Britvic PLC Ordinary 2015-07-28 13,191,036 5.05%
PRUDENTIAL PLC CAPE PLC ORD SHS (UK) 2015-07-27 18,057,032 14.91%
PRUDENTIAL PLC Petropavlovsk PLC 2015-07-21 325,636,348 9.93%
PRUDENTIAL PLC UDG Healthcare PLC 2015-07-16 14,575,241 5.95%
PRUDENTIAL PLC GROUP PLC ORD 5P 2015-07-15 140,851,167 10.0%
PRUDENTIAL PLC C&C Group PLC 2015-07-13 16,688,100 4.9%
PRUDENTIAL PLC UK Mail Group PLC 2015-07-13 5,324,660 9.72%
PRUDENTIAL PLC PLC ORD 5P 2015-07-13 40,861,531 11.95%
PRUDENTIAL PLC OIL & GAS (HOLDINGS) PLC ORD 1P 2015-07-10 18,294,817 8.13%
PRUDENTIAL PLC Novae Group PLC 2015-07-08 7,402,159 11.48%
PRUDENTIAL PLC PLC ORD 5P 2015-07-01 42,088,119 12.31%
PRUDENTIAL PLC De La Rue Plc ADR 2015-06-29 5,465,597 5.39%
PRUDENTIAL PLC C&C Group PLC 2015-06-17 17,091,343 5.03%
PRUDENTIAL PLC Aggreko plc 2015-06-15 13,147,170 5.13%
PRUDENTIAL PLC Electra Private Equity PLC 2015-06-15 1,835 0.0%
PRUDENTIAL PLC Petropavlovsk PLC 2015-06-12 329,758,869 10.05%
PRUDENTIAL PLC DP Aircraft I Limited 2015-06-12 45,685,498 21.82%
PRUDENTIAL PLC Electra Private Equity PLC 2015-06-10 1,835 0.0%
PRUDENTIAL PLC Cobham Plc 2015-06-10 0 0.0%
PRUDENTIAL PLC C&C Group PLC 2015-06-09 16,908,900 4.97%
PRUDENTIAL PLC De La Rue Plc ADR 2015-06-03 8,378,078 8.28%
PRUDENTIAL PLC De La Rue Plc ADR 2015-06-02 9,012,705 8.91%
PRUDENTIAL PLC Imagination Technology Group Plc 2015-06-01 29,976,473 11.03%
PRUDENTIAL PLC Stobart Group Ltd 2015-05-27 38,818,359 11.83%
PRUDENTIAL PLC Petropavlovsk PLC 2015-05-27 327,345,413 9.98%
PRUDENTIAL PLC MORGAN ADV 2015-05-26 33,062,790 11.58%
PRUDENTIAL PLC Novae Group PLC 2015-05-21 7,695,477 11.94%
PRUDENTIAL PLC Henderson Smaller Companies Investment Trust PLC 2015-05-19 2,897,854 3.87%
PRUDENTIAL PLC Imagination Technology Group Plc 2015-05-19 29,976,473 10.38%
PRUDENTIAL PLC OPHIR ENERGY 2015-05-19 59,413,355 8.42%
PRUDENTIAL PLC Stobart Group Ltd 2015-05-15 41,929,510 12.78%
PRUDENTIAL PLC Stobart Group Ltd 2015-05-11 42,518,427 12.96%
PRUDENTIAL PLC GW Pharmaceuticals PLC 2015-05-07 26,190,529 10.2%
PRUDENTIAL PLC Thorntons PLC 2015-05-07 4,747,193 6.88%
PRUDENTIAL PLC UDG Healthcare PLC 2015-04-30 17,070,751 6.98%
PRUDENTIAL PLC Petropavlovsk PLC 2015-04-23 327,936,305 10.0%
PRUDENTIAL PLC FASTJET 2015-04-22 9,803,436 14.75%
PRUDENTIAL PLC Electra Private Equity PLC 2015-04-22 1,835 0.0%
PRUDENTIAL PLC RENEW INF GR GBP 2015-04-22 64,140,584 12.23%
PRUDENTIAL PLC NATIONAL EXP GRP 2015-04-16 56,149,081 10.97%
PRUDENTIAL PLC C&C Group PLC 2015-04-16 18,676,900 5.5%
PRUDENTIAL PLC Petropavlovsk PLC 2015-04-16 327,317,470 9.98%
PRUDENTIAL PLC Petropavlovsk PLC 2015-04-15 327,874,421 10.0%
PRUDENTIAL PLC De La Rue Plc ADR 2015-04-15 10,961,441 10.83%
PRUDENTIAL PLC Petropavlovsk PLC 2015-04-13 327,379,353 9.98%
PRUDENTIAL PLC Petropavlovsk PLC 2015-04-10 328,121,955 10.0%
PRUDENTIAL PLC De La Rue Plc ADR 2015-04-09 11,371,886 11.24%
PRUDENTIAL PLC EI GROUP PLC ADR 2015-04-08 50,601,905 10.0%
PRUDENTIAL PLC Electra Private Equity PLC 2015-04-02 1,835 0.0%
PRUDENTIAL PLC Novae Group PLC 2015-04-02 8,157,928 12.66%
PRUDENTIAL PLC RENEW INF GR GBP 2015-03-31 64,140,584 12.41%
PRUDENTIAL PLC M & G High Income Investment Trust PLC 2015-03-30 275,515,640 54.99%
PRUDENTIAL PLC Electra Private Equity PLC 2015-03-27 1,835 0.0%
PRUDENTIAL PLC MORGAN ADV 2015-03-27 34,223,873 11.99%
PRUDENTIAL PLC Electra Private Equity PLC 2015-03-26 1,835 0.0%
PRUDENTIAL PLC Regus plc ADR 2015-03-24 112,561,136 11.99%
PRUDENTIAL PLC De La Rue Plc ADR 2015-03-24 13,106,702 12.96%
PRUDENTIAL PLC UDG Healthcare PLC 2015-03-20 19,246,251 7.87%
PRUDENTIAL PLC FBD HOLDS 2015-03-20 1,133,206 3.27%
PRUDENTIAL PLC Novae Group PLC 2015-03-20 8,730,160 13.55%
PRUDENTIAL PLC Petropavlovsk PLC 2015-03-18 307,329,102 9.37%
PRUDENTIAL PLC UBM PLC ORDINARY SHARES (JERSEY) 2015-03-18 22,226,259 5.02%
PRUDENTIAL PLC UDG Healthcare PLC 2015-03-17 19,651,096 8.03%
PRUDENTIAL PLC GW Pharmaceuticals PLC 2015-03-16 28,141,621 11.86%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2015-02-27 60,093,683 25.0%
PRUDENTIAL PLC Thorntons PLC 2015-02-26 4,791,621 6.95%
PRUDENTIAL PLC Advanced Computer Software Group PLC 2015-02-24 51,645,777 10.73%
PRUDENTIAL PLC Advanced Computer Software Group PLC 2015-02-23 57,239,576 11.9%
PRUDENTIAL PLC GW Pharmaceuticals PLC 2015-02-13 30,274,529 12.79%
PRUDENTIAL PLC Stobart Group Ltd 2015-02-12 45,276,347 13.8%
PRUDENTIAL PLC KINGSPAN GRP 2015-02-05 6,855,000 3.99%
PRUDENTIAL PLC HgCapital Trust PLC 2015-02-04 4,479,550 12.0%
PRUDENTIAL PLC Electra Private Equity PLC 2015-01-28 1,835 0.0%
PRUDENTIAL PLC De La Rue Plc ADR 2015-01-28 14,152,198 13.99%
PRUDENTIAL PLC Electra Private Equity PLC 2015-01-27 1,835 0.0%
PRUDENTIAL PLC Stobart Group Ltd 2015-01-23 45,698,738 13.93%
PRUDENTIAL PLC BOVIS HOMES GROUP 2015-01-15 6,817,739 5.07%
PRUDENTIAL PLC NEXTENERGY SOL GBP 2015-01-09 44,265,000 24.5%
PRUDENTIAL PLC Electra Private Equity PLC 2015-01-09 1,835 0.0%
PRUDENTIAL PLC NB DIST DB GBP-NGL- 2015-01-07 64,292,274 12.41%
PRUDENTIAL PLC Imagination Technology Group Plc 2015-01-05 32,000,876 11.82%
PRUDENTIAL PLC Electra Private Equity PLC 2015-01-05 1,835 0.0%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 2015-01-02 0 0%
PRUDENTIAL PLC CONNECT GROUP 2014-12-17 13,063,367 5.36%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 0 0%
PRUDENTIAL PLC Phoenix Group Holdings Ordinary 0 0%
PRUDENTIAL PLC UDG Healthcare PLC 9,824 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC FBD HOLDS 2,451,512 0%
PRUDENTIAL PLC HARBOURVEST GLOBAL PRIVATE EQUITY LIMITED ORD NPV 0 0%
PRUDENTIAL PLC Miton Worldwide Growth Ord 0 0%
PRUDENTIAL PLC HARBOURVEST GLOBAL PRIVATE EQUITY LIMITED ORD NPV 0 0%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 0 0%
PRUDENTIAL PLC Phoenix Group Holdings Ordinary 0 0%
PRUDENTIAL PLC WORKSPACE GRP 0 0%
PRUDENTIAL PLC CHEMRING GROUP 0 0%
PRUDENTIAL PLC WH SMITH PLC SHS (GBR) 0 0%
PRUDENTIAL PLC WH SMITH PLC SHS (GBR) 0 0%
PRUDENTIAL PLC CHEMRING GROUP 0 0%
PRUDENTIAL PLC EI GROUP PLC ADR 0 0%
PRUDENTIAL PLC RENEW INF GR GBP 0 0%
PRUDENTIAL PLC BACANORA MINERALS LTD COM (CDA) 0 0%
PRUDENTIAL PLC CATCO REINSURANCE 0 0%
PRUDENTIAL PLC Jupiter Fund Management PLC 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC EI GROUP PLC ADR 0 0%
PRUDENTIAL PLC WH SMITH PLC SHS (GBR) 0 0%
PRUDENTIAL PLC HOLDINGS PLC ORD 1.5P 0 0%
PRUDENTIAL PLC Miton Worldwide Growth Ord 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC HARBOURVEST GLOBAL PRIVATE EQUITY LIMITED ORD NPV 0 0%
PRUDENTIAL PLC BOVIS HOMES GROUP 0 0%
PRUDENTIAL PLC Close Brothers Group PLC 0 0%
PRUDENTIAL PLC UDG Healthcare PLC 7,483,293 0%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC WH SMITH PLC SHS (GBR) 0 0%
PRUDENTIAL PLC FBD HOLDS 1,489,791 0%
PRUDENTIAL PLC BBGI SICAV S.A. ORD NPV (DI) 15 63405443.0%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 0 0%
PRUDENTIAL PLC FBD HOLDS 1,881,023 0%
PRUDENTIAL PLC WH SMITH PLC SHS (GBR) 0 0%
PRUDENTIAL PLC RENEW INF GR GBP 0 0%
PRUDENTIAL PLC Electra Private Equity PLC 0 0%
PRUDENTIAL PLC BOVIS HOMES GROUP 0 0%
PRUDENTIAL PLC HOTEL GROUP PLC ORD EUR0.01 9,176,149 0%
PRUDENTIAL PLC CATCO REINSURANCE 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC Phoenix Group Holdings Ordinary 0 0%
PRUDENTIAL PLC Miton Worldwide Growth Ord 0 0%
PRUDENTIAL PLC HARBOURVEST GLOBAL PRIVATE EQUITY LIMITED ORD NPV 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC CHEMRING GROUP 0 0%
PRUDENTIAL PLC EI GROUP PLC ADR 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC HOLDINGS PLC ORD 1.5P 0 0%
PRUDENTIAL PLC Phoenix Group Holdings Ordinary 0 0%
PRUDENTIAL PLC NB DISTRESSED DEBT INVESTMENT FUND LIMITED ORD NPV 0 0%
PRUDENTIAL PLC BOVIS HOMES GROUP 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC HOTEL GROUP PLC ORD EUR0.01 9,833,849 0%
PRUDENTIAL PLC HOTEL GROUP PLC ORD EUR0.01 7,440,249 0%
PRUDENTIAL PLC BOVIS HOMES GROUP 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC Phoenix Group Holdings Ordinary 0 0%
PRUDENTIAL PLC McCarthy & Stone Plc 0 0%
PRUDENTIAL PLC BIOTECHNOLOGY TRUST PLC ORD 25P 0 0%
PRUDENTIAL PLC WH SMITH PLC SHS (GBR) 0 0%
PRUDENTIAL PLC FBD HOLDS 2,325,276 0%

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