Stock Transactions — KKR INCOME OPPORTUNITIES FD

Total Bought
1,063,102
53 transactions
Total Sold
2,245,094
34 transactions
Net
-1,181,992
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
MORGAN STANLEY1,154,1961,518,336+364,1400.000.00+0.00buy
Rareview Capital LLC0171,844+171,8440.001.36+1.36buy
Ballast, Inc.0111,051+111,0510.000.25+0.25buy
ROYAL BANK OF CANADA87,365131,652+44,2870.000.00+0.00buy
WELLS FARGO & COMPANY/MN211,240254,905+43,6650.000.00+0.00buy
COHEN & STEERS, INC.037,779+37,7790.000.00+0.00buy
Corient Private Wealth LLC030,841+30,8410.000.00+0.00buy
Almitas Capital LLC020,851+20,8510.000.07+0.07buy
JANE STREET GROUP, LLC020,650+20,6500.000.00+0.00buy
BANK OF AMERICA CORP /DE/323,397340,398+17,0010.000.00-0.00buy
RAYMOND JAMES FINANCIAL INC91,746108,124+16,3780.000.00+0.00buy
STIFEL FINANCIAL CORP225,883240,140+14,2570.000.00-0.00buy
Kovack Advisors, Inc.98,665111,315+12,6500.130.14+0.01buy
Polar Asset Management Partners Inc.403,595416,151+12,5560.160.13-0.03buy
LPL Financial LLC101,002113,008+12,0060.000.00-0.00buy
Mariner, LLC011,993+11,9930.000.00+0.00buy
Penserra Capital Management LLC347,991358,576+10,5850.080.06-0.01buy
Herold Advisors, Inc.010,505+10,5050.000.03+0.03buy
Shaker Financial Services, LLC38,34248,059+9,7170.180.22+0.04buy
Hennion & Walsh Asset Management, Inc.15,53223,994+8,4620.010.01+0.00buy
J.W. COLE ADVISORS, INC.78,92887,051+8,1230.030.02-0.01buy
Cetera Investment Advisers44,52351,448+6,9250.000.00+0.00buy
WEDBUSH SECURITIES INC30,47437,269+6,7950.010.02+0.00buy
Joseph P. Lucia & Associates, LLC104,840111,051+6,2110.590.57-0.02buy
Aviance Capital Partners, LLC30,11935,723+5,6040.050.06+0.01buy
ENVESTNET ASSET MANAGEMENT INC40,72646,214+5,4880.000.00+0.00buy
Strategic Advocates LLC77,03582,465+5,4300.330.31-0.02buy
COMMONWEALTH EQUITY SERVICES, LLC24,64629,942+5,2960.000.00+0.00buy
ROBINSON CAPITAL MANAGEMENT, LLC47,03952,089+5,0500.240.27+0.04buy
STEPHENS INC /AR/26,85231,621+4,7690.000.01+0.00buy
Baird Financial Group, Inc.36,78641,236+4,4500.000.00+0.00buy
NewEdge Advisors, LLC45,46647,517+2,0510.000.00-0.00buy
Geneos Wealth Management Inc.01,828+1,8280.000.00+0.00buy
AdvisorNet Financial, Inc2,0933,905+1,8120.000.00+0.00buy
Blue Trust, Inc.01,500+1,5000.000.00+0.00buy
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.01,470+1,4700.000.00+0.00buy
HighTower Advisors, LLC13,05014,388+1,3380.000.00+0.00buy
JONES FINANCIAL COMPANIES LLLP01,310+1,3100.000.00+0.00buy
Newbridge Financial Services Group, Inc.01,250+1,2500.000.00+0.00buy
EverSource Wealth Advisors, LLC01,235+1,2350.000.00+0.00buy
Apollon Wealth Management, LLC16,04116,866+8250.000.00-0.00buy
Arax Advisory Partners0600+6000.000.00+0.00buy
Concurrent Investment Advisors, LLC13,37013,955+5850.000.00-0.00buy
Ameritas Advisory Services, LLC0372+3720.000.00+0.00buy
UHLMANN PRICE SECURITIES, LLC11,05211,386+3340.100.10+0.00buy
Creative Planning11,56511,861+2960.000.00-0.00buy
StoneX Group Inc.75,64875,885+2370.050.05-0.00buy
RIK SAYLOR FINANCIAL, INC.15,26315,439+1760.170.15-0.02buy
COMERICA BANK39,27239,446+1740.000.00-0.00buy
Steward Partners Investment Advisory, LLC0162+1620.000.00+0.00buy
WPG Advisers, LLC0151+1510.000.00+0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC43,43543,468+330.000.00-0.00buy
Mountain Hill Investment Partners Corp.140144+40.000.00-0.00buy
Laird Norton Wetherby Wealth Management, LLC12,99612,99600.010.01-0.00hold
Gator Capital Management, LLC13,82013,82000.060.05-0.01hold
Graves Light Lenhart Wealth, Inc.13,72813,72800.020.02-0.00hold
TSFG, LLC676700.000.00-0.00hold
Future Financial Wealth Managment LLC75075000.010.01-0.00hold
1776 Wealth LLC13,14413,14400.070.07-0.01hold
Plotkin Financial Advisors, LLC12,93812,93800.100.09-0.01hold
Fortitude Advisory Group L.L.C.12,50112,50100.100.09-0.01hold
Atala Financial Inc23,27023,27000.210.20-0.01hold
FIFTH THIRD BANCORP20020000.000.00-0.00hold
CITIGROUP INC1100.000.00-0.00hold
ASSETMARK, INC7862-160.000.00-0.00sell
SeaCrest Wealth Management, LLC15,73915,712-270.020.02-0.00sell
CWM, LLC460-460.000.00-0.00sell
Uncommon Cents Investing LLC34,23433,934-3000.120.11-0.01sell
US BANCORP \DE\5,4765,076-4000.000.00-0.00sell
Bramshill Investments, LLC48,99648,244-7520.060.06+0.00sell
Capital Investment Advisors, LLC155,563154,220-1,3430.040.03-0.00sell
Carnegie Lake Advisors LLC50,02348,324-1,6990.250.24-0.01sell
Atria Wealth Solutions, Inc.15,31913,175-2,1440.000.00+0.00sell
GILL CAPITAL PARTNERS, LLC15,25912,655-2,6040.060.05-0.01sell
WealthTrust Axiom LLC26,59122,914-3,6770.100.08-0.01sell
OSAIC HOLDINGS, INC.53,26048,957-4,3030.000.00-0.00sell
CoreCap Advisors, LLC9,3344,433-4,9010.010.00-0.00sell
Vanguard Capital Wealth Advisors35,00030,000-5,0000.530.37-0.15sell
Rockefeller Capital Management L.P.68,83463,667-5,1670.000.00-0.00sell
Invesco Ltd.144,007138,655-5,3520.000.00-0.00sell
Cresset Asset Management, LLC20,46613,838-6,6280.000.00-0.00sell
Verity Asset Management, Inc.20,19611,937-8,2590.100.07-0.03sell
Atlantic Union Bankshares Corp24,23713,296-10,9410.020.00-0.01sell
Summit X, LLC57,50642,476-15,0300.150.10-0.05sell
Advisors Asset Management, Inc.297,205281,583-15,6220.070.06-0.01sell
Virtus Investment Advisers, LLC91,09173,626-17,4650.300.31+0.01sell
SFI Advisors, LLC22,4190-22,4190.200.00-0.20sell
Cambridge Investment Research Advisors, Inc.118,47494,781-23,6930.000.00-0.00sell
Marex Group plc31,2700-31,2700.010.00-0.01sell
GUGGENHEIM CAPITAL LLC767,963721,159-46,8040.090.07-0.02sell
RIVERNORTH CAPITAL MANAGEMENT, LLC60,0420-60,0420.040.00-0.04sell
WOLVERINE ASSET MANAGEMENT LLC134,35251,102-83,2500.030.01-0.02sell
Karpus Management, Inc.676,301571,401-104,9000.270.23-0.04sell
UBS Group AG895,306761,792-133,5140.000.00-0.00sell
1607 Capital Partners, LLC729,483575,652-153,8310.720.59-0.14sell
LANDSCAPE CAPITAL MANAGEMENT, L.L.C.800,734318,124-482,6100.880.31-0.56sell
Allspring Global Investments Holdings, LLC601,202107,639-493,5630.010.00-0.01sell
SIT INVESTMENT ASSOCIATES INC2,260,8251,763,303-497,5220.650.47-0.18sell
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