Stock Transactions — KKR INCOME OPPORTUNITIES FD

Total Bought
2,435,506
48 transactions
Total Sold
2,999,730
41 transactions
Net
-564,224
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
Penserra Capital Management LLC358,5761,124,139+765,5630.060.17+0.11buy
Janney Montgomery Scott LLC0445,362+445,3620.000.01+0.01buy
ROYAL BANK OF CANADA131,652527,002+395,3500.000.00+0.00buy
WELLS FARGO & COMPANY/MN254,905530,641+275,7360.000.00+0.00buy
MORGAN STANLEY1,518,3361,712,582+194,2460.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.94,781140,834+46,0530.000.00+0.00buy
Arax Advisory Partners60039,545+38,9450.000.01+0.01buy
LPL Financial LLC113,008143,351+30,3430.000.00+0.00buy
JANE STREET GROUP, LLC20,65049,629+28,9790.000.00+0.00buy
Cetera Investment Advisers51,44878,273+26,8250.000.00+0.00buy
RAYMOND JAMES FINANCIAL INC108,124131,936+23,8120.000.00+0.00buy
DAVENPORT & Co LLC021,708+21,7080.000.00+0.00buy
PFG Investments, LLC016,401+16,4010.000.01+0.01buy
Virtu Financial LLC016,138+16,1380.000.01+0.01buy
Gilman Hill Asset Management, LLC013,235+13,2350.000.03+0.03buy
OPPENHEIMER & CO INC011,781+11,7810.000.00+0.00buy
J.W. COLE ADVISORS, INC.87,05198,448+11,3970.020.02+0.00buy
Shaker Financial Services, LLC48,05958,344+10,2850.220.25+0.03buy
OSAIC HOLDINGS, INC.48,95757,692+8,7350.000.00-0.00buy
Polar Asset Management Partners Inc.416,151424,203+8,0520.130.11-0.02buy
Anfield Capital Management, LLC07,911+7,9110.000.03+0.03buy
Baird Financial Group, Inc.41,23648,336+7,1000.000.00+0.00buy
Hennion & Walsh Asset Management, Inc.23,99429,778+5,7840.010.01+0.00buy
Fortitude Advisory Group L.L.C.12,50116,066+3,5650.090.11+0.02buy
Verity Asset Management, Inc.11,93715,436+3,4990.070.06-0.01buy
NewEdge Advisors, LLC47,51749,756+2,2390.000.00-0.00buy
Aviance Capital Partners, LLC35,72337,839+2,1160.060.06-0.00buy
Cresset Asset Management, LLC13,83815,938+2,1000.000.00+0.00buy
AdvisorNet Financial, Inc3,9055,962+2,0570.000.00+0.00buy
BNP PARIBAS FINANCIAL MARKETS01,884+1,8840.000.00+0.00buy
Herold Advisors, Inc.10,50511,874+1,3690.030.03+0.01buy
ENVESTNET ASSET MANAGEMENT INC46,21447,572+1,3580.000.00+0.00buy
Sunbelt Securities, Inc.01,000+1,0000.000.00+0.00buy
Global Wealth Strategies & Associates0903+9030.000.00+0.00buy
Joseph P. Lucia & Associates, LLC111,051111,712+6610.570.53-0.04buy
EverSource Wealth Advisors, LLC1,2351,868+6330.000.00+0.00buy
HIGHLINE WEALTH PARTNERS LLC0500+5000.000.00+0.00buy
Apollon Wealth Management, LLC16,86617,355+4890.000.00-0.00buy
CWM, LLC0370+3700.000.00+0.00buy
UHLMANN PRICE SECURITIES, LLC11,38611,715+3290.100.09-0.01buy
Creative Planning11,86112,155+2940.000.00-0.00buy
SeaCrest Wealth Management, LLC15,71215,971+2590.020.02-0.00buy
COMERICA BANK39,44639,503+570.000.00-0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC43,46843,501+330.000.00-0.00buy
STEPHENS INC /AR/31,62131,643+220.010.01-0.00buy
RIK SAYLOR FINANCIAL, INC.15,43915,457+180.150.14-0.01buy
WPG Advisers, LLC151157+60.000.00-0.00buy
Mountain Hill Investment Partners Corp.144148+40.000.00+0.00buy
Laird Norton Wetherby Wealth Management, LLC12,99612,99600.010.01-0.00hold
COHEN & STEERS, INC.37,77937,77900.000.00-0.00hold
ASSETMARK, INC626200.000.00-0.00hold
WealthTrust Axiom LLC22,91422,91400.080.08-0.01hold
HighTower Advisors, LLC14,38814,38800.000.00-0.00hold
ROBINSON CAPITAL MANAGEMENT, LLC52,08952,08900.270.47+0.20hold
Steward Partners Investment Advisory, LLC16216200.000.00-0.00hold
Vanguard Capital Wealth Advisors30,00030,00000.370.30-0.07hold
Rockefeller Capital Management L.P.63,66763,66700.000.00-0.00hold
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
Plotkin Financial Advisors, LLC12,93812,93800.090.08-0.01hold
Newbridge Financial Services Group, Inc.1,2501,25000.000.00-0.00hold
Atala Financial Inc23,27023,27000.200.18-0.02hold
US BANCORP \DE\5,0765,07600.000.00-0.00hold
CITIGROUP INC10-10.000.00-0.00sell
Concurrent Investment Advisors, LLC13,95513,934-210.000.00-0.00sell
JONES FINANCIAL COMPANIES LLLP1,3101,269-410.000.00-0.00sell
Virtus Investment Advisers, LLC73,62673,531-950.310.27-0.05sell
FIFTH THIRD BANCORP2000-2000.000.00-0.00sell
Ameritas Advisory Services, LLC3720-3720.000.00-0.00sell
Carnegie Lake Advisors LLC48,32447,924-4000.240.23-0.01sell
Uncommon Cents Investing LLC33,93433,385-5490.110.10-0.01sell
StoneX Group Inc.75,88575,299-5860.050.04-0.00sell
Corient Private Wealth LLC30,84130,000-8410.000.00+0.00sell
GILL CAPITAL PARTNERS, LLC12,65511,752-9030.050.05-0.01sell
Bramshill Investments, LLC48,24447,126-1,1180.060.04-0.02sell
Kovack Advisors, Inc.111,315110,115-1,2000.140.13-0.01sell
1776 Wealth LLC13,14411,944-1,2000.070.06-0.01sell
WEDBUSH SECURITIES INC37,26935,836-1,4330.020.01-0.00sell
Blue Trust, Inc.1,50060-1,4400.000.00-0.00sell
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.1,4700-1,4700.000.00-0.00sell
Capital Investment Advisors, LLC154,220152,702-1,5180.030.03-0.00sell
Geneos Wealth Management Inc.1,8280-1,8280.000.00-0.00sell
Gator Capital Management, LLC13,82011,902-1,9180.050.04-0.02sell
GUGGENHEIM CAPITAL LLC721,159717,954-3,2050.070.07-0.01sell
CoreCap Advisors, LLC4,4331,022-3,4110.000.00-0.00sell
Atlantic Union Bankshares Corp13,2967,310-5,9860.000.00-0.00sell
Invesco Ltd.138,655130,407-8,2480.000.00-0.00sell
Mariner, LLC11,9930-11,9930.000.00-0.00sell
COMMONWEALTH EQUITY SERVICES, LLC29,94217,521-12,4210.000.00-0.00sell
Almitas Capital LLC20,8510-20,8510.070.00-0.07sell
Strategic Advocates LLC82,46546,242-36,2230.310.15-0.16sell
BANK OF AMERICA CORP /DE/340,398302,517-37,8810.000.00-0.00sell
Summit X, LLC42,4760-42,4760.100.00-0.10sell
WOLVERINE ASSET MANAGEMENT LLC51,1020-51,1020.010.00-0.01sell
Advisors Asset Management, Inc.281,583176,246-105,3370.060.04-0.03sell
Allspring Global Investments Holdings, LLC107,6390-107,6390.000.00-0.00sell
Ballast, Inc.111,0510-111,0510.250.00-0.25sell
Rareview Capital LLC171,84450,500-121,3441.360.39-0.98sell
UBS Group AG761,792572,119-189,6730.000.00-0.00sell
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