Vault-13

HANCOCK JOHN PFD INCOME FD HPI

SH BEN INT · Closed-End Fund · CUSIP 41013W108

58 institutional holders -1 vs Q3 2023
3,723,1283.7m shares reported held*
$58.8mreported value*
8 new 20 added 14 reduced 8 sold out net bought ≈ $4.9m (+308.9k 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 ≈ $15.78.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 59Q4 22: 65Q1 23: 62Q2 23: 60Q3 23: 59Q4 23: 5858Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202259
Q4 202265
Q1 202362
Q2 202360
Q3 202359
Q4 202358

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 36 bought or addedQ4 22: 22 cut or sold outQ4 22Q1 23: 21 bought or addedQ1 23: 34 cut or sold outQ1 23Q2 23: 23 bought or addedQ2 23: 26 cut or sold outQ2 23Q3 23: 23 bought or addedQ3 23: 21 cut or sold outQ3 23Q4 23: 28 bought or addedQ4 23: 22 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223622
Q1 20232134
Q2 20232326
Q3 20232321
Q4 20232822

Biggest buyers

MORGAN STANLEY Added +121,136+121.1k
UBS Group AG Added +70,416+70.4k
ROYAL BANK OF CANADA Added +46,668+46.7k
TSP Capital Management Group, LLC Added +40,940+40.9k
Invesco Ltd. Added +30,369+30.4k
GUGGENHEIM CAPITAL LLC Added +30,200+30.2k
Shaker Financial Services, LLC Added +23,899+23.9k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +19,551+19.6k
LEVEL FOUR ADVISORY SERVICES, LLC Added +14,658+14.7k
COMMONWEALTH EQUITY SERVICES, LLC Added +13,209+13.2k

Biggest sellers

OSAIC HOLDINGS, INC. Reduced -19,576-19.6k
Sowell Financial Services LLC Sold out -15,900-15.9k
Koshinski Asset Management, Inc. Sold out -15,394-15.4k
MCRAE CAPITAL MANAGEMENT INC Sold out -14,400-14.4k
Mariner, LLC Sold out -13,892-13.9k
Keystone Financial Group Sold out -12,892-12.9k
Atria Wealth Solutions, Inc. Reduced -11,945-11.9k
LPL Financial LLC Reduced -7,933-7.9k
BANK OF AMERICA CORP /DE/ Reduced -6,733-6.7k
HARBOR INVESTMENT ADVISORY, LLC Reduced -4,500-4.5k

Insider purchases and sales in Q4 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q1 22: 0 buyingQ1 22: 0 sellingQ2 22: 0 buyingQ2 22: 0 sellingQ2 22Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 0 buyingQ4 22: 0 sellingQ4 22Q1 23: 0 buyingQ1 23: 0 sellingQ2 23: 0 buyingQ2 23: 0 sellingQ2 23Q3 23: 0 buyingQ3 23: 0 sellingQ4 23: 1 buyingQ4 23: 0 sellingQ4 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q1 20220—0——
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—0——
Q4 20231$11.0k0——
DateInsiderTradeSharesPrice ValueTheir holding
2023-10-12 Ellison Noni L Director Bought 790 $13.95 $11.0k790 shares new

Their holding: how much the trade added to or took from the insider's holding (direct, or the trust or fund named). The same trade is sometimes reported by more than one insider, such as a fund and the director who represents it; totals count it once. A value is left blank where the reported price is far from the market price (usually a typo).

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 968,664968.7k $15.3m $15.3m 0.00% Added +121.1k +121,136
2 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 480,003480.0k $7.6m $7.6m 0.00% Added +46.7k +46,668
3 UBS Group AG 0.00% of their portfolio ZURICH, V8 345,170345.2k $5.4m $5.4m 0.00% Added +70.4k +70,416
4 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 250,293250.3k $4.0m $4.0m 0.01% Added +13.2k +13,209
5 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 236,508236.5k $3.7m $3.7m 0.00% Added +30.4k +30,369
6 GUGGENHEIM CAPITAL LLC 0.02% of their portfolio CHICAGO, IL 206,854206.9k $3.3m $3.3m 0.02% Added +30.2k +30,200
7 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 156,950156.9k $2.5m $2.5m 0.00% Reduced -7.9k -7,933
8 Advisory Resource Group 0.51% of their portfolio Tulsa, OK 130,131130.1k $2.1m $2.1m 0.51% Reduced -647 -647
9 TSP Capital Management Group, LLC 0.62% of their portfolio Summit, NJ 113,515113.5k $1.8m $1.8m 0.62% Added +40.9k +40,940
10 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 108,083108.1k $1.7m $1.7m 0.01% Reduced -3.0k -2,974
11 Fiera Capital Corp 0.00% of their portfolio MONTREAL, A8 77,27977.3k $1.2m $1.2m 0.00% Unchanged
12 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 77,14677.1k $1.2m $1.2m 0.00% Added +11.0k +11,023
13 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 64,54364.5k $1.0m $1.0m 0.00% Reduced -19.6k -19,576
14 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 41,95242.0k $660.0k $660.0k 0.00% Added +284 +284
15 Shaker Financial Services, LLC 0.26% of their portfolio Arlington, VA 40,10040.1k $637.7k $637.7k 0.26% Added +23.9k +23,899
16 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 35,07635.1k $553.0k $553.0k 0.00% Added +11.1k +11,062
17 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 34,57934.6k $545.7k $545.7k 0.00% Added +945 +945
18 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 31,97632.0k $502.8k $502.8k 0.00% Added +10.9k +10,937
19 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 28,87528.9k $455.7k $455.7k 0.01% Reduced -11.9k -11,945
20 LEVEL FOUR ADVISORY SERVICES, LLC 0.02% of their portfolio DALLAS, TX 26,81026.8k $423.1k $423.1k 0.02% Added +14.7k +14,658
21 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 23,83123.8k $376.1k $376.1k 0.00% Reduced -925 -925
22 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 21,16421.2k $334.0k $334.0k 0.00% Reduced -6.7k -6,733
23 Avidian Wealth Enterprises, LLC 0.02% of their portfolio Houston, TX 21,00021.0k $331.4k $331.4k 0.02% Unchanged
24 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 19,87819.9k $313.7k $313.7k 0.00% Added +1.2k +1,246
25 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 19,55119.6k $308.5k $308.5k 0.00% New
26 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 19,35019.4k $305.3k $305.3k 0.00% Reduced -4.3k -4,262
27 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 18,45118.5k $293.4k $293.4k 0.01% Added +1.4k +1,391
28 Selway Asset Management 0.12% of their portfolio BOISE, ID 18,14518.1k $286.3k $286.3k 0.12% Reduced -3.8k -3,800
29 McGlone Suttner Wealth Management, Inc. 0.05% of their portfolio APPLETON, WI 14,80914.8k $233.7k $233.7k 0.05% Reduced -4.5k -4,452
30 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 13,27313.3k $209.4k $209.4k 0.00% Reduced -433 -433
31 HARBOR INVESTMENT ADVISORY, LLC 0.02% of their portfolio LUTHERVILLE, MD 12,20012.2k $192.5k $192.5k 0.02% Reduced -4.5k -4,500
32 WEDBUSH SECURITIES INC 0.01% of their portfolio PASADENA, CA 12,18312.2k $192.0k $192.0k 0.01% Added +1.9k +1,933
33 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 11,36411.4k $179.3k $179.3k 0.00% Reduced -379 -379
34 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 10,65110.7k $168.1k $168.1k 0.00% Added +925 +925
35 Merit Financial Group, LLC 0.00% of their portfolio ALPHARETTA, GA 10,32610.3k $163.0k $163.0k 0.00% Added +1 +1
36 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 3,3803.4k $53.3k $53.3k 0.00% Unchanged
37 Cullen/Frost Bankers, Inc. 0.00% of their portfolio San Antonio, TX 3,1133.1k $49.1k $49.1k 0.00% Unchanged
38 Sound Income Strategies, LLC 0.00% of their portfolio FT LAUDERDALE, FL 2,1502.1k $33.9k $33.9k 0.00% Unchanged
39 CITY HOLDING CO 0.01% of their portfolio CHARLESTON, WV 2,0002.0k $31.6k $31.6k 0.01% Unchanged
40 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 1,8211.8k $28.7k $28.7k 0.00% Unchanged
41 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 1,7201.7k $26.9k $26.9k 0.00% New
42 OPTIMUM INVESTMENT ADVISORS 0.01% of their portfolio Chicago, IL 1,7001.7k $26.8k $26.8k 0.01% Unchanged
43 Parallel Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 1,0001.0k $15.8k $15.8k 0.00% Unchanged
44 FSA Wealth Management LLC 0.01% of their portfolio Needham, MA 951951 $15.0k $15.0k 0.01% New
45 Piscataqua Savings Bank 0.01% of their portfolio PORTSMOUTH, NH 800800 $12.6k $12.6k 0.01% Unchanged
46 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 700700 $11.0k $11.0k 0.00% New
47 Sanctuary Wealth Management, L.L.C. 0.01% of their portfolio POCATELLO, ID 697697 $11.0k $11.0k 0.01% Unchanged
48 PRIVATE TRUST CO NA 0.00% of their portfolio CLEVELAND, OH 553553 $8.7k $8.7k 0.00% Unchanged
49 AlphaMark Advisors, LLC 0.00% of their portfolio FT. WRIGHT, KY 481481 $8.0k $8.0k 0.00% Added +64 +64
50 Sugarloaf Wealth Management, LLC 0.00% of their portfolio DULUTH, GA 385385 $6.1k $6.1k 0.00% Unchanged
51 Mariner Managed Account Solutions, LLC 0.00% of their portfolio Boston, MA 304304 $4.8k $4.8k 0.00% New
52 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 184184 $2.9k $2.9k 0.00% New
53 WEBSTER BANK, N. A. 0.00% of their portfolio WATERBURY, CT 164164 $2.6k $2.6k 0.00% Unchanged
54 Gradient Investments LLC 0.00% of their portfolio ARDEN HILLS, MN 150150 $2.4k $2.4k 0.00% New
55 COMERICA BANK 0.00% of their portfolio DALLAS, TX 129129 $2.0k $2.0k 0.00% Reduced -1.4k -1,364
56 Householder Group Estate & Retirement Specialist, LLC 0.00% of their portfolio SCOTTSDALE, AZ 6262 $0 $0 0.00% Unchanged
57 FMR LLC 0.00% of their portfolio BOSTON, MA 11 $16 $16 0.00% New
58 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged