GREENWICH INVESTMENT MANAGEMENT, INC. Information

200 FIRST STAMFORD PLACE, STAMFORD, Connecticut, 06902, (203) 625-5316

Report Date: 03/31/2014

Position Statistics

Total Positions 40
New Positions 7
Increased Positions 23
Decreased Positions 15
Positions with Activity 38
Sold Out Positions 4
Total Mkt Value (in $ millions) 151

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 1.29%
Capital Goods
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical
Energy 4.93%
Financial 67.51%
Healthcare 0.3%
Services 21.42%
Technology 0%
Transportation
Utilities 0.74%

40 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
OAKTREE CAP GROUP LLC UNIT CL A 24,486 280 1.16 492,569
ELLINGTON FINANCIAL LLC COM 19,658 529 2.77 820,119
PENNYMAC MTG INVT TR COM 19,263 2,180 12.76 890,584
STARWOOD PPTY TR INC COM 12,040 -802 (6.24) 506,733
TRIANGLE CAP CORP COM 11,873 541 4.78 435,243
ARES CAP CORP COM 10,116 432 4.47 594,038
MAIN STREET CAPITAL CORP COM 9,173 2,725 42.27 290,190
KKR & CO L P DEL COM UNITS 6,672 169 2.60 271,312
APOLLO GLOBAL MGMT LLC CL A SHS 4,523 3,056 208.23 169,910
FRANKLIN RES INC COM 2,888 642 28.57 50,585
PENNYMAC FINL SVCS INC CL A 2,699 -634 (19.03) 177,895
GLOBAL PARTNERS LP COM UNITS 2,377 61 2.62 52,825
BLACKROCK INC COM 2,287 -882 (27.84) 7,270
STARWOOD WAYPOINT RESIDENTL TR COM SHS 2,096 -757 (26.53) 79,415
ARTISAN PARTNERS ASSET MGMT IN CL A 1,984 901 83.12 36,588
RENTECH NITROGEN PARTNERS L P COM UNIT 1,959 -23 (1.14) 116,758
EXXON MOBIL CORP COM 1,956 572 41.32 18,894
PRICE T ROWE GROUP INC COM 1,828 111 6.45 23,040
HUGOTON RTY TR TEX UNIT BEN INT 1,662 1,662 New 166,498
BABSON CAP PARTN INVS TR SH BEN INT 1,647 -3 (0.16) 123,825