VOYA PRIME RATE TR - SH BEN INT (PPR)

Q3 2020 13F Holders as of 9/30/2020

Type / Class: Equity / SH BEN INT
Number of holders: 87
Total Shares: 80M
Shares change: +2.05M
Total reported value, excl. options: $353M
Value change: +$9.51M
Put/Call ratio: 0
Number of buys: 36
Number of sells: -33
Price: $4.41

Investor	Weight %	Change %	Value $	* Price $	Shares	Share Change	Activity	Report Period
Saba Capital Management, L.P.	9.65%		$160M	4.41	36.3M			9/30/2020
RIVERNORTH CAPITAL MANAGEMENT, LLC	3.36%	+0.31%	$54.2M	4.41	12.3M	+1.14M	+10.2%	9/30/2020
Relative Value Partners Group, LLC	1.58%	-0.02%	$15.3M	4.41	3.46M	-43.7K	-1.25%	9/30/2020
MORGAN STANLEY	0%	0%	$14.5M	4.41	3.29M	-1.11M	-25.1%	9/30/2020
JPMORGAN CHASE & CO	0%		$13.3M	4.41	3.02M			9/30/2020
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD	0.85%	+0.47%	$11.5M	4.41	2.6M	+1.45M	+125.8%	9/30/2020
Bulldog Investors, LLC	4.16%	+3.85%	$9.96M	4.41	2.26M	+2.09M	+1263.2%	9/30/2020
SIT INVESTMENT ASSOCIATES INC	0.29%	+0.12%	$9.74M	4.41	2.21M	+918K	+71.1%	9/30/2020
EATON VANCE MANAGEMENT	0.02%		$9.13M	4.41	2.07M			9/30/2020
INVESCO SENIOR SECURED MANAGEMENT INC /ADV	7.72%		$8.97M	4.42	2.03M			9/30/2020
Next Capital Management LLC	5.05%	-0.04%	$7.23M	4.41	1.64M	-14.6K	-0.88%	9/30/2020
BANK OF AMERICA CORP /DE/	0%	0%	$4.16M	4.41	944K	-28K	-2.88%	9/30/2020
Clough Capital Partners L P	0.31%	+0.01%	$3.79M	4.41	859K	+28.2K	+3.39%	9/30/2020
Rockefeller Capital Management L.P.	0.03%	+0%	$3.61M	4.41	818K	+83.9K	+11.4%	9/30/2020
BOOTHBAY FUND MANAGEMENT, LLC	0.26%	+0.26%	$3.03M	4.41	687K	+687K	NEW	9/30/2020
WELLS FARGO & COMPANY/MN	0%	0%	$2.51M	4.41	568K	-51.9K	-8.36%	9/30/2020
Penserra Capital Management LLC	0.08%	+0%	$2.17M	4.41	492K	+27.9K	+6.02%	9/30/2020
OAK HILL ADVISORS LP	0.61%		$2.06M	4.41	466K			9/30/2020
UBS Group AG	0%	0%	$2.04M	4.41	462K	-228K	-33.1%	9/30/2020
Cetera Advisors LLC	0.04%	0%	$1.06M	4.41	239K	-17.9K	-6.97%	9/30/2020
SHUFRO ROSE & CO LLC	0.1%	+0.01%	$1.04M	4.41	236K	+13K	+5.83%	9/30/2020
Raymond James Financial Services Advisors, Inc.	0%	0%	$900K	4.41	204K	-1.14K	-0.55%	9/30/2020
RAYMOND JAMES & ASSOCIATES	0%	0%	$786K	4.41	178K	-20.9K	-10.5%	9/30/2020
ENVESTNET ASSET MANAGEMENT INC	0%	+0%	$676K	4.41	153K	+144	+0.09%	9/30/2020
MILLENNIUM MANAGEMENT LLC	0%	+0%	$674K	4.41	153K	+153K	NEW	9/30/2020
PARK AVENUE SECURITIES LLC	0.02%	+0%	$671K	4.41	152K	+18.5K	+13.9%	9/30/2020
Asset Planning Services, Ltd.	0.28%	+0%	$642K	4.41	146K	+962	+0.66%	9/30/2020
FIRST FOUNDATION ADVISORS	0.02%	+0%	$514K	4.41	117K	+887	+0.77%	9/30/2020
AMERIPRISE FINANCIAL INC	0%	+0%	$440K	4.41	99.8K	+21.9K	+28.1%	9/30/2020
MACKAY SHIELDS LLC	0%		$377K	4.41	85.5K			9/30/2020
HRT FINANCIAL LP	0.01%	+0.01%	$358K	4.40	81.4K	+81.4K	NEW	9/30/2020
Autus Asset Management, LLC	0.05%	0%	$357K	4.41	81K	-3.62K	-4.27%	9/30/2020
INVESTMENT PARTNERS, LTD.	0.21%		$355K	4.41	80.4K			9/30/2020
ADVISOR GROUP HOLDINGS, INC.	0%	0%	$348K	4.33	80.3K	-56.7K	-41.4%	9/30/2020
STIFEL FINANCIAL CORP	0%	0%	$338K	4.41	76.7K	-5.71K	-6.93%	9/30/2020
Westchester Capital Management, LLC	0.02%		$326K	4.42	73.8K			9/30/2020
KESTRA PRIVATE WEALTH SERVICES, LLC	0.03%		$300K	4.40	68.2K			9/30/2020
Almitas Capital LLC	0.4%	+0.4%	$296K	4.41	67.1K	+67.1K	NEW	9/30/2020
Platform Technology Partners	0.18%		$295K	4.41	66.9K			9/30/2020
OTA Financial Group L.P.	0.24%	+0.24%	$262K	4.41	59.5K	+59.5K	NEW	9/30/2020
HCR Wealth Advisors	0.06%		$255K	4.42	57.7K			9/30/2020
Invesco Ltd.	0%	0%	$253K	4.41	57.4K	-2.11M	-97.3%	9/30/2020
Virtus ETF Advisers LLC	0.13%	-0.05%	$239K	4.42	54.1K	-21.8K	-28.7%	9/30/2020
ROYAL BANK OF CANADA	0%	0%	$218K	4.41	49.4K	-2.93K	-5.59%	9/30/2020
Capital Investment Advisors, LLC	0.01%	0%	$218K	4.41	49.4K	-1.9K	-3.69%	9/30/2020
COMMONWEALTH EQUITY SERVICES, LLC	0%	0%	$205K	4.41	46.5K	-2.82K	-5.72%	9/30/2020
CPWM, LLC	0.02%		$185K	4.41	41.9K			9/30/2020
Plante Moran Financial Advisors, LLC	0.06%	+0.06%	$181K	4.40	41.1K	+41.1K	NEW	9/30/2020
CITIGROUP INC	0%	+0%	$181K	4.40	41.1K	+25K	+155.9%	9/30/2020
GOLDMAN SACHS GROUP INC	0%	+0%	$181K	4.41	41K	+41K	NEW	9/30/2020

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* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
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