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Defiance ETFs, LLC
At 5% or more1
Filings3
Latest filing2025-08-29
Defiance ETFs, LLC has 3 Schedule 13D or 13G filings on record since 2025-08-29. 1 holder's latest filing reports 5% or more of exchange-traded fund. Each figure below is the holder's own, as filed, with the filing linked.
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The latest filing names Defiance ETFs, LLC, with its principal executive office as 450 WEST 42ND STREET, #37S, NEW YORK, NY 10036 (SCHEDULE 13G/A, 2025-08-29).
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First Trust Enhanced Equity Income Fund
At 5% or more1
Filings1
Latest filing2025-08-05
First Trust Enhanced Equity Income Fund has 1 Schedule 13D or 13G filing on record since 2025-08-05. 1 holder's latest filing reports 5% or more of common stock. Each figure below is the holder's own, as filed, with the filing linked.
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The latest filing names First Trust Enhanced Equity Income Fund, with its principal executive office as C/O FIRST TRUST PORTFOLIOS L.P., 120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL 60187 (SCHEDULE 13G/A, 2025-08-05).
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Firsthand Technology Value Fund, Inc.
At 5% or more1
Filings1
Latest filing2025-08-26
Firsthand Technology Value Fund, Inc. has 1 Schedule 13D or 13G filing on record since 2025-08-26. 1 holder's latest filing reports 5% or more of common stock, par value $0.001 per share. Each figure below is the holder's own, as filed, with the filing linked.
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The latest filing identifies Firsthand Technology Value Fund, Inc. by CUSIP 33766Y100 and gives its principal executive office as 150 Almaden Blvd., Suite 1250, San Jose, CA 95113 (SCHEDULE 13D/A, 2025-08-26).
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John Hancock Premium Dividend Fund
At 5% or more1
Filings1
Latest filing2025-08-07
John Hancock Premium Dividend Fund has 1 Schedule 13D or 13G filing on record since 2025-08-07. 1 holder's latest filing reports 5% or more of common. Each figure below is the holder's own, as filed, with the filing linked.
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The latest filing names John Hancock Premium Dividend Fund, with its principal executive office as 200 Berkeley Street, Boston, MA 02116 (SCHEDULE 13G/A, 2025-08-07).
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Rockefeller Municipal Opportunities Fund
At 5% or more1
Filings1
Latest filing2025-08-08
Rockefeller Municipal Opportunities Fund has 1 Schedule 13D or 13G filing on record since 2025-08-08. 1 holder's latest filing reports 5% or more of common shares. Each figure below is the holder's own, as filed, with the filing linked.
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The latest filing names Rockefeller Municipal Opportunities Fund, with its principal executive office as U.S. BANK GLOBAL FUND SERVICES, 615 E. MICHIGAN STREET, MILWAUKEE, WI 53202 (SCHEDULE 13G, 2025-08-08).
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Sound Point Meridian Capital, Inc.
At 5% or more1
Filings2
Latest filing2025-08-07
Sound Point Meridian Capital, Inc. has 2 Schedule 13D or 13G filings on record since 2025-08-07. 1 holder's latest filing reports 5% or more of preferred. Each figure below is the holder's own, as filed, with the filing linked.
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The latest filing names Sound Point Meridian Capital, Inc., with its principal executive office as 375 Park Avenue, 34th Floor, New York, NY 10152 (SCHEDULE 13G/A, 2025-08-07).
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Tidal Investments LLC
At 5% or more1
Filings1
Latest filing2025-08-29
Tidal Investments LLC has 1 Schedule 13D or 13G filing on record since 2025-08-29. 1 holder's latest filing reports 5% or more of exchange-traded fund. Each figure below is the holder's own, as filed, with the filing linked.
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The latest filing names Tidal Investments LLC, with its principal executive office as 234 WEST FLORIDA STREET, SUITE 203, MILWAUKEE, WISCONSIN, WI 53204 (SCHEDULE 13G, 2025-08-29).
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TriSalus Life Sciences Inc.
At 5% or more1
Filings1
Latest filing2025-08-19
TriSalus Life Sciences Inc. has 1 Schedule 13D or 13G filing on record since 2025-08-19. 1 holder's latest filing reports 5% or more of common stock. Each figure below is the holder's own, as filed, with the filing linked.
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The latest filing names TriSalus Life Sciences Inc., with its principal executive office as 6272 W. 91st Ave., Westminster, CO 80031 (SCHEDULE 13G/A, 2025-08-19).
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Western Asset Inflation-Linked Opportunities & Income Fund
At 5% or more1
Filings3
Latest filing2026-11-06
Western Asset Inflation-Linked Opportunities & Income Fund has 3 Schedule 13D or 13G filings on record since 2025-08-05. 1 holder's latest filing reports 5% or more of common shares of beneficial interest. Each figure below is the holder's own, as filed, with the filing linked.
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The latest filing identifies Western Asset Inflation-Linked Opportunities & Income Fund by CUSIP 95766R104 and gives its principal executive office as 620 EIGHTH AVENUE, 47TH FLOOR, NEW YORK, NY 10018 (SCHEDULE 13G/A, 2026-11-06).
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Where this comes from
Anyone who comes to own more than 5% of a class of a listed company's voting shares has to tell the SEC. A holder who may seek to change or influence the company files Schedule 13D, and has to say in Item 4, "Purpose of Transaction", what it intends to do. A holder with no such intent, such as many index and passive funds, may file the shorter Schedule 13G. Both are amended when the stake changes, including when it falls below 5%.
Every row here is one of those filings, linked to the filing itself. Percentages and share counts are exactly as the holder filed them, for the holder the filing names; an amendment showing a lower figure is shown as filed. Item 4 text is quoted word for word. Where a 13D's Item 4 contains a sentence stating a definite intent to influence the company, that sentence is marked and quoted; the page does not describe the holder or its motives beyond the words it filed. Nothing here is investment advice.
All 5%+ stakes
