LCAP · Principal Capital Appreciation Select ETF ETF

$33.65 -0.18 (-0.53%) At close · Sep 4

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →

Quarter:

Holders: 32

Total Value: $0

Total Shares: 11,598,681

Institutional Ownership Trend

6 quarters

Quarterly Activity

vs Dec 31, 2021

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -34

Institutional value: —

Shares held: -48.0%

Top Buyers

vs Dec 31, 2021

Institution	Added	Now Holds
Large Hudson Bay Capital Management LP	+46	57
Mid SONA ASSET MANAGEMENT (US) LLC	+18	45
Mega GOLDMAN SACHS GROUP INC	+17	72
Small Paloma Partners Management Co	+6	24

Top Sellers

vs Dec 31, 2021

Institution	Sold	Now Holds
Mid MIZUHO SECURITIES USA LLC	−367	2
Mega MILLENNIUM MANAGEMENT LLC	−126	14
Large NOMURA HOLDINGS INC	−112	239
Large MARSHALL WACE, LLP	−57	217
Mega D. E. Shaw & Co., Inc.	−54	124

Top New Positions

vs Dec 31, 2021

Institution	Acquired	Value (USD)
Small PIN OAK INVESTMENT ADVISORS INC	99	$0
Mid Ursa Fund Management, LLC	215	$0
Small DELTEC ASSET MANAGEMENT LLC	11	$0
Mid BOOTHBAY FUND MANAGEMENT, LLC	45	$0
Micro Sage Rock Capital Management LP	30	$0

Top Sold-Out Positions

vs Dec 31, 2021

Institution	Previously Held	Last Value (USD)
Micro HAVENS ADVISORS LLC	5	$0
Mid RIVERNORTH CAPITAL MANAGEMENT, LLC	57	$0
Micro OTA Financial Group L.P.	5	$0
Small GABELLI & Co INVESTMENT ADVISERS, INC.	62	$0
Mid GAM Holding AG	4	$0

Filter: New 6 Increased 4 Reduced 10 Sold out 40 Unchanged 12

Showing 32 of 32

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

MIZUHO SECURITIES USA LLC LCAP

—

10,000

Periscope Capital Inc. LCAP

—

778,600

BOOTHBAY FUND MANAGEMENT, LLC LCAP

—

195,000

Paloma Partners Management Co LCAP

—

105,455

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Paloma Partners Advisors LP joint	105,455	$0	—	Other

DELTEC ASSET MANAGEMENT LLC LCAP

—

50,000

Tower Research Capital LLC (TRC) LCAP

—

160

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Latour Trading LLC (Latour)	160	$0	—	Defined

Ursa Fund Management, LLC LCAP

—

941,207

BASSO CAPITAL MANAGEMENT, L.P. LCAP

—

324,431

GEODE CAPITAL MANAGEMENT, LLC LCAP

—

13,433

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Manager 1	13,433	$0	—	Defined

BANK OF AMERICA CORP /DE/ LCAP

—

100,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF AMERICA NA	100,000	$0	—	Defined

Karpus Management, Inc. LCAP

—

50,000

GOLDMAN SACHS GROUP INC LCAP

—

313,227

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
GOLDMAN SACHS & CO. LLC	313,227	$0	—	Defined

UBS Group AG LCAP

—

218

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Securities LLC	218	$0	—	Sole

SONA ASSET MANAGEMENT (US) LLC LCAP

—

195,845

Shaolin Capital Management LLC LCAP

—

260,019

Sage Rock Capital Management LP LCAP

—

130,000

MILLENNIUM MANAGEMENT LLC LCAP

—

62,506

ATW SPAC MANAGEMENT LLC LCAP

—

195,000

MARSHALL WACE, LLP LCAP

—

950,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Manager 2811377 joint	950,000	$0	—	Other

BERKLEY W R CORP LCAP

—

920,429

Taconic Capital Advisors LP LCAP

—

504,320

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Taconic Capital Advisors UK LLP joint	504,320	$0	—	Defined

HRT FINANCIAL LP LCAP

—

158,863

Kepos Capital LP LCAP

—

900,000

D. E. Shaw & Co., Inc. LCAP

—

542,248

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
D. E. SHAW & CO, L.P.	542,248	$0	—	Defined

OMERS ADMINISTRATION Corp LCAP

—

112,283

KRYGER CAPITAL Ltd LCAP

—

1,808,893

Penserra Capital Management LLC LCAP

—

2,952

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Defiance ETFs, LLC	2,952	$0	—	Defined

FIR TREE CAPITAL MANAGEMENT LP LCAP

—

244,245

NOMURA HOLDINGS INC LCAP

—

1,046,472

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
NOMURA SECURITIES INTERNATIONAL INC	400,000	$0	—	Defined
NOMURA GLOBAL FINANCIAL PRODUCTS INC	646,472	$0	—	Defined

PROEQUITIES, INC. LCAP

—

PIN OAK INVESTMENT ADVISORS INC LCAP

—

432,875

Hudson Bay Capital Management LP LCAP

—

250,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
DeepCurrents Investment Group LLC	7,397	$0	—	Other
Held directly	3,493	$0	—	Sole

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
KKR Investment Management LLC	107,255	$0	—	Other

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CVI Investments, Inc. joint	348,163	$0	—	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Morgan Stanley Capital Services LLC	14,922	$0	—	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Brown Advisory LLC	10,000	$0	—	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	214,011	$0	—	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WESTCHESTER CAPITAL PARTNERS, LLC	5,180	$0	—	Other
Virtus Investment Advisers, Inc.	470,136	$0	—	Other
Held directly	32,641	$0	—	Sole

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Wolverine Holdings, L.P.	6,615	$0	—	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Segantii Capital Management (USA) LLC	50,000	$0	—	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
GAM INTERNATIONAL MANAGEMENT LTD	18,797	$0	—	Sole

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WEISS ANDREW M joint	723,582	$0	—	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BT ALEX BROWN INC /	243,978	$0	—	Defined