PRUDENTIAL PLC

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

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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 2021-01-25). Their last reported 13F filing for Q4 2020 included $18,827,546,000 in managed 13F securities and a top 10 holdings concentration of 25.02%. Prudential PLC's largest holding is SPDR S&P Financial ETF with shares held of 29,086,878. Prudential PLC has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 91 13F filings

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12/31/2020

13F Activity

  • Market Value $18.828 Billion
  • Prior Market Value $20.081 Billion
  • New Purchases77 stocks
  • Additional Purchases108 stocks
  • Sold out of62 stocks
  • Reduced holdings in354 stocks
  • Top 10 Holdings % 25.02 %
  • Turnover % [1]:23.13%
  • Turnover Alt % [2]: 15.15 %
  • Time Held Top20:5.35 quarters
  • Time Held Top10:5.50 quarters
  • Time Held All:15.86 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.

12/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-02-16

Performance for Q4 2020: 13.68%
Performance Last 4 Quarters: 14.2%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
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
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 Angang Steel Co. Ltd. - H Shares 2021-02-10 Long 3.074 6,758,000 122,164,000 8.65% Hong Kong
Prudential plc China Everbright Ltd. 2020-11-02 Long 10.421 958,000 152,088,000 9.02% 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
East Waves Investments Limited China SCE Group Holdings Ltd. 2020-10-15 Long 3.508 230,230,000 230,230,000 5.45% 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
Eastspring Investments COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2020-11-23 Long 3.457 2,244,000 66,288,000 5.11% 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
Prudential plc SINOPEC Engineering (Group) Co., Ltd. - H Shares 2020-08-04 Long 3.452 1,501,500 160,612,000 10.99% 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 Angang Steel Co. Ltd. - H Shares 2021-02-04 Long 3.081 3,530,000 140,724,000 9.96% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2021-01-25 Long 3.365 9,316,000 148,348,000 10.5% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-12-02 Long 0.0 0 161,241,400 11.42% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-11-16 Long 2.562 2,824,000 167,655,400 11.87% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-11-03 Long 2.3 1,000,000 169,581,400 12.01% Hong Kong
Eastspring Investments Angang Steel Co. Ltd. - H Shares 2020-10-28 Long 2.319 3,780,000 102,163,400 7.23% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-10-27 Long 2.32 4,300,000 157,931,400 11.18% Hong Kong
Eastspring Investments Angang Steel Co. Ltd. - H Shares 2020-09-28 Long 2.08 1,058,000 85,361,400 6.04% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-09-24 Long 2.062 1,838,000 142,383,400 10.08% Hong Kong
Eastspring Investments Angang Steel Co. Ltd. - H Shares 2020-09-18 Long 2.305 3,460,000 73,441,400 5.2% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-09-17 Long 2.287 3,492,000 129,529,400 9.17% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-08-05 Long 2.228 1,804,000 114,699,400 8.12% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-07-27 Long 2.096 2,704,000 101,127,400 7.16% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-07-22 Long 2.185 4,626,000 88,645,400 6.28% Hong Kong
Prudential plc Angang Steel Co. Ltd. - H Shares 2020-07-16 Long 2.136 5,472,000 73,129,400 5.18% 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 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 2020-11-19 Long 3.208 1,302,000 91,510,000 7.06% Hong Kong
Prudential plc COSCO SHIPPING Energy Transportation Co., Ltd. - H Shares 2020-10-27 Long 0.0 18,916,000 90,208,000 6.96% 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 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 Solar Fund Limited 2017-06-23 82,091,787 14.36%
PRUDENTIAL PLC Mercantile Ports & Logistics Limited 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 2017-06-13 69,725,004 5.04%
PRUDENTIAL PLC Virgin Money Holdings (UK) Plc 2017-06-01 22,995,359 5.16%
PRUDENTIAL PLC Britvic Plc 2017-05-26 16,549,600 6.27%
PRUDENTIAL PLC Berendsen Plc 2017-05-22 13,577,116 7.86%
PRUDENTIAL PLC The Restaurant Group Plc 2017-05-08 11,870,027 5.9%
PRUDENTIAL PLC HG Capital Trust Plc 2017-04-11 4,084,614 10.94%
PRUDENTIAL PLC BioPharma Credit Plc 2017-03-30 109,000,000 14.3%
PRUDENTIAL PLC Essentra PLC 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 Capital Global Reinsurance Fund Limited 2017-02-13 19,057,398 10.66%
PRUDENTIAL PLC Ophir Energy plc 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’s Place Plc 2017-02-02 27,682,923 5.24%
PRUDENTIAL PLC Petra Diamonds Limited 2017-01-19 26,464,990 4.99%
PRUDENTIAL PLC Chesnara PLC 2017-01-04 6,692,370 4.46%
PRUDENTIAL PLC The Vitec Group plc 2016-12-16 3,112,201 6.95%
PRUDENTIAL PLC Honeycomb Investment Trust plc 2016-12-16 1,634,482 8.2%
PRUDENTIAL PLC DP Aircraft I Ltd 2016-11-15 49,190,421 23.49%
PRUDENTIAL PLC Lamprell Plc 2016-10-21 30,267,515 8.85%
PRUDENTIAL PLC BBA Aviation PLC 2016-10-03 31,530,272 3.05%
PRUDENTIAL PLC Ecofin Global Utilities and Infrastructure Trust Plc 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 2016-08-26 11,867,052 9.79%
PRUDENTIAL PLC Fastjet Plc 2016-08-09 19,274,776 19.92%
PRUDENTIAL PLC UK Mail Group plc 2016-08-09 2,494,184 4.52%
PRUDENTIAL PLC New World Resources plc 2016-08-04 1,092,482,588 22.18%
PRUDENTIAL PLC CML Microsystems Plc 2016-08-01 500,963 2.95%
PRUDENTIAL PLC Coats Group plc 2016-07-29 141,251,167 10.03%
PRUDENTIAL PLC Regus Plc 2016-07-21 80,776,178 8.68%
PRUDENTIAL PLC Premier Farnell Plc 2016-06-15 30,563,769 8.22%
PRUDENTIAL PLC Balfour Beatty plc 2016-06-14 42,969,270 6.22%
PRUDENTIAL PLC Stobart Group Ltd 2016-06-03 34,353,207 9.97%
PRUDENTIAL PLC Inchcape Plc 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 Blancco Technology Group plc 2016-05-16 10,278,053 17.66%
PRUDENTIAL PLC Avation plc 2016-05-09 4,200,000 7.54%
PRUDENTIAL PLC BTG PLC 2016-04-22 19,132,868 4.99%
PRUDENTIAL PLC Stock Spirits Group plc 2016-04-06 15,279,607 7.63%
PRUDENTIAL PLC Hochschild Mining plc 2016-03-23 25,176,847 4.97%
PRUDENTIAL PLC Connect Group Plc 2016-03-23 12,297,662 4.98%
PRUDENTIAL PLC Accesso Technology Group Plc 2016-02-04 1,084,140 4.93%
PRUDENTIAL PLC Indivior Plc 2015-12-18 37,217,232 5.17%
PRUDENTIAL PLC The Paragon Group of Companies PLC 2015-12-08 18,012,554 6.07%
PRUDENTIAL PLC Greenko Group Plc 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 2015-11-24 2,915,372 3.98%
PRUDENTIAL PLC Imagination Technologies 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 Distressed Debt Investment Fund Limited 2015-09-11 61,341,726 13.06%
PRUDENTIAL PLC Spark Ventures Plc 2015-08-07 431,284 11.69%
PRUDENTIAL PLC Xaar PLC 2015-07-03 7,344,491 9.53%
PRUDENTIAL PLC Actual Experience Plc 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 Corporation Limited 2015-05-07 8,617,775 14.46%
PRUDENTIAL PLC GVC Holdings Plc 2015-04-01 2,325,000 3.79%
PRUDENTIAL PLC Synergy Health Plc 2015-03-19 3,144,016 5.31%
PRUDENTIAL PLC Ormonde Mining Plc 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 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 2017-06-12 69,271,752 5.0%
PRUDENTIAL PLC Bluejay Mining Plc 2017-06-09 75,000,000 9.77%
PRUDENTIAL PLC Bovis Homes Group Plc 2017-06-01 7,549,881 5.61%
PRUDENTIAL PLC CATCo Reinsurance Opportunities Limited 2017-05-31 42,043,478 10.73%
PRUDENTIAL PLC Miton Global Opportunities Plc 2017-05-25 1,294,379 5.12%
PRUDENTIAL PLC CATCo Reinsurance Opportunities Fund Limited 2017-05-23 42,309,481 11.88%
PRUDENTIAL PLC Britvic Plc 2017-05-17 15,269,000 5.79%
PRUDENTIAL PLC Bovis Homes Group Plc 2017-05-16 7,503,544 5.57%
PRUDENTIAL PLC The Restaurant Group Plc 2017-05-03 11,870,027 5.9%
PRUDENTIAL PLC Berendsen Plc 2017-04-27 13,441,367 7.78%
PRUDENTIAL PLC The Restaurant Group Plc 2017-04-25 11,884,800 5.91%
PRUDENTIAL PLC HG Capital Trust Plc 2017-04-10 4,114,304 11.02%
PRUDENTIAL PLC Alpha FX Group Plc 2017-04-07 1,959,183 5.98%
PRUDENTIAL PLC Spirent Communications plc 2017-04-04 61,809,617 10.1%
PRUDENTIAL PLC Phoenix Group Holdings 2017-04-04 19,738,783 5.02%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2017-04-03 93,839,726 9.97%
PRUDENTIAL PLC Berendsen Plc 2017-04-03 13,251,381 7.67%
PRUDENTIAL PLC BioPharma Credit PLC 2017-03-27 109,000,000 20.69%
PRUDENTIAL PLC Berendsen Plc 2017-03-24 13,251,381 7.67%
PRUDENTIAL PLC Britvic Plc 2017-03-20 15,093,927 5.72%
PRUDENTIAL PLC Phoenix Group Holdings 2017-03-16 19,399,691 4.93%
PRUDENTIAL PLC Bovis Homes Group Plc 2017-03-15 7,501,847 5.57%
PRUDENTIAL PLC Britvic Plc 2017-03-15 15,096,274 5.72%
PRUDENTIAL PLC Victrex Plc 2017-03-15 2,750,431 3.2%
PRUDENTIAL PLC Berendsen Plc 2017-03-14 13,251,381 7.67%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2017-03-14 83,265,752 9.99%
PRUDENTIAL PLC Essentra PLC 2017-03-10 15,004,054 5.7%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 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 2017-03-10 8,655,272 10.83%
PRUDENTIAL PLC Berendsen Plc 2017-03-09 13,251,381 7.67%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2017-03-09 85,056,659 10.21%
PRUDENTIAL PLC NB Distressed Debt Investment Fund Limited 2017-03-09 55,373,032 16.25%
PRUDENTIAL PLC Victrex Plc 2017-03-08 2,750,431 3.2%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 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 PLC 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 2017-02-24 52,605,278 15.43%
PRUDENTIAL PLC Essentra PLC 2017-02-23 13,356,466 5.08%
PRUDENTIAL PLC NB Distressed Debt Investment Fund Limited 2017-02-23 52,605,278 14.98%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2017-02-20 88,982,580 10.68%
PRUDENTIAL PLC Bovis Homes Group PLC 2017-02-20 6,992,662 5.19%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 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 2017-02-13 53,887,532 15.33%
PRUDENTIAL PLC Miton Global Opportunities Plc 2017-02-03 1,294,379 5.12%
PRUDENTIAL PLC Genedrive plc 2017-02-03 1,248,490 6.68%
PRUDENTIAL PLC The Restaurant Group Plc 2017-02-03 11,921,242 5.92%
PRUDENTIAL PLC Eco Animal Health plc 2017-01-19 7,680,862 11.75%
PRUDENTIAL PLC Petra Diamonds Limited 2017-01-18 26,592,106 5.01%
PRUDENTIAL PLC St James’s Place Plc 2017-01-17 26,814,269 5.08%
PRUDENTIAL PLC St James’s Place Plc 2017-01-16 26,490,037 5.02%
PRUDENTIAL PLC Virgin Money Holdings (UK) Plc 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 The Restaurant Group Plc 2017-01-11 12,733,360 6.33%
PRUDENTIAL PLC Virgin Money Holdings (UK) Plc 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 Capital Global Reinsurance Fund Limited 2016-12-30 19,057,398 10.66%
PRUDENTIAL PLC Harbourvest Global Private Equity Limited 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 2016-12-21 8,243,928 10.32%
PRUDENTIAL PLC NB Distressed Debt Investment Fund Limited 2016-12-19 51,887,519 14.74%
PRUDENTIAL PLC International Biotechnology Trust plc 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 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 2016-12-12 45,809,457 5.02%
PRUDENTIAL PLC Tullow Oil Plc 2016-12-08 49,179,287 5.38%
PRUDENTIAL PLC Enterprise Inns PLC 2016-12-08 69,323,645 14.17%
PRUDENTIAL PLC Spirent Communications plc 2016-12-06 61,712,760 10.08%
PRUDENTIAL PLC The Restaurant Group Plc 2016-12-06 13,006,480 6.46%
PRUDENTIAL PLC Enterprise Inns PLC 2016-12-05 68,611,161 14.01%
PRUDENTIAL PLC Virgin Money Holdings (UK) Plc 2016-12-01 14,003,154 3.14%
PRUDENTIAL PLC Tullow Oil Plc 2016-11-28 45,672,826 5.0%
PRUDENTIAL PLC Enterprise Inns PLC 2016-11-28 68,536,597 13.96%
PRUDENTIAL PLC Britvic plc 2016-11-28 13,193,028 5.01%
PRUDENTIAL PLC NextEnergy Solar Fund Limited 2016-11-25 79,032,769 17.42%
PRUDENTIAL PLC Spirent Communications plc 2016-11-22 61,712,760 10.08%
PRUDENTIAL PLC Ophir Energy plc 2016-11-22 70,388,599 9.96%
PRUDENTIAL PLC Tullow Oil Plc 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 plc 2016-11-21 72,049,735 10.2%
PRUDENTIAL PLC Tullow Oil Plc 2016-11-18 45,757,356 5.01%
PRUDENTIAL PLC Ophir Energy plc 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 plc 2016-11-14 77,360,189 10.95%
PRUDENTIAL PLC CATCo Reinsurance Opportunities Fund Limited 2016-11-07 42,515,941 11.31%
PRUDENTIAL PLC Spirent Communications plc 2016-11-03 61,712,760 10.08%
PRUDENTIAL PLC Spirent Communications plc 2016-10-27 61,712,760 10.08%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2016-10-21 88,136,431 10.6%
PRUDENTIAL PLC NextEnergy Solar Fund Limited 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 2016-10-19 37,439,546 5.02%
PRUDENTIAL PLC Workspace Group plc 2016-10-18 8,247,226 5.05%
PRUDENTIAL PLC Workspace Group plc 2016-10-17 8,197,226 5.02%
PRUDENTIAL PLC Workspace Group plc 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 The Renewables Infrastructure Group Limited 2016-09-30 86,041,275 10.35%
PRUDENTIAL PLC Ecofin Global Utilities and Infrastructure Trust Plc 2016-09-26 9,266,529 10.08%
PRUDENTIAL PLC BBA Aviation PLC 2016-09-26 31,530,272 3.05%
PRUDENTIAL PLC BBGI SICAV S.A. 2016-09-21 64,297,577 14.88%
PRUDENTIAL PLC BBA Aviation PLC 2016-09-15 31,597,264 3.06%
PRUDENTIAL PLC Lamprell Plc 2016-09-14 37,513,596 10.97%
PRUDENTIAL PLC BBA Aviation PLC 2016-09-08 31,597,264 3.06%
PRUDENTIAL PLC The Restaurant Group Plc 2016-08-31 13,080,229 6.5%
PRUDENTIAL PLC BBA Aviation PLC 2016-08-30 31,686,736 3.07%
PRUDENTIAL PLC Tower Resources plc 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 Lamprell Plc 2016-08-24 38,054,099 11.13%
PRUDENTIAL PLC The Restaurant Group Plc 2016-08-22 13,080,229 6.5%
PRUDENTIAL PLC Eco Animal Health plc 2016-08-19 8,330,000 12.87%
PRUDENTIAL PLC Cape plc 2016-08-19 14,406,622 11.89%
PRUDENTIAL PLC Ophir Energy plc 2016-08-15 80,462,526 11.39%
PRUDENTIAL PLC Britvic plc 2016-08-08 13,102,948 4.98%
PRUDENTIAL PLC NextEnergy Solar Fund Limited 2016-08-04 75,953,990 22.81%
PRUDENTIAL PLC NextEnergy Solar Fund Limited 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 International Biotechnology Trust plc 2016-08-01 1,507,882 4.0%
PRUDENTIAL PLC Lamprell Plc 2016-07-29 38,314,281 11.21%
PRUDENTIAL PLC The Restaurant Group 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 Solar Fund Limited 2016-07-27 75,953,990 23.6%
PRUDENTIAL PLC Tower Resources plc 2016-07-27 4,627,998 16.99%
PRUDENTIAL PLC International Biotechnology Trust plc 2016-07-26 1,507,882 3.99%
PRUDENTIAL PLC Morgan Advanced Materials Plc 2016-07-26 28,533,428 9.99%
PRUDENTIAL PLC PZ Cussons plc 2016-07-19 22,092,376 5.15%
PRUDENTIAL PLC International Biotechnology Trust plc 2016-07-19 1,514,742 4.01%
PRUDENTIAL PLC New World Resources plc 2016-07-19 1,092,482,588 22.66%
PRUDENTIAL PLC Britvic plc 2016-07-14 13,189,126 5.01%
PRUDENTIAL PLC Britvic plc 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 plc 2016-07-05 8,730,000 13.62%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2016-06-30 86,038,525 11.22%
PRUDENTIAL PLC Britvic plc 2016-06-29 13,192,360 5.02%
PRUDENTIAL PLC Morgan Advanced Materials Plc 2016-06-27 28,663,418 10.04%
PRUDENTIAL PLC New World Resources plc 2016-06-24 1,092,482,588 29.02%
PRUDENTIAL PLC Ophir Energy plc 2016-06-22 80,893,144 11.45%
PRUDENTIAL PLC Morgan Advanced Materials Plc 2016-06-20 28,475,620 9.97%
PRUDENTIAL PLC Morgan Advanced Materials Plc 2016-06-20 28,475,620 9.97%
PRUDENTIAL PLC Ophir Energy plc 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 2016-06-10 12,649,238 5.1%
PRUDENTIAL PLC The Restaurant Group Plc 2016-06-08 12,957,042 6.44%
PRUDENTIAL PLC Severfield plc 2016-06-07 44,643,933 15.0%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2016-06-01 86,035,710 11.22%
PRUDENTIAL PLC International Biotechnology Trust plc 2016-05-27 1,514,742 3.95%
PRUDENTIAL PLC Regus Plc 2016-05-26 83,868,451 8.99%
PRUDENTIAL PLC The Restaurant Group Plc 2016-05-24 13,065,269 6.49%
PRUDENTIAL PLC Inchcape Plc 2016-05-23 21,579,214 5.02%
PRUDENTIAL PLC Cape plc 2016-05-20 15,725,805 12.98%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2016-05-19 85,960,710 11.21%
PRUDENTIAL PLC Britvic plc 2016-05-18 13,085,621 4.98%
PRUDENTIAL PLC Ophir Energy plc 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 2016-05-13 54,044,380 14.26%
PRUDENTIAL PLC The Restaurant Group Plc 2016-05-11 12,338,162 6.13%
PRUDENTIAL PLC Britvic plc 2016-05-10 13,135,621 5.0%
PRUDENTIAL PLC Britvic PLC 2016-05-09 13,235,621 5.03%
PRUDENTIAL PLC NextEnergy Solar Fund Limited 2016-05-06 69,495,459 25.0%
PRUDENTIAL PLC Britvic PLC 2016-05-06 13,235,621 5.03%
PRUDENTIAL PLC Ophir Energy Plc 2016-05-05 80,230,737 11.36%
PRUDENTIAL PLC Ophir Energy Plc 2016-05-04 80,230,737 11.36%
PRUDENTIAL PLC The Restaurant Group Plc 2016-05-03 11,808,833 5.87%
PRUDENTIAL PLC Inchcape Plc 2016-05-03 21,579,214 5.01%
PRUDENTIAL PLC NB Distressed Debt Investment Fund Limited 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 2016-04-28 55,353,560 14.59%
PRUDENTIAL PLC Enterprise Inns PLC 2016-04-27 66,729,999 13.23%
PRUDENTIAL PLC Provident Financial plc 2016-04-27 4,639,350 3.14%
PRUDENTIAL PLC Enterprise Inns PLC 2016-04-25 65,605,376 13.01%
PRUDENTIAL PLC Enterprise Inns PLC 2016-04-19 65,234,383 12.92%
PRUDENTIAL PLC HG Capital Trust Plc 2016-04-19 4,457,049 11.94%
PRUDENTIAL PLC Inchcape Plc 2016-04-19 21,579,214 5.01%
PRUDENTIAL PLC Low & Bonar PLC 2016-04-15 16,569,478 5.03%
PRUDENTIAL PLC The Restaurant Group Plc 2016-04-12 11,808,833 5.87%
PRUDENTIAL PLC Inchcape Plc 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 2016-03-31 13,235,621 5.04%
PRUDENTIAL PLC NB Distressed Debt Investment Fund Limited 2016-03-30 55,353,570 14.0%
PRUDENTIAL PLC Inchcape Plc 2016-03-30 21,581,093 4.99%
PRUDENTIAL PLC Stock Spirits Group plc 2016-03-23 15,259,967 7.62%
PRUDENTIAL PLC Bovis Homes Group PLC 2016-03-22 6,576,735 4.89%
PRUDENTIAL PLC Hochschild Mining plc 2016-03-22 25,989,315 5.14%
PRUDENTIAL PLC The Restaurant Group Plc 2016-03-18 11,708,833 5.82%
PRUDENTIAL PLC Regenersis Plc 2016-03-18 10,278,053 13.0%
PRUDENTIAL PLC Bovis Homes Group PLC 2016-03-16 6,772,006 5.03%
PRUDENTIAL PLC Ophir Energy Plc 2016-03-16 79,679,844 11.28%
PRUDENTIAL PLC Spirent Communications plc 2016-03-16 67,263,910 10.99%
PRUDENTIAL PLC Spirent Communications plc 2016-03-15 67,486,656 11.03%
PRUDENTIAL PLC Blue Capital Global Reinsurance Fund Limited 2016-03-15 25,680,000 12.89%
PRUDENTIAL PLC The Restaurant Group Plc 2016-03-11 11,708,833 5.82%
PRUDENTIAL PLC New World Resources plc 2016-03-09 632,752,105 19.18%
PRUDENTIAL PLC Ophir Energy Plc 2016-03-09 79,689,091 11.29%
PRUDENTIAL PLC Ophir Energy Plc 2016-03-07 79,689,091 11.29%
PRUDENTIAL PLC Ophir Energy Plc 2016-03-04 79,689,091 11.29%
PRUDENTIAL PLC Porvair Plc 2016-03-03 5,408,643 11.98%
PRUDENTIAL PLC Ophir Energy Plc 2016-03-03 79,689,091 11.29%
PRUDENTIAL PLC Ophir Energy Plc 2016-03-01 79,689,091 11.29%
PRUDENTIAL PLC International Biotechnology Trust PLC 2016-02-29 1,623,733 4.15%
PRUDENTIAL PLC Bovis Homes Group PLC 2016-02-26 6,810,930 5.06%
PRUDENTIAL PLC Tullow Oil Plc 2016-02-25 46,045,258 5.05%
PRUDENTIAL PLC Oxford Biomedica Plc 2016-02-25 490,443,106 18.14%
PRUDENTIAL PLC Bovis Homes Group PLC 2016-02-18 6,853,351 5.09%
PRUDENTIAL PLC Berendsen Plc 2016-02-17 14,391,388 8.33%
PRUDENTIAL PLC Bovis Homes Group PLC 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 2016-02-05 31,519,294 8.48%
PRUDENTIAL PLC International Biotechnology Trust PLC 2016-02-05 1,623,733 4.14%
PRUDENTIAL PLC Bovis Homes Group PLC 2016-02-04 6,927,178 5.15%
PRUDENTIAL PLC International Biotechnology Trust PLC 2016-02-03 1,623,733 4.14%
PRUDENTIAL PLC Bovis Homes Group PLC 2016-02-02 6,938,299 5.16%
PRUDENTIAL PLC Bovis Homes Group PLC 2016-02-01 7,017,276 5.22%
PRUDENTIAL PLC Ophir Energy Plc 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. 2016-01-21 69,164,769 16.07%
PRUDENTIAL PLC The Restaurant Group Plc 2016-01-21 10,065,216 5.0%
PRUDENTIAL PLC BBGI SICAV S.A. 2016-01-14 67,912,153 15.77%
PRUDENTIAL PLC BBGI SICAV S.A. 2016-01-13 67,312,153 15.63%
PRUDENTIAL PLC Accesso Technology Group Plc 2016-01-12 1,134,140 5.15%
PRUDENTIAL PLC Digital Barriers Plc 2016-01-11 0 0%
PRUDENTIAL PLC Lamprell Plc 2016-01-11 42,962,908 12.57%
PRUDENTIAL PLC Electra Private Equity PLC 2015-12-30 3,811,476 9.46%
PRUDENTIAL PLC The Restaurant Group Plc 2015-12-24 8,848,300 4.4%
PRUDENTIAL PLC Cape PLC 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 Plc 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 The Restaurant Group Plc 2015-12-07 8,848,300 4.4%
PRUDENTIAL PLC The Restaurant Group Plc 2015-12-04 8,848,300 4.4%
PRUDENTIAL PLC New World Resources plc 2015-11-27 632,752,105 9.49%
PRUDENTIAL PLC BBA Aviation PLC 2015-11-27 32,649,608 3.16%
PRUDENTIAL PLC National Express Group Plc 2015-11-27 50,987,079 9.96%
PRUDENTIAL PLC DP Aircraft I Ltd 2015-11-25 46,914,412 22.41%
PRUDENTIAL PLC Next Energy Solar Fund Limited 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 2015-11-24 17,287,834 14.27%
PRUDENTIAL PLC FBD Holdings plc 2015-11-24 1,445,475 4.17%
PRUDENTIAL PLC Bacanora Minerals Ltd 2015-11-19 8,399,642 8.69%
PRUDENTIAL PLC Epistem Holdings PLC 2015-11-19 478,490 4.52%
PRUDENTIAL PLC Next Energy Solar Fund Limited 2015-11-18 69,495,459 25.0%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2015-11-17 84,992,778 11.59%
PRUDENTIAL PLC Severfield Plc 2015-11-13 44,509,946 14.96%
PRUDENTIAL PLC Regus Plc 2015-11-13 91,334,639 9.82%
PRUDENTIAL PLC Premier Farnell Plc 2015-11-10 31,126,375 8.37%
PRUDENTIAL PLC Catco Reinsurance Opportunities Fund Limited 2015-11-02 42,396,898 11.72%
PRUDENTIAL PLC NextEnergy Solar Fund Limited 2015-10-30 69,464,799 24.99%
PRUDENTIAL PLC Enterprise Inns PLC 2015-10-21 60,737,717 12.0%
PRUDENTIAL PLC Novae Group Plc 2015-10-09 6,421,925 0%
PRUDENTIAL PLC Enterprise Inns PLC 2015-10-08 59,764,405 11.81%
PRUDENTIAL PLC UDG Healthcare PLC 2015-10-05 12,243,598 4.99%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2015-10-03 87,313,550 10.5%
PRUDENTIAL PLC UDG Healthcare PLC 2015-10-01 12,293,598 5.02%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 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 2015-09-23 92,756,956 9.97%
PRUDENTIAL PLC Enterprise Inns PLC 2015-09-15 55,922,811 11.05%
PRUDENTIAL PLC Enterprise Inns PLC 2015-09-14 54,915,480 10.85%
PRUDENTIAL PLC St James’s Place Plc 2015-09-11 0 0.0%
PRUDENTIAL PLC Ophir Energy Plc 2015-09-10 72,551,680 10.28%
PRUDENTIAL PLC Morgan Advanced Materials Plc 2015-09-09 31,389,883 10.99%
PRUDENTIAL PLC The Vitec Group plc 2015-09-09 3,128,834 7.05%
PRUDENTIAL PLC Ophir Energy Plc 2015-09-07 65,982,052 9.35%
PRUDENTIAL PLC Ophir Energy Plc 2015-09-07 69,627,298 9.87%
PRUDENTIAL PLC BBA Aviation PLC 2015-08-27 0 0.0%
PRUDENTIAL PLC HG CAPITAL 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 Holdings plc 2015-08-06 1,575,475 4.54%
PRUDENTIAL PLC Oxford Biomedica Plc 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 Technologies 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 The Renewables Infrastructure Group Limited 2015-07-29 64,140,584 9.85%
PRUDENTIAL PLC Regus Plc 2015-07-28 102,185,104 10.99%
PRUDENTIAL PLC Britvic PLC 2015-07-28 13,191,036 5.05%
PRUDENTIAL PLC Cape PLC 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 Coats Group Plc 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 Lamprell Plc 2015-07-13 40,861,531 11.95%
PRUDENTIAL PLC Europa Oil & Gas plc 2015-07-10 18,294,817 8.13%
PRUDENTIAL PLC Novae Group Plc 2015-07-08 7,402,159 11.48%
PRUDENTIAL PLC Lamprell Plc 2015-07-01 42,088,119 12.31%
PRUDENTIAL PLC De La Rue plc 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 Ltd 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 2015-06-03 8,378,078 8.28%
PRUDENTIAL PLC De La Rue plc 2015-06-02 9,012,705 8.91%
PRUDENTIAL PLC Imagination Technologies 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 Advanced Materials plc 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 Technologies Group Plc 2015-05-19 29,976,473 10.38%
PRUDENTIAL PLC Ophir Energy Plc 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 Plc 2015-04-22 9,803,436 14.75%
PRUDENTIAL PLC Electra Private Equity PLC 2015-04-22 1,835 0.0%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 2015-04-22 64,140,584 12.23%
PRUDENTIAL PLC National Express Group Plc 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 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 2015-04-09 11,371,886 11.24%
PRUDENTIAL PLC Enterprise Inns PLC 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 The Renewables Infrastructure Group Limited 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 Advanced Materials plc 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 2015-03-24 112,561,136 11.99%
PRUDENTIAL PLC De La Rue plc 2015-03-24 13,106,702 12.96%
PRUDENTIAL PLC UDG Healthcare PLC 2015-03-20 19,246,251 7.87%
PRUDENTIAL PLC FBD Holdings plc 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 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 Solar Fund Limited 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 Group PLC 2015-02-05 6,855,000 3.99%
PRUDENTIAL PLC HG CAPITAL 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 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 PLC 2015-01-15 6,817,739 5.07%
PRUDENTIAL PLC Next Energy Solar Fund Limited 2015-01-09 44,265,000 24.5%
PRUDENTIAL PLC Electra Private Equity PLC 2015-01-09 1,835 0.0%
PRUDENTIAL PLC NB Distressed Debt Investment Fund Limited 2015-01-07 64,292,274 12.41%
PRUDENTIAL PLC Imagination Technologies 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 INTERNATIONAL BIOTECHNOLOGY TRUST PLC 2015-01-02 0 0%
PRUDENTIAL PLC Connect Group Plc 2014-12-17 13,063,367 5.36%
PRUDENTIAL PLC International Biotechnology Trust plc 0 0%
PRUDENTIAL PLC Phoenix Group Holdings 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 Holdings plc 2,451,512 0%
PRUDENTIAL PLC Harbourvest Global Private Equity Limited 0 0%
PRUDENTIAL PLC Miton Global Opportunities plc 0 0%
PRUDENTIAL PLC Harbourvest Global Private Equity Limited 0 0%
PRUDENTIAL PLC NB Distressed Debt Investment Fund Limited 0 0%
PRUDENTIAL PLC Phoenix Group Holdings 0 0%
PRUDENTIAL PLC Workspace Group PLC 0 0%
PRUDENTIAL PLC CHEMRING GROUP PLC 0 0%
PRUDENTIAL PLC WH Smith PLC 0 0%
PRUDENTIAL PLC WH Smith PLC 0 0%
PRUDENTIAL PLC CHEMRING GROUP PLC 0 0%
PRUDENTIAL PLC EI Group plc 0 0%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 0 0%
PRUDENTIAL PLC Bacanora Minerals Ltd 0 0%
PRUDENTIAL PLC CATCo Reinsurance Opportunities Fund Ltd 0 0%
PRUDENTIAL PLC Jupiter Fund Management plc 0 0%
PRUDENTIAL PLC McCarthy & Stone plc 0 0%
PRUDENTIAL PLC EI Group plc 0 0%
PRUDENTIAL PLC WH Smith PLC 0 0%
PRUDENTIAL PLC Genedrive PLC 0 0%
PRUDENTIAL PLC Miton Global Opportunities plc 0 0%
PRUDENTIAL PLC McCarthy & Stone plc 0 0%
PRUDENTIAL PLC Harbourvest Global Private Equity Limited 0 0%
PRUDENTIAL PLC Bovis Homes Group PLC 0 0%
PRUDENTIAL PLC Close Brothers Group PLC 0 0%
PRUDENTIAL PLC UDG Healthcare PLC 7,483,293 0%
PRUDENTIAL PLC International Biotechnology Trust plc 0 0%
PRUDENTIAL PLC McCarthy & Stone plc 0 0%
PRUDENTIAL PLC WH Smith PLC 0 0%
PRUDENTIAL PLC FBD Holdings plc 1,489,791 0%
PRUDENTIAL PLC BBGI SICAV S.A. 15 63405443.0%
PRUDENTIAL PLC International Biotechnology Trust plc 0 0%
PRUDENTIAL PLC FBD Holdings plc 1,881,023 0%
PRUDENTIAL PLC WH Smith PLC 0 0%
PRUDENTIAL PLC The Renewables Infrastructure Group Limited 0 0%
PRUDENTIAL PLC Electra Private Equity PLC 0 0%
PRUDENTIAL PLC Bovis Homes Group PLC 0 0%
PRUDENTIAL PLC Dalata Hotel Group PLC 9,176,149 0%
PRUDENTIAL PLC CATCo Reinsurance Opportunities Fund Ltd 0 0%
PRUDENTIAL PLC McCarthy & Stone plc 0 0%
PRUDENTIAL PLC Phoenix Group Holdings 0 0%
PRUDENTIAL PLC Miton Global Opportunities Plc 0 0%
PRUDENTIAL PLC Harbourvest Global Private Equity Limited 0 0%
PRUDENTIAL PLC McCarthy & Stone plc 0 0%
PRUDENTIAL PLC CHEMRING GROUP PLC 0 0%
PRUDENTIAL PLC EI Group plc 0 0%
PRUDENTIAL PLC McCarthy & Stone plc 0 0%
PRUDENTIAL PLC Genedrive PLC 0 0%
PRUDENTIAL PLC Phoenix Group Holdings 0 0%
PRUDENTIAL PLC NB Distressed Debt Investment Fund Limited 0 0%
PRUDENTIAL PLC Bovis Homes Group PLC 0 0%
PRUDENTIAL PLC McCarthy & Stone plc 0 0%
PRUDENTIAL PLC Dalata Hotel Group Plc 9,833,849 0%
PRUDENTIAL PLC Dalata Hotel Group Plc 7,440,249 0%
PRUDENTIAL PLC Bovis Homes Group PLC 0 0%
PRUDENTIAL PLC McCarthy & Stone plc 0 0%
PRUDENTIAL PLC Phoenix Group Holdings 0 0%
PRUDENTIAL PLC McCarthy & Stone plc 0 0%
PRUDENTIAL PLC International Biotechnology Trust plc 0 0%
PRUDENTIAL PLC WH Smith PLC 0 0%
PRUDENTIAL PLC FBD Holdings plc 2,325,276 0%

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