HoldingsChannel.com
Funds Holding HASI
HolderAmountPosition Size
($ in 1000's)
 As of
Vanguard Group Inc.7,748,462$249,345 12/31/2019
     HASI7,748,462$249,345 12/31/2019
Wellington Management Group LLP6,132,931$197,358 12/31/2019
     HASI6,132,931$197,358 12/31/2019
BlackRock Inc.5,992,722$192,846 12/31/2019
     HASI5,992,722$192,846 12/31/2019
Price T Rowe Associates Inc. MD2,644,247$85,092 12/31/2019
     HASI2,644,247$85,092 12/31/2019
Neumeier Poma Investment Counsel LLC2,371,613$76,319 12/31/2019
     HASI2,371,613$76,319 12/31/2019
Van ECK Associates Corp2,101,205$67,617 12/31/2019
     HASI2,101,205$67,617 12/31/2019
Citadel Advisors LLC $63,710 12/31/2019
     Bond51,784,000$63,350 12/31/2019
     Put28,400$914 12/31/2019
     HASI23,274$749 12/31/2019
     Call16,300$525 12/31/2019
Wellesley Asset Management $55,616 12/31/2019
     446,530$55,616 12/31/2019
UBS Group AG1,617,727$52,059 12/31/2019
     HASI1,617,727$52,059 12/31/2019
State Street Corp1,355,835$44,083 12/31/2019
     HASI1,355,835$44,083 12/31/2019
Northern Trust Corp986,698$31,753 12/31/2019
     HASI986,698$31,753 12/31/2019
Invesco Ltd.899,222$28,937 12/31/2019
     HASI899,222$28,937 12/31/2019
Glenmede Trust Co. NA856,093$27,549 12/31/2019
     HASI856,093$27,549 12/31/2019
Geode Capital Management LLC838,709$26,989 12/31/2019
     HASI838,709$26,989 12/31/2019
Eventide Asset Management LLC761,500$24,505 12/31/2019
     HASI761,500$24,505 12/31/2019
Handelsbanken Fonder AB726,827$23,389 12/31/2019
     HASI726,827$23,389 12/31/2019
Aristotle Capital Boston LLC713,424$22,958 12/31/2019
     HASI713,424$22,958 12/31/2019
Neuberger Berman Group LLC608,785$19,590 12/31/2019
     HASI608,785$19,590 12/31/2019
Morgan Stanley582,882$18,757 12/31/2019
     HASI582,882$18,757 12/31/2019
Charles Schwab Investment Management Inc.484,648$15,596 12/31/2019
     HASI484,648$15,596 12/31/2019
Bank of New York Mellon Corp $15,119 12/31/2019
     HASI432,009$13,901 12/31/2019
     NOTE1,000,000$1,218 12/31/2019
Summit Partners Public Asset Management LLC450,000$14,481 12/31/2019
     HASI450,000$14,481 12/31/2019
Trillium Asset Management LLC445,975$14,351 12/31/2019
     HASI445,975$14,351 12/31/2019
Dana Investment Advisors Inc.365,104$11,749 12/31/2019
     HASI365,104$11,749 12/31/2019
Credit Suisse AG361,362$11,628 12/31/2019
     HASI361,362$11,628 12/31/2019
JPMorgan Chase & Co.352,125$11,332 12/31/2019
     HASI352,125$11,332 12/31/2019
Impax Asset Management Group plc342,883$11,034 12/31/2019
     HASI342,883$11,034 12/31/2019
Federated Hermes Inc.342,291$11,015 12/31/2019
     HASI342,291$11,015 12/31/2019
Bank of America Corp DE337,721$10,868 12/31/2019
     HASI337,721$10,868 12/31/2019
Ameriprise Financial Inc.315,338$10,146 12/31/2019
     HASI315,338$10,146 12/31/2019
Commonwealth Equity Services LLC310,615$9,995 12/31/2019
     HASI310,615$9,995 12/31/2019
Baltimore Washington Financial Advisors Inc.309,527$9,960 12/31/2019
     HASI309,527$9,960 12/31/2019
Thrivent Financial for Lutherans $9,637 12/31/2019
     NOTE 47,985,000$9,637 12/31/2019
American Century Companies Inc.292,027$9,397 12/31/2019
     HASI292,027$9,397 12/31/2019
Boston Common Asset Management LLC291,925$9,394 12/31/2019
     HASI291,925$9,394 12/31/2019
AXA289,644$9,320 12/31/2019
     HASI289,644$9,320 12/31/2019
Nuveen Asset Management LLC274,176$8,823 12/31/2019
     HASI274,176$8,823 12/31/2019
Wells Fargo & Company MN $8,793 12/31/2019
     HASI256,929$8,268 12/31/2019
     NOTE 4435,000$525 12/31/2019
Goldman Sachs Group Inc.262,748$8,455 12/31/2019
     HASI262,748$8,455 12/31/2019
Osterweis Capital Management Inc.246,625$7,937 12/31/2019
     HASI246,625$7,937 12/31/2019
Gilman Hill Asset Management LLC233,988$7,530 12/31/2019
     HASI233,988$7,530 12/31/2019
Royal Bank of Canada $7,403 12/31/2019
     HASI229,823$7,397 12/31/2019
     NOTE 45,000$6 12/31/2019
Barclays PLC $6,972 12/31/2019
     HASI211,755$6,816 12/31/2019
     BOND128,000$156 12/31/2019
California Public Employees Retirement System198,766$6,396 12/31/2019
     HASI198,766$6,396 12/31/2019
Triodos Investment Management BV198,000$6,372 12/31/2019
     HASI198,000$6,372 12/31/2019
AGF Investments America Inc.187,392$6,030 12/31/2019
     HASI187,392$6,030 12/31/2019
Clean Yield Group185,820$5,980 12/31/2019
     HASI185,820$5,980 12/31/2019
NBW Capital LLC174,991$5,631 12/31/2019
     HASI174,991$5,631 12/31/2019
Amundi Pioneer Asset Management Inc.169,836$5,464 12/31/2019
     HASI169,836$5,464 12/31/2019
Putnam Investments LLC169,518$5,455 12/31/2019
     HASI169,518$5,455 12/31/2019
AGF Investments Inc. $5,070 12/31/2019
     HASI83,991$2,703 12/31/2019
     CCB1,960,000$2,367 12/31/2019
Alps Advisors Inc.156,057$5,022 12/31/2019
     HASI156,057$5,022 12/31/2019
Deutsche Bank AG $5,010 12/31/2019
     NOTE 42,489,000$3,004 12/31/2019
     HASI62,428$2,006 12/31/2019
HBK Investments L P $4,689 12/31/2019
     NOTE 411,328,000$13,780 12/31/2019
     Put282,500$9,091 12/31/2019
Baird Financial Group Inc.140,394$4,518 12/31/2019
     HASI140,394$4,518 12/31/2019
Sei Investments Co.135,708$4,367 12/31/2019
     HASI135,708$4,367 12/31/2019
Sunbelt Securities Inc.530$4,264 12/31/2019
     HASI530$4,264 12/31/2019
Alliancebernstein L.P.128,735$4,143 12/31/2019
     HASI128,735$4,143 12/31/2019
First Trust Advisors LP127,519$4,104 12/31/2019
     HASI127,519$4,104 12/31/2019
Swiss National Bank125,734$4,046 12/31/2019
     HASI125,734$4,046 12/31/2019
Millennium Management LLC122,381$3,938 12/31/2019
     HASI122,381$3,938 12/31/2019
BNP PARIBAS ASSET MANAGEMENT Holding S.A.120,242$3,869 12/31/2019
     HASI120,242$3,869 12/31/2019
Linden Advisors LP $3,868 12/31/2019
     SDBCV3,194,000$3,868 12/31/2019
Susquehanna International Group LLP $3,559 12/31/2019
     Call59,000$1,899 12/31/2019
     NOTE 41,374,000$1,658 12/31/2019
     HASI25,848$832 12/31/2019
     Put25,800$830 12/31/2019
Rhumbline Advisers107,321$3,454 12/31/2019
     HASI107,321$3,454 12/31/2019
Wolverine Asset Management LLC $3,400 12/31/2019
     NOTE 42,773,000$3,400 12/31/2019
Janney Montgomery Scott LLC99,670$3,207 12/31/2019
     HASI99,670$3,207 12/31/2019
California State Teachers Retirement System96,426$3,103 12/31/2019
     HASI96,426$3,103 12/31/2019
Candriam Luxembourg S.C.A.94,415$3,038 12/31/2019
     HASI94,415$3,038 12/31/2019
Hussman Strategic Advisors Inc.90,000$2,896 12/31/2019
     HASI90,000$2,896 12/31/2019
Parametric Portfolio Associates LLC89,387$2,876 12/31/2019
     HASI89,387$2,876 12/31/2019
SFE Investment Counsel81,220$2,614 12/31/2019
     HASI81,220$2,614 12/31/2019
Mainstay Capital Management LLC ADV80,485$2,590 12/31/2019
     HASI80,485$2,590 12/31/2019
UBS Asset Management Americas Inc.77,701$2,500 12/31/2019
     HASI77,701$2,500 12/31/2019
Two Sigma Advisers LP77,300$2,488 12/31/2019
     HASI77,300$2,488 12/31/2019
State of New Jersey Common Pension Fund D76,968$2,477 12/31/2019
     HASI76,968$2,477 12/31/2019
Grandeur Peak Global Advisors LLC74,625$2,401 12/31/2019
     HASI74,625$2,401 12/31/2019
Allianz Asset Management GmbH72,862$2,345 12/31/2019
     HASI72,862$2,345 12/31/2019
Truist Financial Corp $2,291 12/31/2019
     HASI70,616$2,273 12/31/2019
     NOTE 415,000$18 12/31/2019
Rafferty Asset Management LLC67,908$2,185 12/31/2019
     HASI67,908$2,185 12/31/2019
Raymond James & Associates67,204$2,163 12/31/2019
     HASI67,204$2,163 12/31/2019
Shelton Capital Management64,000$2,060 12/31/2019
     HASI64,000$2,060 12/31/2019
Oppenheimer & Co. Inc.61,080$1,966 12/31/2019
     HASI61,080$1,966 12/31/2019
Mutual of America Capital Management LLC59,252$1,907 12/31/2019
     HASI59,252$1,907 12/31/2019
Ladenburg Thalmann Financial Services Inc. $1,859 12/31/2019
     HASI56,711$1,815 12/31/2019
     NOTE 436,000$44 12/31/2019
New York State Common Retirement Fund56,900$1,831 12/31/2019
     HASI56,900$1,831 12/31/2019
Athena Capital Advisors LLC56,739$1,826 12/31/2019
     HASI56,739$1,826 12/31/2019
BB&T Securities LLC61,844$1,803 09/30/2019
     HASI61,844$1,803 09/30/2019
Skandinaviska Enskilda Banken AB publ 55,014$1,770 12/31/2019
     HASI55,014$1,770 12/31/2019
WINTON GROUP Ltd54,658$1,759 12/31/2019
     HASI54,658$1,759 12/31/2019
Colorado Capital Management Inc.53,915$1,735 12/31/2019
     HASI53,915$1,735 12/31/2019
Cambridge Investment Research Advisors Inc.53,674$1,727 12/31/2019
     HASI53,674$1,727 12/31/2019
Spirit of America Management Corp NY53,559$1,723 12/31/2019
     HASI53,559$1,723 12/31/2019
D. E. Shaw & Co. Inc.52,311$1,683 12/31/2019
     HASI52,311$1,683 12/31/2019
Keeley Teton Advisors LLC52,263$1,682 12/31/2019
     HASI52,263$1,682 12/31/2019
Essex Investment Management Co. LLC51,669$1,663 12/31/2019
     HASI51,669$1,663 12/31/2019
361 Capital LLC50,217$1,616 12/31/2019
     HASI50,217$1,616 12/31/2019
AQR Capital Management LLC48,116$1,548 12/31/2019
     HASI48,116$1,548 12/31/2019
Fort Sheridan Advisors LLC47,354$1,524 12/31/2019
     HASI47,354$1,524 12/31/2019
Two Sigma Investments LP46,256$1,489 12/31/2019
     HASI46,256$1,489 12/31/2019
SSI Investment Management LLC $1,453 12/31/2019
     NOTE 41,203,000$1,453 12/31/2019
Northeast Financial Consultants Inc43,000$1,384 12/31/2019
     HASI43,000$1,384 12/31/2019
Mackenzie Financial Corp42,900$1,381 12/31/2019
     HASI42,900$1,381 12/31/2019
CIBC Private Wealth Group LLC41,968$1,351 12/31/2019
     HASI41,968$1,351 12/31/2019
Citigroup Inc.41,906$1,348 12/31/2019
     HASI41,906$1,348 12/31/2019
CIBC World Markets Inc.41,733$1,343 12/31/2019
     HASI41,733$1,343 12/31/2019
Rockefeller Capital Management L.P.40,873$1,315 12/31/2019
     HASI40,873$1,315 12/31/2019
American International Group Inc.39,660$1,276 12/31/2019
     HASI39,660$1,276 12/31/2019
Jupiter Asset Management Ltd.38,000$1,222 12/31/2019
     HASI38,000$1,222 12/31/2019
The Manufacturers Life Insurance Company 37,925$1,220 12/31/2019
     HASI37,925$1,220 12/31/2019
Envestnet Asset Management Inc.36,772$1,183 12/31/2019
     HASI36,772$1,183 12/31/2019
Arosa Capital Management LP36,100$1,162 12/31/2019
     HASI36,100$1,162 12/31/2019
Driehaus Capital Management LLC35,826$1,153 12/31/2019
     HASI35,826$1,153 12/31/2019
LPL Financial LLC35,383$1,139 12/31/2019
     HASI35,383$1,139 12/31/2019
Oaktree Capital Management LP $1,136 12/31/2019
     CONVERTIBLE BOND940,000$1,136 12/31/2019
Legal & General Group Plc34,714$1,117 12/31/2019
     HASI34,714$1,117 12/31/2019
Principal Financial Group Inc.33,510$1,078 12/31/2019
     HASI33,510$1,078 12/31/2019
Jag Capital Management LLC33,140$1,066 12/31/2019
     HASI33,140$1,066 12/31/2019
Securian Asset Management Inc30,531$982 12/31/2019
     HASI30,531$982 12/31/2019
Voya Investment Management LLC30,529$982 12/31/2019
     HASI30,529$982 12/31/2019
Stifel Financial Corp30,354$977 12/31/2019
     HASI30,354$977 12/31/2019
Virginia Retirement Systems ET AL29,100$936 12/31/2019
     HASI29,100$936 12/31/2019
Scotia Capital Inc.28,404$915 12/31/2019
     HASI28,404$915 12/31/2019
Eii Capital Management Inc.27,000$869 12/31/2019
     HASI27,000$869 12/31/2019
MetLife Investment Management LLC26,422$850 12/31/2019
     HASI26,422$850 12/31/2019
Nisa Investment Advisors LLC25,514$821 12/31/2019
     HASI25,514$821 12/31/2019
Osborn Williams & Donohoe LLC27,500$802 09/30/2019
     HASI27,500$802 09/30/2019
State Board of Administration of Florida Retirement System24,729$796 12/31/2019
     HASI24,729$796 12/31/2019
Victory Capital Management Inc.24,502$788 12/31/2019
     HASI24,502$788 12/31/2019
HRT Financial LLC23,354$751 12/31/2019
     HASI23,354$751 12/31/2019
Campbell & CO Investment Adviser LLC22,738$732 12/31/2019
     HASI22,738$732 12/31/2019
ClariVest Asset Management LLC22,450$723 12/31/2019
     HASI22,450$723 12/31/2019
Shufro Rose & Co. LLC21,299$685 12/31/2019
     HASI21,299$685 12/31/2019
US Bancorp DE21,042$677 12/31/2019
     HASI21,042$677 12/31/2019
Blair William & Co. IL $677 12/31/2019
     HASI13,555$436 12/31/2019
     NOTE 4200,000$241 12/31/2019
Sowell Financial Services LLC20,255$652 12/31/2019
     HASI20,255$652 12/31/2019
Putnam FL Investment Management Co.20,157$649 12/31/2019
     HASI20,157$649 12/31/2019
ExodusPoint Capital Management LP20,067$646 12/31/2019
     HASI20,067$646 12/31/2019
Baldwin Brothers Inc. MA20,050$645 12/31/2019
     HASI20,050$645 12/31/2019
M&T Bank Corp19,508$628 12/31/2019
     HASI19,508$628 12/31/2019
Bard Associates Inc.19,394$624 12/31/2019
     HASI19,394$624 12/31/2019
Metropolitan Life Insurance Co NY19,186$617 12/31/2019
     HASI19,186$617 12/31/2019
Nwam LLC18,646$600 12/31/2019
     HASI18,646$600 12/31/2019
Everett Harris & Co. CA18,600$599 12/31/2019
     HASI18,600$599 12/31/2019
Creative Planning18,613$599 12/31/2019
     HASI18,613$599 12/31/2019
Aptus Capital Advisors LLC18,486$595 12/31/2019
     HASI18,486$595 12/31/2019
Public Employees Retirement Association of Colorado18,361$591 12/31/2019
     HASI18,361$591 12/31/2019
Macquarie Group Ltd. $587 12/31/2019
     NOTE 4485,000$587 12/31/2019
Strs Ohio17,100$550 12/31/2019
     HASI17,100$550 12/31/2019
M&G Investment Management Ltd.17,151$549 12/31/2019
     HASI17,151$549 12/31/2019
Advisor Group Inc.16,574$534 12/31/2019
     HASI16,574$534 12/31/2019
Xact Kapitalforvaltning AB16,488$531 12/31/2019
     HASI16,488$531 12/31/2019
Fiduciary Trust Co.16,220$522 12/31/2019
     HASI16,220$522 12/31/2019
Atria Investments LLC15,721$506 12/31/2019
     HASI15,721$506 12/31/2019
BNP Paribas Arbitrage SA15,195$489 12/31/2019
     HASI15,195$489 12/31/2019
Aperio Group LLC15,037$484 12/31/2019
     HASI15,037$484 12/31/2019
Forsta AP Fonden15,000$483 12/31/2019
     HASI15,000$483 12/31/2019
OneAscent Financial Services LLC14,931$480 12/31/2019
     HASI14,931$480 12/31/2019
Canton Hathaway LLC14,530$468 12/31/2019
     HASI14,530$468 12/31/2019
Global Financial Private Capital Inc13,843$450 12/31/2019
     HASI13,843$450 12/31/2019
AlphaCrest Capital Management LLC12,900$415 12/31/2019
     HASI12,900$415 12/31/2019
Mirae Asset Global Investments Co. Ltd.12,620$406 12/31/2019
     HASI12,620$406 12/31/2019
Highland Capital Management LLC12,500$402 12/31/2019
     HASI12,500$402 12/31/2019
Red Spruce Capital LLC12,056$388 12/31/2019
     HASI12,056$388 12/31/2019
Outlook Wealth Advisors LLC11,484$370 12/31/2019
     HASI11,484$370 12/31/2019
Comerica Bank10,623$369 12/31/2019
     HASI10,623$369 12/31/2019
Albion Financial Group UT11,480$369 12/31/2019
     HASI11,480$369 12/31/2019
Belpointe Asset Management LLC11,392$366 12/31/2019
     HASI11,392$366 12/31/2019
A.R.T. Advisors LLC11,259$362 12/31/2019
     HASI11,259$362 12/31/2019
Weld Capital Management LLC11,126$358 12/31/2019
     HASI11,126$358 12/31/2019
Smithfield Trust Co.11,090$357 12/31/2019
     HASI11,090$357 12/31/2019
Atlas Brown Inc.10,934$352 12/31/2019
     HASI10,934$352 12/31/2019
Raymond James Financial Services Advisors Inc.10,941$352 12/31/2019
     HASI10,941$352 12/31/2019
HighTower Advisors LLC11,038$351 12/31/2019
     HASI11,038$351 12/31/2019
Amalgamated Bank10,176$327 12/31/2019
     HASI10,176$327 12/31/2019
Lavaca Capital LLC10,150$327 12/31/2019
     HASI10,150$327 12/31/2019
Bienville Capital Management LLC10,000$325 12/31/2019
     HASI10,000$325 12/31/2019
Regions Financial Corp9,877$318 12/31/2019
     HASI9,877$318 12/31/2019
PFS Investments Inc.9,695$312 12/31/2019
     HASI9,695$312 12/31/2019
Coastal Investment Advisors Inc.10,502$305 12/31/2019
     HASI10,502$305 12/31/2019
Good Life Advisors LLC9,121$293 12/31/2019
     HASI9,121$293 12/31/2019
LGL Partners LLC9,000$290 12/31/2019
     HASI9,000$290 12/31/2019
ProShare Advisors LLC8,587$276 12/31/2019
     HASI8,587$276 12/31/2019
Stratos Wealth Partners LTD.8,460$272 12/31/2019
     HASI8,460$272 12/31/2019
Greenwood Capital Associates LLC8,265$266 12/31/2019
     HASI8,265$266 12/31/2019
AllSquare Wealth Management LLC8,199$264 12/31/2019
     HASI8,199$264 12/31/2019
Allstate Corp7,967$256 12/31/2019
     HASI7,967$256 12/31/2019
SG Americas Securities LLC7,638$246 12/31/2019
     HASI7,638$246 12/31/2019
FCA Corp TX7,600$245 12/31/2019
     HASI7,600$245 12/31/2019
Hsbc Holdings PLC7,452$241 12/31/2019
     HASI7,452$241 12/31/2019
Wedbush Securities Inc.7,493$241 12/31/2019
     HASI7,493$241 12/31/2019
Fort Washington Investment Advisors Inc. OH7,400$238 12/31/2019
     HASI7,400$238 12/31/2019
Gamble Jones Investment Counsel7,406$238 12/31/2019
     HASI7,406$238 12/31/2019
Hollow Brook Wealth Management LLC7,406$238 12/31/2019
     HASI7,406$238 12/31/2019
Cim LLC7,224$232 12/31/2019
     HASI7,224$232 12/31/2019
Pekin Hardy Strauss Inc.7,070$228 12/31/2019
     HASI7,070$228 12/31/2019
Keybank National Association OH6,786$218 12/31/2019
     HASI6,786$218 12/31/2019
Cetera Advisor Networks LLC6,787$217 12/31/2019
     HASI6,787$217 12/31/2019
Chicago Partners Investment Group LLC6,328$213 12/31/2019
     HASI6,328$213 12/31/2019
DAVENPORT & Co LLC6,525$210 12/31/2019
     HASI6,525$210 12/31/2019
Boston Trust Walden Corp6,500$209 12/31/2019
     HASI6,500$209 12/31/2019
Aigen Investment Management LP6,367$205 12/31/2019
     HASI6,367$205 12/31/2019
Reynders McVeigh Capital Management LLC6,274$202 12/31/2019
     HASI6,274$202 12/31/2019
Great West Life Assurance Co. Can6,187$198 12/31/2019
     HASI6,187$198 12/31/2019
Zurcher Kantonalbank Zurich Cantonalbank 6,150$198 12/31/2019
     HASI6,150$198 12/31/2019
Ameritas Investment Partners Inc.5,564$179 12/31/2019
     HASI5,564$179 12/31/2019
1832 Asset Management L.P.6,000$175 09/30/2019
     HASI6,000$175 09/30/2019
FORA Capital LLC5,191$167 12/31/2019
     HASI5,191$167 12/31/2019
Proequities Inc. $165 12/31/2019
     HASI5,083$165 12/31/2019
     Put0$0 12/31/2019
     Call0$0 12/31/2019
     NOTE 40$0 12/31/2019
Bank of Montreal Can4,883$157 12/31/2019
     HASI4,883$157 12/31/2019
Russell Investments Group Ltd.4,377$140 12/31/2019
     HASI4,377$140 12/31/2019
Credit Agricole S A4,199$135 12/31/2019
     HASI4,199$135 12/31/2019
Bourgeon Capital Management LLC3,740$120 12/31/2019
     HASI3,740$120 12/31/2019
BDO Wealth Advisors LLC3,575$115 12/31/2019
     HASI3,575$115 12/31/2019
Glassman Wealth Services3,502$113 12/31/2019
     HASI3,502$113 12/31/2019
Asset Management One Co. Ltd.3,241$104 12/31/2019
     HASI3,241$104 12/31/2019
Brown Brothers Harriman & Co.3,000$97 12/31/2019
     HASI3,000$97 12/31/2019
USA Financial Portformulas Corp2,621$84 12/31/2019
     HASI2,621$84 12/31/2019
Catalyst Capital Advisors LLC2,510$81 12/31/2019
     HASI2,510$81 12/31/2019
Private Capital Group LLC2,004$65 12/31/2019
     HASI2,004$65 12/31/2019
Sandy Spring Bank2,000$64 12/31/2019
     HASI2,000$64 12/31/2019
Advisory Alpha LLC1,408$47 12/31/2019
     HASI1,408$47 12/31/2019
HBC Financial Services PLLC1,500$47 12/31/2019
     HASI1,500$47 12/31/2019
Clearbridge Investments LLC1,000$31 12/31/2019
     HASI1,000$31 12/31/2019
First Manhattan Co.700$22 12/31/2019
     HASI700$22 12/31/2019
Atticus Wealth Management LLC664$21 12/31/2019
     HASI664$21 12/31/2019
Advisory Services Network LLC600$19 12/31/2019
     HASI600$19 12/31/2019
Focused Wealth Management Inc413$13 12/31/2019
     HASI413$13 12/31/2019
Coastal Capital Group Inc.417$13 12/31/2019
     HASI417$13 12/31/2019
Sound Income Strategies LLC375$12 12/31/2019
     HASI375$12 12/31/2019
Gradient Investments LLC333$11 12/31/2019
     HASI333$11 12/31/2019
PNC Financial Services Group Inc.300$10 12/31/2019
     HASI300$10 12/31/2019
Hartford Financial Management Inc.303$10 12/31/2019
     HASI303$10 12/31/2019
Asset Dedication LLC300$10 12/31/2019
     HASI300$10 12/31/2019
Pflug Koory LLC287$9 12/31/2019
     HASI287$9 12/31/2019
BerganKDV Wealth Management LLC236$8 12/31/2019
     HASI236$8 12/31/2019
O Shaughnessy Asset Management LLC209$7 12/31/2019
     HASI209$7 12/31/2019
IFP Advisors Inc207$7 12/31/2019
     HASI207$7 12/31/2019
Covington Capital Management200$6 12/31/2019
     HASI200$6 12/31/2019
Steward Partners Investment Advisory LLC200$6 12/31/2019
     HASI200$6 12/31/2019
Lloyd Advisory Services LLC.181$6 12/31/2019
     HASI181$6 12/31/2019
Orion Portfolio Solutions LLC160$5 12/31/2019
     HASI160$5 12/31/2019
Hanson & Doremus Investment Management130$4 12/31/2019
     HASI130$4 12/31/2019
Hanseatic Management Services Inc.92$3 12/31/2019
     HASI92$3 12/31/2019
CWM LLC100$3 12/31/2019
     HASI100$3 12/31/2019
Bay Harbor Wealth Management LLC51$2 12/31/2019
     HASI51$2 12/31/2019
D.A. Davidson & CO. $1 12/31/2019
     NOTE 4120,000$1 12/31/2019
FMR LLC2$0 12/31/2019
     HASI2$0 12/31/2019
Bessemer Group Inc.1$0 12/31/2019
     HASI1$0 12/31/2019
Cutler Group LP $-9 12/31/2019
     Put18,600$16 12/31/2019
     HASI240$7 12/31/2019
HAP Trading LLC $-36 12/31/2019
     Put35,400$36 12/31/2019
Simplex Trading LLC $-1,053 12/31/2019
     Put395$1,271 12/31/2019
     Call68$218 12/31/2019
Melvin Capital Management LP1,200,000$-38,616 12/31/2019
     Put1,200,000$38,616 12/31/2019

See Summary: Institutional Holders of HASI
See Details: Top 10 Hedge Funds Holding HASI
Also See: HASI Insider Buying
Also See: HASI Holdings Changes

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