OPPENHEIMER & CLOSE, LLC Information

119 WEST 57TH STREET, NEW YORK, New York, 10019, (212) 489-7527

Report Date: 09/30/2014

Position Statistics

Total Positions 54
New Positions 2
Increased Positions 8
Decreased Positions 13
Positions with Activity 21
Sold Out Positions 3
Total Mkt Value (in $ millions) 123

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

Sector Weighting

Basic Materials 1.43%
Capital Goods 10.31%
Conglomerates
Consumer Cyclical 5.56%
Consumer/Non-Cyclical
Energy 4.3%
Financial 43.57%
Healthcare 8.03%
Services 3%
Technology 18.08%
Transportation 5.53%
Utilities

54 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
SPDR GOLD TRUST GOLD SHS 12,512 New 101,734
CORNING INC COM 8,125 -6 (0.08) 339,797
CHARTER FINL CORP MD COM 7,553 -32 (0.42) 665,485
CISCO SYS INC COM 7,029 -15 (0.21) 251,311
SUPERIOR INDS INTL INC COM 6,850 -46 (0.67) 365,543
MICROSOFT CORP COM 6,706 -45 (0.67) 142,641
JOHNSON & JOHNSON COM 5,471 -33 (0.6) 53,498
SEACOR HOLDINGS INC COM 5,108 270 5.57 69,198
HOMETRUST BANCSHARES INC COM 4,905 2,641 116.65 310,032
3M CO COM 4,821 -62 (1.27) 29,355
NORTHFIELD BANCORP INC DEL COM 4,080 New 280,000
PFIZER INC COM 3,918 -33 (0.83) 119,464
HELMERICH & PAYNE INC COM 3,715 -21 (0.55) 57,823
INSTEEL INDUSTRIES INC COM 2,475 New 120,012
CONSOLIDATED TOMOKA LD CO COM 2,463 New 44,631
OCEAN SHORE HLDG CO NEW COM 2,446 New 173,363
MARKET VECTORS ETF TR GOLD MINER ETF 2,349 -22 (0.93) 106,045
MALVERN BANCORP INC COM 2,223 New 187,782
SI FINL GROUP INC MD COM 2,152 New 196,508
HOPFED BANCORP INC COM 1,937 New 148,888