Vault-13

ALGONQUIN PWR UTILS CORP AQNCN 7.75 06.15.24

UNIT 06/15/2024 · PUBLIC · CUSIP 015857873

36 institutional holders -2 vs Q3 2023
15,961,42016.0m shares reported held*
$356.5mreported value*
5 new 12 added 10 reduced 7 sold out net bought ≈ $1.1m (+85.7k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $22.33.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 42Q4 22: 41Q1 23: 44Q2 23: 38Q3 23: 38Q4 23: 3636Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202242
Q4 202241
Q1 202344
Q2 202338
Q3 202338
Q4 202336

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 22 bought or addedQ4 22: 20 cut or sold outQ4 22Q1 23: 22 bought or addedQ1 23: 18 cut or sold outQ1 23Q2 23: 17 bought or addedQ2 23: 22 cut or sold outQ2 23Q3 23: 17 bought or addedQ3 23: 18 cut or sold outQ3 23Q4 23: 17 bought or addedQ4 23: 17 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20222220
Q1 20232218
Q2 20231722
Q3 20231718
Q4 20231717

Biggest buyers

Elequin Capital, LP New +319,662+319.7k
MORGAN STANLEY Added +205,605+205.6k
INFRASTRUCTURE CAPITAL ADVISORS, LLC Added +189,217+189.2k
BlackRock Inc. Added +120,035+120.0k
JPMORGAN CHASE & CO Added +110,027+110.0k
BANK OF NOVA SCOTIA Added +77,000+77.0k
VAN ECK ASSOCIATES CORP Added +58,871+58.9k
Aequim Alternative Investments LP New +50,000+50.0k
BANK OF AMERICA CORP /DE/ Added +30,748+30.7k
Nuveen Asset Management, LLC New +28,952+29.0k

Biggest sellers

Magnetar Financial LLC Sold out -400,000-400.0k
KAYNE ANDERSON CAPITAL ADVISORS LP Sold out -381,500-381.5k
BANK OF MONTREAL /CAN/ Reduced -151,710-151.7k
STATE STREET CORP Reduced -105,500-105.5k
Skaana Management L.P. Reduced -45,330-45.3k
ROYAL BANK OF CANADA Reduced -34,513-34.5k
AGF MANAGEMENT LTD Sold out -31,000-31.0k
Nuveen Asset Management, LLC Sold out -30,084-30.1k
WELLS FARGO & COMPANY/MN Reduced -4,767-4.8k
Atria Wealth Solutions, Inc. Reduced -2,398-2.4k

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 BANK OF NOVA SCOTIA 0.12% of their portfolio TORONTO, A6 2,962,0003.0m $65.9m $65.9m 0.12% Added +77.0k +77,000
2 MANUFACTURERS LIFE INSURANCE COMPANY, THE 0.04% of their portfolio Toronto, A6 2,754,2292.8m $62.2m $62.2m 0.04% Added +5.1k +5,060
3 BANK OF MONTREAL /CAN/ 0.02% of their portfolio TORONTO, A6 2,750,9502.8m $61.3m $61.3m 0.02% Reduced -151.7k -151,710
4 BlackRock Inc. 0.00% of their portfolio New York, NY 2,097,7392.1m $46.7m $46.7m 0.00% Added +120.0k +120,035
5 Alberta Investment Management Corp 0.20% of their portfolio EDMONTON, A0 950,000950.0k $21.2m $21.2m 0.20% Unchanged
6 VAN ECK ASSOCIATES CORP 0.03% of their portfolio NEW YORK, NY 729,292729.3k $16.2m $16.2m 0.03% Added +58.9k +58,871
7 CIBC Asset Management Inc 0.04% of their portfolio TORONTO, Z4 511,620511.6k $11.4m $11.4m 0.04% Unchanged
8 INFRASTRUCTURE CAPITAL ADVISORS, LLC 1.58% of their portfolio New York, NY 455,312455.3k $10.1m $10.1m 1.58% Added +189.2k +189,217
9 Skaana Management L.P. 2.04% of their portfolio BROOKLYN, NY 392,452392.5k $8.7m $8.7m 2.04% Reduced -45.3k -45,330
10 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 367,999368.0k $8.2m $8.2m 0.00% Reduced -105.5k -105,500
11 Elequin Capital, LP 2.14% of their portfolio NEW YORK, NY 319,662319.7k $7.1m $7.1m 2.14% New
12 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 251,988252.0k $5.6m $5.6m 0.00% Added +110.0k +110,027
13 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 241,916241.9k $5.4m $5.4m 0.00% Added +205.6k +205,605
14 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 210,162210.2k $4.7m $4.7m 0.00% Added +1.4k +1,392
15 Walleye Capital LLC 0.06% of their portfolio NEW YORK, NY 200,000200.0k $4.5m $4.5m 0.06% Unchanged
16 Daiwa Securities Group Inc. 0.03% of their portfolio CHIYODA-KU,TOKYO, M0 189,008189.0k $4.2m $4.2m 0.03% Added +5.0k +5,000
17 MERITAGE PORTFOLIO MANAGEMENT 0.27% of their portfolio OVERLAND PARK, KS 184,576184.6k $4.1m $4.1m 0.27% Reduced -952 -952
18 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 72,05372.1k $1.6m $1.6m 0.00% Added +30.7k +30,748
19 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 58,80058.8k $1.3m $1.3m 0.00% Reduced -4.8k -4,767
20 ADVENT CAPITAL MANAGEMENT /DE/ 0.03% of their portfolio NEW YORK, NY 55,00055.0k $1.2m $1.2m 0.03% Unchanged
21 Aequim Alternative Investments LP 0.04% of their portfolio MILL VALLEY, CA 50,00050.0k $1.1m $1.1m 0.04% New
22 BlueCrest Capital Management Ltd 0.19% of their portfolio ST HELIER, Y9 49,84749.8k $1.1m $1.1m 0.19% Added +6.8k +6,780
23 Zimmer Partners, LP 0.03% of their portfolio NEW YORK, NY 38,67938.7k $861.7k $861.7k 0.03% Unchanged
24 Nuveen Asset Management, LLC 0.00% of their portfolio CHICAGO, IL 28,95229.0k $646.2k $646.2k 0.00% New
25 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 18,24118.2k $406.2k $406.2k 0.01% Reduced -2.4k -2,398
26 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 10,62510.6k $237.0k $237.0k 0.00% Reduced -34.5k -34,513
27 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 10,00010.0k $222.7k $222.7k 0.00% Reduced -575 -575
28 WOLVERINE ASSET MANAGEMENT LLC 0.00% of their portfolio CHICAGO, IL 3,1203.1k $69.6k $69.6k 0.00% New
29 LANARK FINANCIAL, INC. 0.01% of their portfolio BIRMINGHAM, AL 2,6992.7k $60.0k $60.0k 0.01% Reduced -249 -249
30 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 2,6252.6k $59.6k $59.6k 0.00% Reduced -350 -350
31 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 800800 $17.8k $17.8k 0.00% Unchanged
32 UBS Group AG 0.00% of their portfolio ZURICH, V8 600600 $13.4k $13.4k 0.00% Added +99 +99
33 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 485485 $10.8k $10.8k 0.00% New
34 Federation des caisses Desjardins du Quebec 0.00% of their portfolio LEVIS, A8 300300 $6.7k $6.7k 0.00% Unchanged
35 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 171171 $3.8k $3.8k 0.00% Unchanged
36 UMB Bank, n.a. 0.00% of their portfolio Kansas City, MO 143143 $3.2k $3.2k 0.00% Unchanged