Vault-13

ARROWMARK FINANCIAL CORP BANX

COM · Closed-End Fund · CUSIP 861780104

36 institutional holders +2 vs Q1 2026
1,766,3021.8m shares reported held*
$34.5mreported value*
8 new 6 added 14 reduced 6 sold out net sold ≈ $2.6m (-135.1k 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 ≈ $19.55. Options: 1 managers hold calls ($1.5m notional), 0 hold puts (—).

Trends to Q2 2026

Institutional holders

Managers reporting a position, each quarter

02040Q3 22: 32Q4 22: 31Q1 23: 32Q2 23: 27Q3 23: 27Q4 23: 29Q1 24: 26Q2 24: 26Q3 24: 28Q4 24: 32Q1 25: 32Q2 25: 33Q3 25: 36Q4 25: 33Q1 26: 34Q2 26: 3636Q3 22Q3 23Q3 24Q3 25Q2 26
Numbers
QuarterHolders
Q3 202232
Q4 202231
Q1 202332
Q2 202327
Q3 202327
Q4 202329
Q1 202426
Q2 202426
Q3 202428
Q4 202432
Q1 202532
Q2 202533
Q3 202536
Q4 202533
Q1 202634
Q2 202636

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q3 24: 9 bought or addedQ3 24: 10 cut or sold outQ4 24: 13 bought or addedQ4 24: 10 cut or sold outQ4 24Q1 25: 8 bought or addedQ1 25: 11 cut or sold outQ2 25: 13 bought or addedQ2 25: 14 cut or sold outQ2 25Q3 25: 15 bought or addedQ3 25: 12 cut or sold outQ4 25: 17 bought or addedQ4 25: 10 cut or sold outQ4 25Q1 26: 22 bought or addedQ1 26: 11 cut or sold outQ2 26: 14 bought or addedQ2 26: 20 cut or sold outQ2 26
Numbers
QuarterBought or addedCut or sold out
Q3 2024910
Q4 20241310
Q1 2025811
Q2 20251314
Q3 20251512
Q4 20251710
Q1 20262211
Q2 20261420

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$500k$1m$1.5mQ3 25 calls: $28.0kQ3 25 puts: $4.0kQ3 25P/C 0.14Q4 25 calls: $268.4kQ4 25 puts: $4.4kQ4 25P/C 0.02Q1 26 calls: $554.6kQ1 26 puts: $1.9kQ1 26P/C 0.00Q2 26 calls: $1.5mQ2 26 puts: $0Q2 26P/C 0.00
Numbers
QuarterCallsPutsP/C
Q3 2025$28.0k$4.0k0.14
Q4 2025$268.4k$4.4k0.02
Q1 2026$554.6k$1.9k0.00
Q2 2026$1.5m$00.00

Biggest buyers

AlphaCore Capital LLC New +40,258+40.3k
MARSHALL WACE, LLP New +32,626+32.6k
OSAIC HOLDINGS, INC. Added +17,232+17.2k
Mariner, LLC New +14,974+15.0k
Everstar Asset Management, LLC Added +12,287+12.3k
UBS Group AG Added +10,395+10.4k
Belpointe Asset Management LLC New +10,300+10.3k
Integrated Wealth Concepts LLC New +9,042+9.0k
JPMORGAN CHASE & CO New +1,073+1.1k
SIMPLEX TRADING, LLC New +924+924

Biggest sellers

RAYMOND JAMES FINANCIAL INC Reduced -163,380-163.4k
Hudson Bay Capital Management LP Reduced -38,444-38.4k
CALDWELL SUTTER CAPITAL, INC. Reduced -25,000-25.0k
Almitas Capital LLC Reduced -22,409-22.4k
Closed-End Fund Advisors, Inc. Reduced -15,123-15.1k
MAI Capital Management Sold out -5,250-5.2k
CSS LLC/IL Reduced -4,821-4.8k
FNY Investment Advisers, LLC Sold out -4,700-4.7k
Accurate Wealth Management, LLC Reduced -1,917-1.9k
Capital Investment Advisors, LLC Reduced -1,400-1.4k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $1.5m75.7k shares

Biggest puts

None

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
ArrowMark Colorado Holdings LLC 13G · institution -1.2 pts · filed 2026-04-10 9.1% -1.2 pts 884.8k≈ $17.3m 2026-04-10

Insider purchases and sales since 1 Apr 2026

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
101Q4 24: 0 buyingQ4 24: 0 sellingQ1 25: 1 buyingQ1 25: 1 sellingQ1 25Q2 25: 1 buyingQ2 25: 0 sellingQ3 25: 0 buyingQ3 25: 0 sellingQ3 25Q4 25: 0 buyingQ4 25: 0 sellingQ1 26: 1 buyingQ1 26: 0 sellingQ1 26Q2 26: 0 buyingQ2 26: 0 sellingQ3 26: 0 buyingQ3 26: 0 sellingQ3 26
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q4 20240—0——
Q1 20251$45.4k1$84.8k—
Q2 20251$2.7k0——
Q3 20250—0——
Q4 20250—0——
Q1 20261$28.2k0——
Q2 20260—0——
Q3 20260—0——

None reported since 1 Apr 2026.

Holders, Q2 2026

#ManagerLocationShares Value% of their portfolioChangeShares change
1 ArrowMark Colorado Holdings LLC 0.72% of their portfolio Denver, CO 884,834884.8k $17.3m $17.3m 0.72% Unchanged
2 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 139,071139.1k $2.7m $2.7m 0.00% Added +108 +108
3 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 131,069131.1k $2.6m $2.6m 0.00% Added +17.2k +17,232
4 Noble Wealth Management PBC 0.96% of their portfolio GREENWOOD VILLAGE, CO 107,197107.2k $2.1m $2.1m 0.96% Added +884 +884
5 Everstar Asset Management, LLC 0.56% of their portfolio MOORESVILLE, NC 59,63259.6k $1.2m $1.2m 0.56% Added +12.3k +12,287
6 Closed-End Fund Advisors, Inc. 1.04% of their portfolio RICHMOND, VA 54,65054.6k $1.1m $1.1m 1.04% Reduced -15.1k -15,123
7 Almitas Capital LLC 0.24% of their portfolio SANTA MONICA, CA 50,84350.8k $994.0k $994.0k 0.24% Reduced -22.4k -22,409
8 AlphaCore Capital LLC 0.01% of their portfolio LA JOLLA, CA 40,25840.3k $787.0k $787.0k 0.01% New
9 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 33,69633.7k $658.8k $658.8k 0.00% Reduced -22 -22
10 MARSHALL WACE, LLP 0.00% of their portfolio LONDON, X0 32,62632.6k $637.8k $637.8k 0.00% New
11 RAYMOND JAMES FINANCIAL INC 0.00% of their portfolio ST. PETERSBURG, FL 31,47331.5k $615.3k $615.3k 0.00% Reduced -163.4k -163,380
12 CSS LLC/IL 0.02% of their portfolio CHICAGO, IL 26,82126.8k $524.4k $524.4k 0.02% Reduced -4.8k -4,821
13 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 24,03724.0k $469.9k $469.9k 0.01% Added +337 +337
14 Capital Investment Advisors, LLC 0.01% of their portfolio ATLANTA, GA 22,84622.8k $446.6k $446.6k 0.01% Reduced -1.4k -1,400
15 Hudson Bay Capital Management LP 0.00% of their portfolio STAMFORD, CT 18,22218.2k $356.2k $356.2k 0.00% Reduced -38.4k -38,444
16 Falcon Wealth Planning 0.02% of their portfolio Ontario, CA 16,17916.2k $316.3k $316.3k 0.02% Unchanged
17 Mariner, LLC 0.00% of their portfolio Overland Park, KS 14,97415.0k $292.7k $292.7k 0.00% New
18 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 14,76214.8k $288.6k $288.6k 0.00% Unchanged
19 UBS Group AG 0.00% of their portfolio ZURICH, V8 13,94113.9k $272.5k $272.5k 0.00% Added +10.4k +10,395
20 Accurate Wealth Management, LLC 0.02% of their portfolio WESLEY CHAPEL, FL 11,38811.4k $227.8k $227.8k 0.02% Reduced -1.9k -1,917
21 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 11,05411.1k $216.1k $216.1k 0.00% Reduced -1.2k -1,214
22 Belpointe Asset Management LLC 0.01% of their portfolio RENO, NV 10,30010.3k $201.4k $201.4k 0.01% New
23 Integrated Wealth Concepts LLC 0.00% of their portfolio WALTHAM, MA 9,0429.0k $176.8k $176.8k 0.00% New
24 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.00% of their portfolio BLUE BELL, PA 1,9031.9k $37.2k $37.2k 0.00% Reduced -201 -201
25 TRUST CO OF VERMONT 0.00% of their portfolio BRATTLEBORO, VT 1,7501.8k $34.2k $34.2k 0.00% First filing
26 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 1,0731.1k $21.0k $21.0k 0.00% New
27 SIMPLEX TRADING, LLC 0.00% of their portfolio CHICAGO, IL 924924 $18.1k $18.1k 0.00% New
28 CALDWELL SUTTER CAPITAL, INC. 0.01% of their portfolio SAUSALITO, CA 693693 $13.5k $13.5k 0.01% Reduced -25.0k -25,000
29 Wilmington Savings Fund Society, FSB 0.00% of their portfolio WILMINGTON, DE 500500 $9.8k $9.8k 0.00% Reduced -200 -200
30 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 200200 $3.9k $3.9k 0.00% Unchanged
31 NFSG Corp 0.00% of their portfolio BOCA RATON, FL 200200 $3.9k $3.9k 0.00% Unchanged
32 HIGHLINE WEALTH PARTNERS LLC 0.00% of their portfolio SHERMAN OAKS, CA 135135 $2.6k $2.6k 0.00% Unchanged
33 Russell Investments Group, Ltd. 0.00% of their portfolio Seattle, WA 33 $59 $59 0.00% Reduced -1 -1
34 SBI Securities Co., Ltd. 0.00% of their portfolio TOKYO, M0 33 $59 $59 0.00% Reduced -4 -4
35 Caitong International Asset Management Co., Ltd 0.00% of their portfolio HONG KONG, K3 22 $39 $39 0.00% New
36 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 11 $28 $28 0.00% Unchanged