HoldingsChannel.com
Funds Holding NLY
HolderAmountPosition Size
($ in 1000's)
 As of
BlackRock Inc.155,189,033$1,365,663 09/30/2019
     NLY155,189,033$1,365,663 09/30/2019
Vanguard Group Inc.138,864,092$1,222,004 09/30/2019
     NLY138,864,092$1,222,004 09/30/2019
State Street Corp46,809,567$423,170 09/30/2019
     NLY46,809,567$423,170 09/30/2019
FMR LLC30,891,718$271,847 09/30/2019
     NLY30,891,718$271,847 09/30/2019
LSV Asset Management24,686,486$217,241 09/30/2019
     NLY24,686,486$217,241 09/30/2019
Wells Fargo & Company MN21,323,356$187,646 09/30/2019
     NLY21,323,356$187,646 09/30/2019
State of Michigan Retirement System19,100,000$168,080 09/30/2019
     NLY19,100,000$168,080 09/30/2019
UBS Group AG16,784,252$147,701 09/30/2019
     NLY16,784,252$147,701 09/30/2019
Geode Capital Management LLC15,550,521$137,146 09/30/2019
     NLY15,550,521$137,146 09/30/2019
Thompson Siegel & Walmsley LLC14,985,336$131,871 09/30/2019
     NLY14,985,336$131,871 09/30/2019
Northern Trust Corp13,191,613$116,086 09/30/2019
     NLY13,191,613$116,086 09/30/2019
California Public Employees Retirement System12,630,477$111,148 09/30/2019
     NLY12,630,477$111,148 09/30/2019
Legal & General Group Plc11,897,916$104,663 09/30/2019
     NLY11,897,916$104,663 09/30/2019
UBS Asset Management Americas Inc.8,724,639$76,777 09/30/2019
     NLY8,724,639$76,777 09/30/2019
Brandywine Global Investment Management LLC8,193,680$72,105 09/30/2019
     NLY8,193,680$72,105 09/30/2019
Ameriprise Financial Inc.7,551,011$65,539 09/30/2019
     NLY7,551,011$65,539 09/30/2019
Janus Henderson Group PLC6,988,517$61,500 09/30/2019
     NLY6,988,517$61,500 09/30/2019
Credit Suisse AG6,835,701$60,155 09/30/2019
     NLY6,835,701$60,155 09/30/2019
Sumitomo Mitsui Trust Holdings Inc.6,083,851$53,538 09/30/2019
     NLY6,083,851$53,538 09/30/2019
Bank of New York Mellon Corp6,072,853$53,440 09/30/2019
     NLY6,072,853$53,440 09/30/2019
Goldman Sachs Group Inc.5,527,829$48,645 09/30/2019
     NLY5,527,829$48,645 09/30/2019
Allianz Asset Management GmbH5,489,523$48,307 09/30/2019
     NLY5,489,523$48,307 09/30/2019
Bank of America Corp DE4,805,805$42,292 09/30/2019
     NLY4,805,805$42,292 09/30/2019
Alberta Investment Management Corp4,151,000$36,529 09/30/2019
     NLY4,151,000$36,529 09/30/2019
Charles Schwab Investment Management Inc.4,127,783$36,325 09/30/2019
     NLY4,127,783$36,325 09/30/2019
Nuveen Asset Management LLC4,049,639$35,637 09/30/2019
     NLY4,049,639$35,637 09/30/2019
Morgan Stanley3,766,989$33,150 09/30/2019
     NLY3,766,989$33,150 09/30/2019
Renaissance Technologies LLC3,739,200$32,905 09/30/2019
     NLY3,739,200$32,905 09/30/2019
Massachusetts Financial Services Co. MA3,666,071$32,261 09/30/2019
     NLY3,666,071$32,261 09/30/2019
Mitsubishi UFJ Trust & Banking Corp3,665,726$32,084 09/30/2019
     NLY3,665,726$32,084 09/30/2019
Waddell & Reed Financial Inc.3,552,900$31,266 09/30/2019
     NLY3,552,900$31,266 09/30/2019
Soros Fund Management LLC3,517,428$30,953 09/30/2019
     NLY3,517,428$30,953 09/30/2019
New York State Common Retirement Fund3,214,450$28,287 09/30/2019
     NLY3,214,450$28,287 09/30/2019
Parametric Portfolio Associates LLC3,195,463$28,120 09/30/2019
     NLY3,195,463$28,120 09/30/2019
Russell Investments Group Ltd.3,196,011$28,080 09/30/2019
     NLY3,196,011$28,080 09/30/2019
Van ECK Associates Corp2,863,202$25,196 09/30/2019
     NLY2,863,202$25,196 09/30/2019
Royal Bank of Canada $25,071 09/30/2019
     NLY2,421,951$21,312 09/30/2019
     Call427,200$3,760 09/30/2019
     Put100$1 09/30/2019
Barclays PLC $24,658 09/30/2019
     NLY2,844,258$25,030 09/30/2019
     Put63,500$559 09/30/2019
     Call21,200$187 09/30/2019
California State Teachers Retirement System2,489,151$21,905 09/30/2019
     NLY2,489,151$21,905 09/30/2019
Citigroup Inc. $21,015 09/30/2019
     NLY2,561,700$22,543 09/30/2019
     Put232,200$2,043 09/30/2019
     Call58,500$515 09/30/2019
Amundi Pioneer Asset Management Inc.2,379,279$20,937 09/30/2019
     NLY2,379,279$20,937 09/30/2019
Penn Mutual Asset Management LLC2,377,800$20,925 09/30/2019
     NLY2,377,800$20,925 09/30/2019
Mirae Asset Global Investments Co. Ltd.2,316,401$20,385 09/30/2019
     NLY2,316,401$20,385 09/30/2019
Invesco Ltd.2,311,670$20,343 09/30/2019
     NLY2,311,670$20,343 09/30/2019
Deutsche Bank AG2,165,797$19,055 09/30/2019
     NLY2,165,797$19,055 09/30/2019
Prudential Financial Inc.2,073,900$18,250 09/30/2019
     NLY2,073,900$18,250 09/30/2019
APG Asset Management N.V.2,187,748$17,659 09/30/2019
     NLY2,187,748$17,659 09/30/2019
Putnam Investments LLC1,988,460$17,498 09/30/2019
     NLY1,988,460$17,498 09/30/2019
JPMorgan Chase & Co. $17,242 09/30/2019
     NLY2,003,046$17,627 09/30/2019
     Put43,800$385 09/30/2019
SG Americas Securities LLC1,948,455$17,146 09/30/2019
     NLY1,948,455$17,146 09/30/2019
National Pension Service1,863,849$16,402 09/30/2019
     NLY1,863,849$16,402 09/30/2019
BNP Paribas Arbitrage SA1,830,816$16,111 09/30/2019
     NLY1,830,816$16,111 09/30/2019
Bank of Montreal Can1,772,906$15,602 09/30/2019
     NLY1,772,906$15,602 09/30/2019
Tobam1,733,442$15,254 09/30/2019
     NLY1,733,442$15,254 09/30/2019
Great West Life Assurance Co. Can1,716,551$15,115 09/30/2019
     NLY1,716,551$15,115 09/30/2019
State Board of Administration of Florida Retirement System1,641,893$14,449 09/30/2019
     NLY1,641,893$14,449 09/30/2019
Advisors Asset Management Inc.1,628,684$14,332 09/30/2019
     NLY1,628,684$14,332 09/30/2019
Rhumbline Advisers1,508,415$13,274 09/30/2019
     NLY1,508,415$13,274 09/30/2019
Susquehanna International Group LLP $12,879 09/30/2019
     NLY2,031,400$17,876 09/30/2019
     Put1,322,200$11,635 09/30/2019
     Call754,300$6,638 09/30/2019
Adage Capital Partners GP L.L.C.1,450,000$12,760 09/30/2019
     NLY1,450,000$12,760 09/30/2019
Bessemer Group Inc.1,444,984$12,716 09/30/2019
     NLY1,444,984$12,716 09/30/2019
Alliancebernstein L.P.1,433,302$12,613 09/30/2019
     NLY1,433,302$12,613 09/30/2019
Caisse DE Depot ET Placement DU Quebec1,405,820$12,371 09/30/2019
     NLY1,405,820$12,371 09/30/2019
First Trust Advisors LP1,377,923$12,126 09/30/2019
     NLY1,377,923$12,126 09/30/2019
State of Wisconsin Investment Board1,350,558$11,885 09/30/2019
     NLY1,350,558$11,885 09/30/2019
NN Investment Partners Holdings N.V.1,347,823$11,860 09/30/2019
     NLY1,347,823$11,860 09/30/2019
BB&T Securities LLC1,328,213$11,689 09/30/2019
     NLY1,328,213$11,689 09/30/2019
Asset Management One Co. Ltd.1,325,933$11,670 09/30/2019
     NLY1,325,933$11,670 09/30/2019
Nomura Asset Management Co. Ltd.1,286,892$11,324 09/30/2019
     NLY1,286,892$11,324 09/30/2019
Ladenburg Thalmann Financial Services Inc.1,178,538$10,373 09/30/2019
     NLY1,178,538$10,373 09/30/2019
Shell Asset Management Co.1,174,529$10,336 09/30/2019
     NLY1,174,529$10,336 09/30/2019
Voya Investment Management LLC1,160,430$10,212 09/30/2019
     NLY1,160,430$10,212 09/30/2019
CWA Asset Management Group LLC1,129,898$9,942 09/30/2019
     NLY1,129,898$9,942 09/30/2019
West Family Investments Inc.1,118,922$9,847 09/30/2019
     NLY1,118,922$9,847 09/30/2019
Stifel Financial Corp1,063,294$9,373 09/30/2019
     NLY1,063,294$9,373 09/30/2019
Davidson Investment Advisors1,059,025$9,319 09/30/2019
     NLY1,059,025$9,319 09/30/2019
TD Asset Management Inc.1,032,889$9,089 09/30/2019
     NLY1,032,889$9,089 09/30/2019
Neuberger Berman Group LLC1,007,276$8,864 09/30/2019
     NLY1,007,276$8,864 09/30/2019
Evergreen Capital Management LLC990,631$8,718 09/30/2019
     NLY990,631$8,718 09/30/2019
Schroder Investment Management Group921,320$8,052 09/30/2019
     NLY921,320$8,052 09/30/2019
Advisor Group Inc.894,260$7,869 09/30/2019
     NLY894,260$7,869 09/30/2019
Andra AP fonden875,800$7,707 09/30/2019
     NLY875,800$7,707 09/30/2019
Korea Investment CORP855,352$7,527 09/30/2019
     NLY855,352$7,527 09/30/2019
Edge Wealth Management LLC $7,470 09/30/2019
     NLY.PRF280,950$7,234 09/30/2019
     NLY26,931$236 09/30/2019
Dai Ichi Life Insurance Company Ltd802,573$7,063 09/30/2019
     NLY802,573$7,063 09/30/2019
State of Alaska Department of Revenue792,781$6,976 09/30/2019
     NLY792,781$6,976 09/30/2019
Cetera Advisors LLC778,760$6,854 09/30/2019
     NLY778,760$6,854 09/30/2019
Symons Capital Management Inc.778,213$6,848 09/30/2019
     NLY778,213$6,848 09/30/2019
Price T Rowe Associates Inc. MD774,518$6,816 09/30/2019
     NLY774,518$6,816 09/30/2019
Muhlenkamp & Co. Inc.758,735$6,677 09/30/2019
     NLY758,735$6,677 09/30/2019
State of New Jersey Common Pension Fund D726,800$6,396 09/30/2019
     NLY726,800$6,396 09/30/2019
Aperio Group LLC721,576$6,350 09/30/2019
     NLY721,576$6,350 09/30/2019
Treasurer of the State of North Carolina718,147$6,320 09/30/2019
     NLY718,147$6,320 09/30/2019
Commonwealth Equity Services LLC711,672$6,262 09/30/2019
     NLY711,672$6,262 09/30/2019
LPL Financial LLC708,689$6,236 09/30/2019
     NLY708,689$6,236 09/30/2019
Seeyond693,010$6,098 09/30/2019
     NLY693,010$6,098 09/30/2019
Confluence Investment Management LLC687,897$6,054 09/30/2019
     NLY687,897$6,054 09/30/2019
Victory Capital Management Inc.687,721$6,052 09/30/2019
     NLY687,721$6,052 09/30/2019
WINTON GROUP Ltd675,321$5,943 09/30/2019
     NLY675,321$5,943 09/30/2019
Arizona State Retirement System674,765$5,938 09/30/2019
     NLY674,765$5,938 09/30/2019
Algebris UK Ltd651,619$5,734 09/30/2019
     NLY651,619$5,734 09/30/2019
Guggenheim Capital LLC619,100$5,448 09/30/2019
     NLY619,100$5,448 09/30/2019
Mackenzie Financial Corp612,454$5,390 09/30/2019
     NLY612,454$5,390 09/30/2019
Raymond James & Associates601,262$5,291 09/30/2019
     NLY601,262$5,291 09/30/2019
Islet Management LP600,000$5,280 09/30/2019
     NLY600,000$5,280 09/30/2019
Macquarie Group Ltd.591,978$5,209 09/30/2019
     NLY591,978$5,209 09/30/2019
Pictet Asset Management Ltd.586,710$5,163 09/30/2019
     NLY586,710$5,163 09/30/2019
Sovarnum Capital L.P.575,000$5,060 09/30/2019
     NLY575,000$5,060 09/30/2019
Royal London Asset Management Ltd.562,538$4,953 09/30/2019
     NLY562,538$4,953 09/30/2019
AustralianSuper Pty Ltd551,759$4,855 09/30/2019
     NLY551,759$4,855 09/30/2019
Hsbc Holdings PLC551,142$4,850 09/30/2019
     NLY551,142$4,850 09/30/2019
Standard Life Aberdeen plc540,395$4,759 09/30/2019
     NLY540,395$4,759 09/30/2019
Fjarde AP Fonden Fourth Swedish National Pension Fund540,297$4,755 09/30/2019
     NLY540,297$4,755 09/30/2019
1832 Asset Management L.P.539,200$4,710 09/30/2019
     NLY539,200$4,710 09/30/2019
Worldquant Millennium Advisors LLC527,547$4,642 09/30/2019
     NLY527,547$4,642 09/30/2019
Cambridge Investment Research Advisors Inc.506,726$4,459 09/30/2019
     NLY506,726$4,459 09/30/2019
Public Employees Retirement System of Ohio500,116$4,401 09/30/2019
     NLY500,116$4,401 09/30/2019
Rock Point Advisors LLC499,241$4,393 09/30/2019
     NLY499,241$4,393 09/30/2019
D.A. Davidson & CO.488,521$4,299 09/30/2019
     NLY488,521$4,299 09/30/2019
QS Investors LLC467,478$4,114 09/30/2019
     NLY467,478$4,114 09/30/2019
Northwestern Mutual Wealth Management Co.458,389$4,034 09/30/2019
     NLY458,389$4,034 09/30/2019
PVG Asset Management Corp432,085$3,802 09/30/2019
     NLY432,085$3,802 09/30/2019
Two Sigma Investments LP $3,703 09/30/2019
     NLY431,398$3,796 09/30/2019
     Put38,300$337 09/30/2019
     Call27,700$244 09/30/2019
DT Investment Partners LLC415,360$3,655 09/30/2019
     NLY415,360$3,655 09/30/2019
IFP Advisors Inc $3,609 09/30/2019
     NLY413,319$3,609 09/30/2019
     NLY.PRD0$0 09/30/2019
HighTower Advisors LLC396,928$3,495 09/30/2019
     NLY396,928$3,495 09/30/2019
Gateway Investment Advisers LLC393,210$3,460 09/30/2019
     NLY393,210$3,460 09/30/2019
Zurcher Kantonalbank Zurich Cantonalbank 383,185$3,372 09/30/2019
     NLY383,185$3,372 09/30/2019
Voloridge Investment Management LLC379,780$3,342 09/30/2019
     NLY379,780$3,342 09/30/2019
Botty Investors LLC365,764$3,310 09/30/2019
     NLY365,764$3,310 09/30/2019
Nissay Asset Management Corp Japan ADV367,387$3,233 09/30/2019
     NLY367,387$3,233 09/30/2019
Aviva PLC363,022$3,195 09/30/2019
     NLY363,022$3,195 09/30/2019
Xact Kapitalforvaltning AB360,322$3,171 09/30/2019
     NLY360,322$3,171 09/30/2019
AMP Capital Investors Ltd360,166$3,148 09/30/2019
     NLY360,166$3,148 09/30/2019
CI Investments Inc.356,499$3,137 09/30/2019
     NLY356,499$3,137 09/30/2019
Janney Montgomery Scott LLC352,646$3,103 09/30/2019
     NLY352,646$3,103 09/30/2019
Nisa Investment Advisors LLC345,967$3,045 09/30/2019
     NLY345,967$3,045 09/30/2019
Raymond James Financial Services Advisors Inc.327,598$2,883 09/30/2019
     NLY327,598$2,883 09/30/2019
Meiji Yasuda Asset Management Co Ltd.326,744$2,875 09/30/2019
     NLY326,744$2,875 09/30/2019
Strs Ohio326,163$2,870 09/30/2019
     NLY326,163$2,870 09/30/2019
Infrastructure Capital Advisors LLC320,065$2,817 09/30/2019
     NLY320,065$2,817 09/30/2019
RMR Advisors LLC319,998$2,816 09/30/2019
     NLY319,998$2,816 09/30/2019
Group One Trading L.P. $2,791 09/30/2019
     Call460,200$4,050 09/30/2019
     Put403,800$3,553 09/30/2019
     NLY260,661$2,294 09/30/2019
Baird Financial Group Inc.310,173$2,729 09/30/2019
     NLY310,173$2,729 09/30/2019
Gulf International Bank UK Ltd308,680$2,716 09/30/2019
     NLY308,680$2,716 09/30/2019
Partners Group Holding AG308,050$2,711 09/30/2019
     NLY308,050$2,711 09/30/2019
Buckhead Capital Management LLC306,750$2,699 09/30/2019
     NLY306,750$2,699 09/30/2019
ProShare Advisors LLC304,605$2,681 09/30/2019
     NLY304,605$2,681 09/30/2019
Karpas Strategies LLC292,900$2,578 09/30/2019
     NLY292,900$2,578 09/30/2019
BNP PARIBAS ASSET MANAGEMENT Holding S.A.288,610$2,539 09/30/2019
     NLY288,610$2,539 09/30/2019
Wellington Management Group LLP286,507$2,522 09/30/2019
     NLY286,507$2,522 09/30/2019
Arbor Wealth Management LLC283,635$2,496 09/30/2019
     NLY283,635$2,496 09/30/2019
Utah Retirement Systems276,326$2,432 09/30/2019
     NLY276,326$2,432 09/30/2019
Bell Bank275,999$2,429 09/30/2019
     NLY275,999$2,429 09/30/2019
Stone Ridge Asset Management LLC269,937$2,375 09/30/2019
     NLY269,937$2,375 09/30/2019
Allstate Corp265,308$2,335 09/30/2019
     NLY265,308$2,335 09/30/2019
Westpac Banking Corp263,648$2,320 09/30/2019
     NLY263,648$2,320 09/30/2019
Oppenheimer & Co. Inc.263,069$2,315 09/30/2019
     NLY263,069$2,315 09/30/2019
Lowe Wealth Advisors LLC262,506$2,310 09/30/2019
     NLY262,506$2,310 09/30/2019
Mitsubishi UFJ Kokusai Asset Management Co. Ltd.261,117$2,298 09/30/2019
     NLY261,117$2,298 09/30/2019
Cetera Advisor Networks LLC257,615$2,284 09/30/2019
     NLY257,615$2,284 09/30/2019
Pensionfund DSM Netherlands250,000$2,283 09/30/2019
     NLY250,000$2,283 09/30/2019
Private Advisor Group LLC256,165$2,254 09/30/2019
     NLY256,165$2,254 09/30/2019
SeaBridge Investment Advisors LLC253,780$2,233 09/30/2019
     NLY253,780$2,233 09/30/2019
First Republic Investment Management Inc.253,095$2,227 09/30/2019
     NLY253,095$2,227 09/30/2019
Oregon Public Employees Retirement Fund252,252$2,220 09/30/2019
     NLY252,252$2,220 09/30/2019
Envestnet Asset Management Inc.251,929$2,217 09/30/2019
     NLY251,929$2,217 09/30/2019
Claybrook Capital LLC250,000$2,200 09/30/2019
     NLY250,000$2,200 09/30/2019
Parallax Volatility Advisers L.P.249,046$2,192 09/30/2019
     NLY249,046$2,192 09/30/2019
Nordea Investment Management AB244,895$2,132 09/30/2019
     NLY244,895$2,132 09/30/2019
Evoke Wealth LLC230,845$2,089 09/30/2019
     NLY230,845$2,089 09/30/2019
Toronto Dominion Bank233,985$2,059 09/30/2019
     NLY233,985$2,059 09/30/2019
Garner Asset Management Corp230,740$2,031 09/30/2019
     NLY230,740$2,031 09/30/2019
PNC Financial Services Group Inc.228,110$2,006 09/30/2019
     NLY228,110$2,006 09/30/2019
Hollencrest Capital Management227,199$1,999 09/30/2019
     NLY227,199$1,999 09/30/2019
Triad Investment Management545,356$1,966 09/30/2019
     NLY545,356$1,966 09/30/2019
Rafferty Asset Management LLC219,809$1,934 09/30/2019
     NLY219,809$1,934 09/30/2019
Capital Investment Advisors LLC218,852$1,926 09/30/2019
     NLY218,852$1,926 09/30/2019
BRITISH COLUMBIA INVESTMENT MANAGEMENT Corp213,762$1,881 09/30/2019
     NLY213,762$1,881 09/30/2019
Meridian Investment Counsel Inc.213,650$1,880 09/30/2019
     NLY213,650$1,880 09/30/2019
Assetmark Inc.213,550$1,879 09/30/2019
     NLY213,550$1,879 09/30/2019
Townsquare Capital LLC205,843$1,869 09/30/2019
     NLY205,843$1,869 09/30/2019
Waratah Capital Advisors Ltd.204,959$1,804 09/30/2019
     NLY204,959$1,804 09/30/2019
Creative Planning204,291$1,798 09/30/2019
     NLY204,291$1,798 09/30/2019
DNB Asset Management AS196,328$1,728 09/30/2019
     NLY196,328$1,728 09/30/2019
Skandinaviska Enskilda Banken AB publ 193,793$1,705 09/30/2019
     NLY193,793$1,705 09/30/2019
Amalgamated Bank186,090$1,638 09/30/2019
     NLY186,090$1,638 09/30/2019
BerganKDV Wealth Management LLC183,607$1,616 09/30/2019
     NLY183,607$1,616 09/30/2019
Pekin Hardy Strauss Inc.174,343$1,534 09/30/2019
     NLY174,343$1,534 09/30/2019
NewSquare Capital LLC173,769$1,529 09/30/2019
     NLY173,769$1,529 09/30/2019
Twin Capital Management Inc.172,428$1,517 09/30/2019
     NLY172,428$1,517 09/30/2019
Pensionfund Sabic165,000$1,506 09/30/2019
     NLY165,000$1,506 09/30/2019
Bramshill Investments LLC168,972$1,487 09/30/2019
     NLY168,972$1,487 09/30/2019
First Allied Advisory Services Inc.165,682$1,456 09/30/2019
     NLY165,682$1,456 09/30/2019
Sunbelt Securities Inc.164,557$1,448 09/30/2019
     NLY164,557$1,448 09/30/2019
Western Wealth Management LLC162,449$1,429 09/30/2019
     NLY162,449$1,429 09/30/2019
Public Employees Retirement Association of Colorado157,148$1,383 09/30/2019
     NLY157,148$1,383 09/30/2019
Principal Financial Group Inc.157,086$1,382 09/30/2019
     NLY157,086$1,382 09/30/2019
IFM Investors Pty Ltd156,958$1,381 09/30/2019
     NLY156,958$1,381 09/30/2019
Strategic Wealth Advisors Group LLC158,375$1,361 09/30/2019
     NLY158,375$1,361 09/30/2019
WealthTrust Axiom LLC154,530$1,359 09/30/2019
     NLY154,530$1,359 09/30/2019
Taylor Frigon Capital Management LLC154,374$1,358 09/30/2019
     NLY154,374$1,358 09/30/2019
Orinda Asset Management LLC150,000$1,320 09/30/2019
     NLY150,000$1,320 09/30/2019
Narwhal Capital Management148,939$1,311 09/30/2019
     NLY148,939$1,311 09/30/2019
Wedbush Securities Inc.148,540$1,307 09/30/2019
     NLY148,540$1,307 09/30/2019
Bridgewater Associates LP148,372$1,306 09/30/2019
     NLY148,372$1,306 09/30/2019
Jefferies Group LLC $1,290 09/30/2019
     NLY136,338$1,200 09/30/2019
     Call10,200$90 09/30/2019
Voya Financial Advisors Inc.142,794$1,248 09/30/2019
     NLY142,794$1,248 09/30/2019
DekaBank Deutsche Girozentrale137,776$1,237 09/30/2019
     NLY137,776$1,237 09/30/2019
Panagora Asset Management Inc.139,470$1,227 09/30/2019
     NLY139,470$1,227 09/30/2019
United Capital Financial Advisers LLC138,710$1,221 09/30/2019
     NLY138,710$1,221 09/30/2019
Condor Capital Management133,799$1,177 09/30/2019
     NLY133,799$1,177 09/30/2019
Carnegie Capital Asset Management LLC133,073$1,171 09/30/2019
     NLY133,073$1,171 09/30/2019
Oxbow Advisors LLC $1,162 09/30/2019
     NLY.PRF45,120$1,162 09/30/2019
Comerica Bank130,384$1,154 09/30/2019
     NLY130,384$1,154 09/30/2019
Apriem Advisors128,060$1,127 09/30/2019
     NLY128,060$1,127 09/30/2019
Burney Co.126,248$1,111 09/30/2019
     NLY126,248$1,111 09/30/2019
D. E. Shaw & Co. Inc. $1,103 09/30/2019
     Call125,300$1,103 09/30/2019
US Bancorp DE124,965$1,100 09/30/2019
     NLY124,965$1,100 09/30/2019
Bell Rock Capital LLC $1,091 09/30/2019
     NLY.PRG27,000$675 09/30/2019
     NLY.PRF16,000$416 09/30/2019
KBC Group NV123,233$1,084 09/30/2019
     NLY123,233$1,084 09/30/2019
Sumitomo Mitsui DS Asset Management Company Ltd118,475$1,042 09/30/2019
     NLY118,475$1,042 09/30/2019
Fieldpoint Private Securities LLC117,765$1,036 09/30/2019
     NLY117,765$1,036 09/30/2019
CIBC Asset Management Inc117,496$1,034 09/30/2019
     NLY117,496$1,034 09/30/2019
Boenning & Scattergood Inc.115,871$1,020 09/30/2019
     NLY115,871$1,020 09/30/2019
Achmea Investment Management B.V.113,931$1,003 09/30/2019
     NLY113,931$1,003 09/30/2019
Shamrock Asset Management LLC112,255$988 09/30/2019
     NLY112,255$988 09/30/2019
WESPAC Advisors LLC109,523$964 09/30/2019
     NLY109,523$964 09/30/2019
Mercer Global Advisors Inc. ADV109,539$963 09/30/2019
     NLY109,539$963 09/30/2019
Fiduciary Financial Services of The Southwest Inc. TX108,516$955 09/30/2019
     NLY108,516$955 09/30/2019
Jackson Hole Capital Partners LLC107,016$942 09/30/2019
     NLY107,016$942 09/30/2019
Virtu Financial LLC102,745$904 09/30/2019
     NLY102,745$904 09/30/2019
Cullen Frost Bankers Inc.102,506$902 09/30/2019
     NLY102,506$902 09/30/2019
Garrison Bradford & Associates Inc.102,400$901 09/30/2019
     NLY102,400$901 09/30/2019
American Assets Investment Management LLC100,000$880 09/30/2019
     NLY100,000$880 09/30/2019
D.B. Root & Company LLC99,586$876 09/30/2019
     NLY99,586$876 09/30/2019
Weld Capital Management LLC99,467$875 09/30/2019
     NLY99,467$875 09/30/2019
Rational Advisors LLC98,607$867 09/30/2019
     NLY98,607$867 09/30/2019
Sei Investments Co.100,239$851 09/30/2019
     NLY100,239$851 09/30/2019
Vident Investment Advisory LLC96,518$849 09/30/2019
     NLY96,518$849 09/30/2019
Menta Capital LLC88,600$809 06/30/2019
     NLY88,600$809 06/30/2019
Brookstone Capital Management91,515$805 09/30/2019
     NLY91,515$805 09/30/2019
Legacy Advisors LLC90,550$797 09/30/2019
     NLY90,550$797 09/30/2019
Stratos Wealth Partners LTD.90,449$796 09/30/2019
     NLY90,449$796 09/30/2019
C WorldWide Group Holding A S89,833$791 09/30/2019
     NLY89,833$791 09/30/2019
Profund Advisors LLC84,978$748 09/30/2019
     NLY84,978$748 09/30/2019
United Asset Strategies Inc.83,803$737 09/30/2019
     NLY83,803$737 09/30/2019
Northwest Capital Management Inc81,488$717 09/30/2019
     NLY81,488$717 09/30/2019
Quadrant Private Wealth Management LLC81,314$716 09/30/2019
     NLY81,314$716 09/30/2019
Blair William & Co. IL79,089$696 09/30/2019
     NLY79,089$696 09/30/2019
BLB&B Advisors LLC77,550$682 09/30/2019
     NLY77,550$682 09/30/2019
Acadian Asset Management LLC76,644$674 09/30/2019
     NLY76,644$674 09/30/2019
Cedar Wealth Management LLC75,257$662 09/30/2019
     NLY75,257$662 09/30/2019
HRT Financial LLC71,550$629 09/30/2019
     NLY71,550$629 09/30/2019
OLD National Bancorp IN70,853$623 09/30/2019
     NLY70,853$623 09/30/2019
World Asset Management Inc69,957$616 09/30/2019
     NLY69,957$616 09/30/2019
Nwam LLC70,023$616 09/30/2019
     NLY70,023$616 09/30/2019
Altavista Wealth Management Inc. $614 09/30/2019
     NLY.PRF23,845$614 09/30/2019
Martingale Asset Management L P69,384$611 09/30/2019
     NLY69,384$611 09/30/2019
Wedgewood Partners Inc.69,250$609 09/30/2019
     NLY69,250$609 09/30/2019
Suntrust Banks Inc.68,560$603 09/30/2019
     NLY68,560$603 09/30/2019
American Financial Group Inc.68,260$601 09/30/2019
     NLY68,260$601 09/30/2019
Robeco Institutional Asset Management B.V.68,130$599 09/30/2019
     NLY68,130$599 09/30/2019
Wesbanco Bank Inc.67,700$596 09/30/2019
     NLY67,700$596 09/30/2019
Squar Milner Financial Services LLC64,723$569 09/30/2019
     NLY64,723$569 09/30/2019
IHT Wealth Management LLC62,663$551 09/30/2019
     NLY62,663$551 09/30/2019
Wolverine Trading LLC $549 09/30/2019
     NLY176,720$1,545 09/30/2019
     Put125,100$1,093 09/30/2019
     Call11,100$97 09/30/2019
Wall Street Access Asset Management LLC62,104$547 09/30/2019
     NLY62,104$547 09/30/2019
Level Four Advisory Services LLC61,599$542 09/30/2019
     NLY61,599$542 09/30/2019
Texas Yale Capital Corp.60,823$535 09/30/2019
     NLY60,823$535 09/30/2019
Ingalls & Snyder LLC60,145$529 09/30/2019
     NLY60,145$529 09/30/2019
MML Investors Services LLC59,490$524 09/30/2019
     NLY59,490$524 09/30/2019
Daiwa Securities Group Inc.59,332$522 09/30/2019
     NLY59,332$522 09/30/2019
Berkeley Capital Partners LLC59,348$522 09/30/2019
     NLY59,348$522 09/30/2019
Sigma Planning Corp59,006$519 09/30/2019
     NLY59,006$519 09/30/2019
Ossiam59,022$519 09/30/2019
     NLY59,022$519 09/30/2019
Essex Financial Services Inc.58,550$515 09/30/2019
     NLY58,550$515 09/30/2019
Alphasimplex Group LLC57,689$508 09/30/2019
     NLY57,689$508 09/30/2019
Emerald Investment Partners LLC57,243$504 09/30/2019
     NLY57,243$504 09/30/2019
Lincoln National Corp56,259$495 09/30/2019
     NLY56,259$495 09/30/2019
Clear Street Markets LLC56,100$494 09/30/2019
     NLY56,100$494 09/30/2019
AGF Investments LLC55,985$493 09/30/2019
     NLY55,985$493 09/30/2019
Prudential PLC55,670$492 09/30/2019
     NLY55,670$492 09/30/2019
Tiverton Asset Management LLC55,636$490 09/30/2019
     NLY55,636$490 09/30/2019
Wright Investors Service Inc.54,740$482 09/30/2019
     NLY54,740$482 09/30/2019
Moloney Securities Asset Management LLC54,153$477 09/30/2019
     NLY54,153$477 09/30/2019
Dumont & Blake Investment Advisors LLC53,108$467 09/30/2019
     NLY53,108$467 09/30/2019
Camelot Portfolios LLC52,785$465 09/30/2019
     NLY52,785$465 09/30/2019
Nepsis Inc.52,688$456 09/30/2019
     NLY52,688$456 09/30/2019
Belpointe Asset Management LLC49,598$453 06/30/2019
     NLY49,598$453 06/30/2019
Frontier Wealth Management LLC50,326$443 09/30/2019
     NLY50,326$443 09/30/2019
Albert D Mason Inc.50,145$441 09/30/2019
     NLY50,145$441 09/30/2019
West Chester Capital Advisors Inc.46,908$413 09/30/2019
     NLY46,908$413 09/30/2019
Lakeview Capital Partners LLC46,950$413 09/30/2019
     NLY46,950$413 09/30/2019
Weather Gauge Advisory LLC46,181$406 09/30/2019
     NLY46,181$406 09/30/2019
National Asset Management Inc.45,678$402 09/30/2019
     NLY45,678$402 09/30/2019
Catalyst Capital Advisors LLC45,010$396 09/30/2019
     NLY45,010$396 09/30/2019
AlphaCrest Capital Management LLC44,653$393 09/30/2019
     NLY44,653$393 09/30/2019
Mid Atlantic Financial Management Inc. ADV $386 09/30/2019
     NLY43,931$387 09/30/2019
     Put10,000$1 09/30/2019
BOKF NA43,535$384 09/30/2019
     NLY43,535$384 09/30/2019
Sheaff Brock Investment Advisors LLC43,486$383 09/30/2019
     NLY43,486$383 09/30/2019
M&T Bank Corp42,478$373 09/30/2019
     NLY42,478$373 09/30/2019
Dean Capital Investments Management LLC42,197$371 09/30/2019
     NLY42,197$371 09/30/2019
Landscape Capital Management L.L.C.41,584$366 09/30/2019
     NLY41,584$366 09/30/2019
Advisory Services Network LLC40,080$366 09/30/2019
     NLY40,080$366 09/30/2019
TCG Advisors LP40,269$354 09/30/2019
     NLY40,269$354 09/30/2019
Busey Wealth Management39,967$352 09/30/2019
     NLY39,967$352 09/30/2019
Santori & Peters Inc.39,810$350 09/30/2019
     NLY39,810$350 09/30/2019
GYL Financial Synergies LLC39,670$349 09/30/2019
     NLY39,670$349 09/30/2019
Nomura Holdings Inc.40,000$343 09/30/2019
     NLY40,000$343 09/30/2019
Legacy Capital Partners Inc.38,900$342 09/30/2019
     NLY38,900$342 09/30/2019
Barrett Asset Management LLC38,757$341 09/30/2019
     NLY38,757$341 09/30/2019
Pension Partners LLC38,501$339 09/30/2019
     NLY38,501$339 09/30/2019
NEXT Financial Group Inc38,359$338 09/30/2019
     NLY38,359$338 09/30/2019
AE Wealth Management LLC38,286$337 09/30/2019
     NLY38,286$337 09/30/2019
Courage Miller Partners LLC38,074$335 09/30/2019
     NLY38,074$335 09/30/2019
Sowell Financial Services LLC38,093$335 09/30/2019
     NLY38,093$335 09/30/2019
Coastal Investment Advisors Inc.37,658$333 09/30/2019
     NLY37,658$333 09/30/2019
The Manufacturers Life Insurance Company 37,702$330 09/30/2019
     NLY37,702$330 09/30/2019
Great Valley Advisor Group Inc.37,478$330 09/30/2019
     NLY37,478$330 09/30/2019
Stephens Inc. AR37,352$329 09/30/2019
     NLY37,352$329 09/30/2019
AXA37,290$328 09/30/2019
     NLY37,290$328 09/30/2019
Keystone Financial Group36,352$320 09/30/2019
     NLY36,352$320 09/30/2019
Barnett & Company Inc.36,290$319 09/30/2019
     NLY36,290$319 09/30/2019
HighPoint Advisor Group LLC35,040$319 09/30/2019
     NLY35,040$319 09/30/2019
White Lighthouse Investment Management Inc.36,055$317 09/30/2019
     NLY36,055$317 09/30/2019
Cedar Brook Financial Partners LLC35,925$316 09/30/2019
     NLY35,925$316 09/30/2019
Schafer Cullen Capital Management Inc35,645$314 09/30/2019
     NLY35,645$314 09/30/2019
Clearbridge Investments LLC35,650$314 09/30/2019
     NLY35,650$314 09/30/2019
Metropolitan Life Insurance Co NY35,190$310 09/30/2019
     NLY35,190$310 09/30/2019
Tiemann Investment Advisors LLC34,066$300 09/30/2019
     NLY34,066$300 09/30/2019
Walleye Trading LLC $298 09/30/2019
     NLY47,082$414 09/30/2019
     Put13,900$122 09/30/2019
     Call700$6 09/30/2019
Annex Advisory Services LLC33,878$298 09/30/2019
     NLY33,878$298 09/30/2019
IBM Retirement Fund33,649$296 09/30/2019
     NLY33,649$296 09/30/2019
Cresset Asset Management LLC32,644$295 09/30/2019
     NLY32,644$295 09/30/2019
Brave Asset Management Inc.33,438$294 09/30/2019
     NLY33,438$294 09/30/2019
Seelaus Asset Management LLC32,730$288 09/30/2019
     NLY32,730$288 09/30/2019
Claraphi Advisory Network LLC32,590$287 09/30/2019
     NLY32,590$287 09/30/2019
Wealthstreet Investment Advisors LLC32,000$286 09/30/2019
     NLY32,000$286 09/30/2019
Fiduciary Group LLC32,000$282 09/30/2019
     NLY32,000$282 09/30/2019
Gryphon Financial Partners LLC31,900$281 09/30/2019
     NLY31,900$281 09/30/2019
Northern Oak Wealth Management Inc.31,600$278 09/30/2019
     NLY31,600$278 09/30/2019
Kovack Advisors Inc.31,183$274 09/30/2019
     NLY31,183$274 09/30/2019
First Foundation Advisors31,026$273 09/30/2019
     NLY31,026$273 09/30/2019
Omnia Family Wealth LLC30,097$272 09/30/2019
     NLY30,097$272 09/30/2019
Guidance Point Advisors LLC30,815$271 09/30/2019
     NLY30,815$271 09/30/2019
Mariner LLC30,717$270 09/30/2019
     NLY30,717$270 09/30/2019
Sippican Capital Advisors30,630$270 09/30/2019
     NLY30,630$270 09/30/2019
Stockman Wealth Management Inc.30,527$269 09/30/2019
     NLY30,527$269 09/30/2019
Patton Albertson Miller Group LLC30,100$265 09/30/2019
     NLY30,100$265 09/30/2019
Segall Bryant & Hamill LLC29,925$263 09/30/2019
     NLY29,925$263 09/30/2019
Synovus Financial Corp29,771$261 09/30/2019
     NLY29,771$261 09/30/2019
Commerzbank Aktiengesellschaft FI29,705$261 09/30/2019
     NLY29,705$261 09/30/2019
Dana Investment Advisors Inc.29,684$261 09/30/2019
     NLY29,684$261 09/30/2019
LS Investment Advisors LLC29,451$259 09/30/2019
     NLY29,451$259 09/30/2019
Avantax Advisory Services Inc.29,250$258 09/30/2019
     NLY29,250$258 09/30/2019
CIBC World Markets Inc.29,284$258 09/30/2019
     NLY29,284$258 09/30/2019
Oakbrook Investments LLC29,200$257 09/30/2019
     NLY29,200$257 09/30/2019
AQR Capital Management LLC28,891$254 09/30/2019
     NLY28,891$254 09/30/2019
Premier Asset Management LLC28,500$251 09/30/2019
     NLY28,500$251 09/30/2019
Harvey Capital Management Inc. $250 09/30/2019
     NLY.PRG10,000$250 09/30/2019
Colony Group LLC28,250$249 09/30/2019
     NLY28,250$249 09/30/2019
American Financial Advisors LLC28,099$247 09/30/2019
     NLY28,099$247 09/30/2019
Laurel Wealth Advisors Inc.27,625$243 09/30/2019
     NLY27,625$243 09/30/2019
Altshuler Shaham Ltd27,689$242 09/30/2019
     NLY27,689$242 09/30/2019
Commerce Bank27,401$241 09/30/2019
     NLY27,401$241 09/30/2019
Checchi Capital Advisers LLC26,744$235 09/30/2019
     NLY26,744$235 09/30/2019
Professional Planning25,918$228 09/30/2019
     NLY25,918$228 09/30/2019
Capital Fund Management S.A. $226 09/30/2019
     Call25,700$226 09/30/2019
Point72 Asset Management L.P.25,548$225 09/30/2019
     NLY25,548$225 09/30/2019
Independent Advisor Alliance25,172$222 09/30/2019
     NLY25,172$222 09/30/2019
Barr E S & Co.25,000$220 09/30/2019
     NLY25,000$220 09/30/2019
MANA Advisors LLC24,500$216 09/30/2019
     NLY24,500$216 09/30/2019
Paragon Capital Management Ltd24,468$215 09/30/2019
     NLY24,468$215 09/30/2019
Biltmore Capital Advisors LLC24,000$211 09/30/2019
     NLY24,000$211 09/30/2019
Good Life Advisors LLC $210 09/30/2019
     NLY23,808$210 09/30/2019
     Call1,000$0 09/30/2019
American International Group Inc.23,588$208 09/30/2019
     NLY23,588$208 09/30/2019
Chemical Bank22,800$208 06/30/2019
     NLY22,800$208 06/30/2019
Arete Wealth Advisors LLC23,511$207 09/30/2019
     NLY23,511$207 09/30/2019
Regent Investment Management LLC23,171$204 09/30/2019
     NLY23,171$204 09/30/2019
Exane Derivatives22,985$202 09/30/2019
     NLY22,985$202 09/30/2019
Thrivent Financial for Lutherans22,908$201 09/30/2019
     NLY22,908$201 09/30/2019
Alexandria Capital LLC22,790$201 09/30/2019
     NLY22,790$201 09/30/2019
Koshinski Asset Management Inc.22,895$201 09/30/2019
     NLY22,895$201 09/30/2019
Aviance Capital Partners LLC22,767$200 09/30/2019
     NLY22,767$200 09/30/2019
TCF National Bank22,600$199 09/30/2019
     NLY22,600$199 09/30/2019
Optimum Investment Advisors $197 09/30/2019
     NLY22,345$197 09/30/2019
     Call1,000$0 09/30/2019
BlueCrest Capital Management Ltd $192 09/30/2019
     Call21,800$192 09/30/2019
Canada Pension Plan Investment Board21,669$191 09/30/2019
     NLY21,669$191 09/30/2019
Regions Financial Corp20,977$185 09/30/2019
     NLY20,977$185 09/30/2019
Flagship Harbor Advisors LLC20,626$181 09/30/2019
     NLY20,626$181 09/30/2019
Successful Portfolios LLC19,648$173 09/30/2019
     NLY19,648$173 09/30/2019
SeaCrest Wealth Management LLC19,700$173 09/30/2019
     NLY19,700$173 09/30/2019
Lake Street Financial LLC19,650$173 09/30/2019
     NLY19,650$173 09/30/2019
Concorde Asset Management LLC19,584$172 09/30/2019
     NLY19,584$172 09/30/2019
Cutler Group LP $170 09/30/2019
     NLY21,900$192 09/30/2019
     Put30,200$22 09/30/2019
     Call14,200$0 09/30/2019
Mutual Advisors LLC19,116$168 09/30/2019
     NLY19,116$168 09/30/2019
Planning Solutions Group LLC18,306$167 06/30/2019
     NLY18,306$167 06/30/2019
Smith Moore & CO.18,889$166 09/30/2019
     NLY18,889$166 09/30/2019
Flinton Capital Management LLC18,904$166 09/30/2019
     NLY18,904$166 09/30/2019
Millennium Management LLC18,758$165 09/30/2019
     NLY18,758$165 09/30/2019
Centaurus Financial Inc.18,270$161 09/30/2019
     NLY18,270$161 09/30/2019
Hudson Valley Investment Advisors Inc. ADV18,200$160 09/30/2019
     NLY18,200$160 09/30/2019
Williams Jones Wealth Management LLC.18,000$158 09/30/2019
     NLY18,000$158 09/30/2019
Baillie Gifford & Co.17,762$156 09/30/2019
     NLY17,762$156 09/30/2019
Scotia Capital Inc.17,575$155 09/30/2019
     NLY17,575$155 09/30/2019
Lombard Odier Asset Management Europe Ltd17,342$153 09/30/2019
     NLY17,342$153 09/30/2019
Telos Capital Management Inc.17,335$153 09/30/2019
     NLY17,335$153 09/30/2019
Highlander Capital Management LLC $151 09/30/2019
     NLY.PRD4,100$105 09/30/2019
     NLY5,250$46 09/30/2019
Dynamic Advisor Solutions LLC17,069$150 09/30/2019
     NLY17,069$150 09/30/2019
Pinnacle Associates Ltd.16,743$147 09/30/2019
     NLY16,743$147 09/30/2019
Integrated Wealth Concepts LLC16,694$147 09/30/2019
     NLY16,694$147 09/30/2019
Wealthsource Partners LLC16,482$145 09/30/2019
     NLY16,482$145 09/30/2019
Lido Advisors LLC15,914$144 09/30/2019
     NLY15,914$144 09/30/2019
Wetherby Asset Management Inc.16,103$142 09/30/2019
     NLY16,103$142 09/30/2019
Mraz Amerine & Associates Inc.16,000$141 09/30/2019
     NLY16,000$141 09/30/2019
Eastern Bank15,900$140 09/30/2019
     NLY15,900$140 09/30/2019
Cetera Investment Advisers15,822$140 09/30/2019
     NLY15,822$140 09/30/2019
JT Stratford LLC15,821$139 09/30/2019
     NLY15,821$139 09/30/2019
Eqis Capital Management Inc.15,711$138 09/30/2019
     NLY15,711$138 09/30/2019
CENTRAL TRUST Co15,600$137 09/30/2019
     NLY15,600$137 09/30/2019
Livforsakringsbolaget Skandia Omsesidigt15,585$137 09/30/2019
     NLY15,585$137 09/30/2019
Tyers Asset Management LLC15,568$137 09/30/2019
     NLY15,568$137 09/30/2019
Cigna Investments Inc. New15,171$136 09/30/2019
     NLY15,171$136 09/30/2019
Vanguard Capital Wealth Advisors15,500$136 09/30/2019
     NLY15,500$136 09/30/2019
Brown Advisory Inc.15,254$135 09/30/2019
     NLY15,254$135 09/30/2019
Fort Pitt Capital Group LLC15,250$134 09/30/2019
     NLY15,250$134 09/30/2019
BB&T Corp15,199$133 09/30/2019
     NLY15,199$133 09/30/2019
First Heartland Consultants Inc.14,886$131 09/30/2019
     NLY14,886$131 09/30/2019
Pzena Investment Management LLC14,614$129 09/30/2019
     NLY14,614$129 09/30/2019
Carroll Financial Associates Inc.14,731$129 09/30/2019
     NLY14,731$129 09/30/2019
Raymond James Trust N.A.14,589$128 09/30/2019
     NLY14,589$128 09/30/2019
UMA Financial Services Inc.13,816$128 09/30/2019
     NLY13,816$128 09/30/2019
Regal Investment Advisors LLC14,288$126 09/30/2019
     NLY14,288$126 09/30/2019
Cutter & CO Brokerage Inc.14,181$125 09/30/2019
     NLY14,181$125 09/30/2019
Atlantic Union Bankshares Corp13,976$123 09/30/2019
     NLY13,976$123 09/30/2019
D L Carlson Investment Group Inc.14,000$123 09/30/2019
     NLY14,000$123 09/30/2019
Franklin Resources Inc.13,875$122 09/30/2019
     NLY13,875$122 09/30/2019
Trustco Bank Corp N Y13,850$122 09/30/2019
     NLY13,850$122 09/30/2019
Cooper Financial Group13,810$122 09/30/2019
     NLY13,810$122 09/30/2019
King Luther Capital Management Corp13,800$121 09/30/2019
     NLY13,800$121 09/30/2019
Timber Hill LLC13,700$121 09/30/2019
     NLY13,700$121 09/30/2019
Jane Street Group LLC $121 09/30/2019
     NLY62,766$553 09/30/2019
     Put49,100$432 09/30/2019
High Falls Advisors Inc13,527$119 09/30/2019
     NLY13,527$119 09/30/2019
Dimensional Fund Advisors LP13,451$118 09/30/2019
     NLY13,451$118 09/30/2019
American Financial Network Advisory Services LLC13,315$117 09/30/2019
     NLY13,315$117 09/30/2019
Sicart Associates LLC12,863$116 09/30/2019
     NLY12,863$116 09/30/2019
We Are One Seven LLC13,166$116 09/30/2019
     NLY13,166$116 09/30/2019
Riverstone Advisors LLC13,120$115 09/30/2019
     NLY13,120$115 09/30/2019
Lake Point Wealth Management12,500$114 06/30/2019
     NLY12,500$114 06/30/2019
Equity Investment Corp12,795$113 09/30/2019
     NLY12,795$113 09/30/2019
Sterling Investment Advisors Ltd.12,659$111 09/30/2019
     NLY12,659$111 09/30/2019
Wellington Shields Capital Management LLC12,524$110 09/30/2019
     NLY12,524$110 09/30/2019
RB Capital Management LLC12,657$109 09/30/2019
     NLY12,657$109 09/30/2019
Krilogy Financial LLC12,328$108 09/30/2019
     NLY12,328$108 09/30/2019
Neuburgh Advisers LLC12,232$108 09/30/2019
     NLY12,232$108 09/30/2019
Huntington National Bank12,161$107 09/30/2019
     NLY12,161$107 09/30/2019
Resources Investment Advisors LLC.12,152$107 09/30/2019
     NLY12,152$107 09/30/2019
Truepoint Inc.12,000$106 09/30/2019
     NLY12,000$106 09/30/2019
Pensionmark Financial Group LLC11,746$106 09/30/2019
     NLY11,746$106 09/30/2019
Cypress Wealth Services LLC11,879$105 09/30/2019
     NLY11,879$105 09/30/2019
Financial Architects Inc11,800$104 09/30/2019
     NLY11,800$104 09/30/2019
Dixon Hubard Feinour & Brown Inc. VA11,650$103 09/30/2019
     NLY11,650$103 09/30/2019
Mycio Wealth Partners LLC11,505$101 09/30/2019
     NLY11,505$101 09/30/2019
Diversified Trust Co11,500$101 09/30/2019
     NLY11,500$101 09/30/2019
Huber Financial Advisors LLC11,278$99 09/30/2019
     NLY11,278$99 09/30/2019
Fort Sheridan Advisors LLC11,000$97 09/30/2019
     NLY11,000$97 09/30/2019
Steward Partners Investment Advisory LLC11,032$97 09/30/2019
     NLY11,032$97 09/30/2019
O Dell Group LLC10,870$96 09/30/2019
     NLY10,870$96 09/30/2019
Joseph P. Lucia & Associates LLC10,934$96 09/30/2019
     NLY10,934$96 09/30/2019
Mackay Shields LLC10,500$92 09/30/2019
     NLY10,500$92 09/30/2019
Aptus Capital Advisors LLC10,500$92 09/30/2019
     NLY10,500$92 09/30/2019
Ahrens Investment Partners LLC10,500$92 09/30/2019
     NLY10,500$92 09/30/2019
Keeley Teton Advisors LLC10,458$92 09/30/2019
     NLY10,458$92 09/30/2019
Van Cleef Asset Management Inc10,300$91 09/30/2019
     NLY10,300$91 09/30/2019
Requisite Capital Management LLC10,000$91 09/30/2019
     NLY10,000$91 09/30/2019
Valmark Advisers Inc.10,245$90 09/30/2019
     NLY10,245$90 09/30/2019
Moors & Cabot Inc.10,321$90 09/30/2019
     NLY10,321$90 09/30/2019
Wealthstar Advisors LLC10,000$89 09/30/2019
     NLY10,000$89 09/30/2019
FormulaFolio Investments LLC10,136$89 09/30/2019
     NLY10,136$89 09/30/2019
Chase Investment Counsel Corp10,000$88 09/30/2019
     NLY10,000$88 09/30/2019
Gluskin Sheff & Assoc Inc.10,000$88 09/30/2019
     NLY10,000$88 09/30/2019
Hollow Brook Wealth Management LLC10,000$88 09/30/2019
     NLY10,000$88 09/30/2019
Sequoia Financial Advisors LLC10,056$88 09/30/2019
     NLY10,056$88 09/30/2019
Genovese Burford & Brothers Wealth & Retirement Plan Management LLC10,000$88 09/30/2019
     NLY10,000$88 09/30/2019
Trustcore Financial Services LLC9,238$81 09/30/2019
     NLY9,238$81 09/30/2019
Patriot Financial Group Insurance Agency LLC8,917$78 09/30/2019
     NLY8,917$78 09/30/2019
Meadow Creek Investment Management LLC8,896$78 09/30/2019
     NLY8,896$78 09/30/2019
TCI Wealth Advisors Inc.8,761$77 09/30/2019
     NLY8,761$77 09/30/2019
North Star Investment Management Corp.8,553$75 09/30/2019
     NLY8,553$75 09/30/2019
Private Capital Group LLC $75 09/30/2019
     NLY8,222$74 09/30/2019
     NLY.PRD50$1 09/30/2019
AllSquare Wealth Management LLC8,390$74 09/30/2019
     NLY8,390$74 09/30/2019
Capital Investment Advisory Services LLC8,400$74 09/30/2019
     NLY8,400$74 09/30/2019
City Holding Co.8,275$73 09/30/2019
     NLY8,275$73 09/30/2019
Whittier Trust Co. of Nevada Inc.8,259$73 09/30/2019
     NLY8,259$73 09/30/2019
Advantage Investment Management LLC8,200$72 09/30/2019
     NLY8,200$72 09/30/2019
Glenmede Trust Co. NA7,800$68 09/30/2019
     NLY7,800$68 09/30/2019
M&R Capital Management Inc.7,500$66 09/30/2019
     NLY7,500$66 09/30/2019
James Investment Research Inc.6,550$58 09/30/2019
     NLY6,550$58 09/30/2019
Crewe Advisors LLC6,451$57 09/30/2019
     NLY6,451$57 09/30/2019
Quad Cities Investment Group LLC6,256$56 09/30/2019
     NLY6,256$56 09/30/2019
Liberty Wealth Management LLC6,344$56 09/30/2019
     NLY6,344$56 09/30/2019
Ameritas Investment Corp6,281$55 09/30/2019
     NLY6,281$55 09/30/2019
Signaturefd LLC6,008$53 09/30/2019
     NLY6,008$53 09/30/2019
Penserra Capital Management LLC5,675$49 09/30/2019
     NLY5,675$49 09/30/2019
Truvestments Capital LLC5,600$49 09/30/2019
     NLY5,600$49 09/30/2019
Lenox Wealth Advisors LLC $46 09/30/2019
     NLY.PRI1,765$46 09/30/2019
Jacobi Capital Management LLC5,227$46 09/30/2019
     NLY5,227$46 09/30/2019
Certified Advisory Corp5,114$45 09/30/2019
     NLY5,114$45 09/30/2019
Westside Investment Management Inc.5,000$45 06/30/2019
     NLY5,000$45 06/30/2019
Hilton Capital Management LLC5,000$44 09/30/2019
     NLY5,000$44 09/30/2019
Whitnell & Co.4,975$44 09/30/2019
     NLY4,975$44 09/30/2019
Global Retirement Partners LLC4,983$44 09/30/2019
     NLY4,983$44 09/30/2019
Next Capital Management LLC5,055$44 09/30/2019
     NLY5,055$44 09/30/2019
OLD Second National Bank of Aurora4,894$43 09/30/2019
     NLY4,894$43 09/30/2019
Webster Bank N. A.4,600$41 09/30/2019
     NLY4,600$41 09/30/2019
Johnson Financial Group Inc.4,525$40 09/30/2019
     NLY4,525$40 09/30/2019
Whittier Trust Co.4,398$39 09/30/2019
     NLY4,398$39 09/30/2019
AdvisorNet Financial Inc4,468$39 09/30/2019
     NLY4,468$39 09/30/2019
Rockefeller Capital Management L.P.4,438$39 09/30/2019
     NLY4,438$39 09/30/2019
CSat Investment Advisory L.P.4,252$37 09/30/2019
     NLY4,252$37 09/30/2019
Golden State Wealth Management LLC4,108$36 09/30/2019
     NLY4,108$36 09/30/2019
Horrell Capital Management Inc.4,000$35 09/30/2019
     NLY4,000$35 09/30/2019
NuWave Investment Management LLC4,048$35 09/30/2019
     NLY4,048$35 09/30/2019
Global Trust Asset Management LLC4,000$35 09/30/2019
     NLY4,000$35 09/30/2019
Two Sigma Securities LLC $34 09/30/2019
     Put30,200$266 09/30/2019
     NLY20,476$180 09/30/2019
     Call13,600$120 09/30/2019
Parallel Advisors LLC3,863$34 09/30/2019
     NLY3,863$34 09/30/2019
Enterprise Financial Services Corp3,779$33 09/30/2019
     NLY3,779$33 09/30/2019
Point72 Hong Kong Ltd3,691$32 09/30/2019
     NLY3,691$32 09/30/2019
Hanson & Doremus Investment Management3,520$31 09/30/2019
     NLY3,520$31 09/30/2019
Rocky Mountain Advisers LLC3,311$29 09/30/2019
     NLY3,311$29 09/30/2019
FinTrust Capital Advisors LLC3,121$27 09/30/2019
     NLY3,121$27 09/30/2019
Asset Dedication LLC2,970$26 09/30/2019
     NLY2,970$26 09/30/2019
HM Payson & Co.2,800$25 09/30/2019
     NLY2,800$25 09/30/2019
JNBA Financial Advisors2,841$25 09/30/2019
     NLY2,841$25 09/30/2019
Valeo Financial Advisors LLC2,850$25 09/30/2019
     NLY2,850$25 09/30/2019
Valley National Advisers Inc.2,700$24 09/30/2019
     NLY2,700$24 09/30/2019
Quantum Capital Management2,578$23 09/30/2019
     NLY2,578$23 09/30/2019
Venturi Wealth Management LLC2,619$23 09/30/2019
     NLY2,619$23 09/30/2019
First Manhattan Co.2,500$22 09/30/2019
     NLY2,500$22 09/30/2019
Salem Investment Counselors Inc.2,500$22 09/30/2019
     NLY2,500$22 09/30/2019
Founders Capital Management2,500$22 09/30/2019
     NLY2,500$22 09/30/2019
Plante Moran Financial Advisors LLC2,337$21 09/30/2019
     NLY2,337$21 09/30/2019
Global Wealth Management Investment Advisory Inc.2,362$21 09/30/2019
     NLY2,362$21 09/30/2019
Willingdon Wealth Management2,226$20 09/30/2019
     NLY2,226$20 09/30/2019
Mark Sheptoff Financial Planning LLC2,237$20 09/30/2019
     NLY2,237$20 09/30/2019
Wealthcare Advisory Partners LLC2,268$20 09/30/2019
     NLY2,268$20 09/30/2019
Proffitt & Goodson Inc.2,111$19 09/30/2019
     NLY2,111$19 09/30/2019
Hexavest Inc.2,161$19 09/30/2019
     NLY2,161$19 09/30/2019
Winch Advisory Services LLC2,130$19 09/30/2019
     NLY2,130$19 09/30/2019
American Research & Management Co.2,000$18 09/30/2019
     NLY2,000$18 09/30/2019
CWM LLC2,013$18 09/30/2019
     NLY2,013$18 09/30/2019
LifePlan Financial Group Inc2,000$18 09/30/2019
     NLY2,000$18 09/30/2019
Sound Income Strategies LLC2,102$18 09/30/2019
     NLY2,102$18 09/30/2019
Smithfield Trust Co.1,900$17 09/30/2019
     NLY1,900$17 09/30/2019
Bedel Financial Consulting Inc.1,904$17 09/30/2019
     NLY1,904$17 09/30/2019
Rehmann Capital Advisory Group1,899$17 06/30/2019
     NLY1,899$17 06/30/2019
First Interstate Bank1,805$16 09/30/2019
     NLY1,805$16 09/30/2019
Monetary Management Group Inc.1,750$15 09/30/2019
     NLY1,750$15 09/30/2019
Kings Point Capital Management1,750$15 09/30/2019
     NLY1,750$15 09/30/2019
Resources Management Corp CT ADV1,550$14 09/30/2019
     NLY1,550$14 09/30/2019
Allworth Financial LP1,513$13 09/30/2019
     NLY1,513$13 09/30/2019
Peoples Financial Services CORP.1,400$12 09/30/2019
     NLY1,400$12 09/30/2019
Markston International LLC1,400$12 09/30/2019
     NLY1,400$12 09/30/2019
Tradewinds Capital Management LLC1,384$12 09/30/2019
     NLY1,384$12 09/30/2019
Fifth Third Bancorp1,284$11 09/30/2019
     NLY1,284$11 09/30/2019
Taylor Hoffman Wealth Management1,204$11 09/30/2019
     NLY1,204$11 09/30/2019
Tower Research Capital LLC TRC 1,085$10 09/30/2019
     NLY1,085$10 09/30/2019
Quadrant Capital Group LLC1,558$10 09/30/2019
     NLY1,558$10 09/30/2019
BDO Wealth Advisors LLC1,185$10 09/30/2019
     NLY1,185$10 09/30/2019
Versant Capital Management Inc1,150$10 09/30/2019
     NLY1,150$10 09/30/2019
Meeder Asset Management Inc.966$9 09/30/2019
     NLY966$9 09/30/2019
Reilly Financial Advisors LLC1,000$9 09/30/2019
     NLY1,000$9 09/30/2019
Benjamin F. Edwards & Company Inc.1,072$9 09/30/2019
     NLY1,072$9 09/30/2019
Oakworth Capital Inc.1,000$9 09/30/2019
     NLY1,000$9 09/30/2019
Berman Capital Advisors LLC1,106$9 09/30/2019
     NLY1,106$9 09/30/2019
Larson Financial Group LLC1,000$9 09/30/2019
     NLY1,000$9 09/30/2019
Selective Wealth Management Inc.1,000$9 09/30/2019
     NLY1,000$9 09/30/2019
Semmax Financial Advisors Inc.1,054$9 09/30/2019
     NLY1,054$9 09/30/2019
Cubist Systematic Strategies LLC894$8 09/30/2019
     NLY894$8 09/30/2019
Strategic Wealth Partners Ltd.900$7 09/30/2019
     NLY900$7 09/30/2019
Creative Financial Designs Inc. ADV666$6 09/30/2019
     NLY666$6 09/30/2019
Earnest Partners LLC664$6 09/30/2019
     NLY664$6 09/30/2019
SRS Capital Advisors Inc.643$6 09/30/2019
     NLY643$6 09/30/2019
FIL Ltd597$5 09/30/2019
     NLY597$5 09/30/2019
Delta Asset Management LLC TN516$5 09/30/2019
     NLY516$5 09/30/2019
Weil Company Inc.560$5 09/30/2019
     NLY560$5 09/30/2019
Baystate Wealth Management LLC517$5 09/30/2019
     NLY517$5 09/30/2019
Global Financial Private Capital Inc517$5 09/30/2019
     NLY517$5 09/30/2019
Investors Research Corp601$5 09/30/2019
     NLY601$5 09/30/2019
Vectors Research Management LLC558$5 09/30/2019
     NLY558$5 09/30/2019
Ameritas Investment Partners Inc.500$4 09/30/2019
     NLY500$4 09/30/2019
Pin Oak Investment Advisors Inc.494$4 09/30/2019
     NLY494$4 09/30/2019
Trust Co. of Vermont500$4 09/30/2019
     NLY500$4 09/30/2019
Benjamin Edwards Inc.500$4 09/30/2019
     NLY500$4 09/30/2019
Gradient Investments LLC425$4 09/30/2019
     NLY425$4 09/30/2019
Focused Wealth Management Inc420$4 09/30/2019
     NLY420$4 09/30/2019
Stonebridge Capital Advisors LLC500$4 09/30/2019
     NLY500$4 09/30/2019
Pacific Center for Financial Services456$4 09/30/2019
     NLY456$4 09/30/2019
Elmwood Wealth Management Inc.500$4 09/30/2019
     NLY500$4 09/30/2019
Lindbrook Capital LLC412$4 09/30/2019
     NLY412$4 09/30/2019
Aspire Private Capital LLC411$4 09/30/2019
     NLY411$4 09/30/2019
Price Wealth LLC303$3 09/30/2019
     NLY303$3 09/30/2019
Cordasco Financial Network345$3 09/30/2019
     NLY345$3 09/30/2019
Glassman Wealth Services362$3 09/30/2019
     NLY362$3 09/30/2019
D Orazio & Associates Inc.343$3 09/30/2019
     NLY343$3 09/30/2019
Anderson Fisher LLC358$3 09/30/2019
     NLY358$3 09/30/2019
Quest Capital Management Inc. ADV205$2 09/30/2019
     NLY205$2 09/30/2019
Massmutual Trust Co. FSB ADV200$2 09/30/2019
     NLY200$2 09/30/2019
Lenox Wealth Management Inc.300$2 09/30/2019
     NLY300$2 09/30/2019
Candriam Luxembourg S.C.A.197,820$2 09/30/2019
     NLY197,820$2 09/30/2019
Ellis Investment Partners LLC255$2 09/30/2019
     NLY255$2 09/30/2019
Usca Ria LLC122$1 09/30/2019
     NLY122$1 09/30/2019
Ellevest Inc.86$1 09/30/2019
     NLY86$1 09/30/2019
KCS Wealth Advisory90$1 09/30/2019
     NLY90$1 09/30/2019
Pearl River Capital LLC152$1 09/30/2019
     NLY152$1 09/30/2019
Front Row Advisors LLC86$1 09/30/2019
     NLY86$1 09/30/2019
Coastal Capital Group Inc.125$1 09/30/2019
     NLY125$1 09/30/2019
Brown Brothers Harriman & Co.20$0 09/30/2019
     NLY20$0 09/30/2019
Proequities Inc. $0 09/30/2019
     NLY0$0 09/30/2019
     Put0$0 09/30/2019
     Call0$0 09/30/2019
CLS Investments LLC1$0 09/30/2019
     NLY1$0 09/30/2019
Accurate Investment Solutions Inc.0$0 09/30/2019
     NLY0$0 09/30/2019
Financial Gravity Wealth Inc.16$0 09/30/2019
     NLY16$0 09/30/2019
HAP Trading LLC $-52 09/30/2019
     Put58,100$58 09/30/2019
     Call21,500$6 09/30/2019
Simplex Trading LLC $-84 09/30/2019
     Put1,077$947 09/30/2019
     NLY64,765$569 09/30/2019
     Call335$294 09/30/2019
Citadel Advisors LLC $-552 09/30/2019
     Put686,800$6,044 09/30/2019
     NLY469,998$4,136 09/30/2019
     Call154,100$1,356 09/30/2019
PEAK6 Investments LLC $-635 09/30/2019
     Put110,400$972 09/30/2019
     NLY38,255$337 09/30/2019
Deer Park Road Corp1,500,000$-13,200 09/30/2019
     Put1,500,000$13,200 09/30/2019

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

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