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) 122

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

Sector Weighting

Basic Materials 1.65%
Capital Goods 10.53%
Conglomerates
Consumer Cyclical 5.77%
Consumer/Non-Cyclical
Energy 4.46%
Financial 42.98%
Healthcare 8.23%
Services 3.04%
Technology 17.72%
Transportation 5.43%
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 11,715 New 101,734
CORNING INC COM 7,537 -6 (0.08) 339,797
CHARTER FINL CORP MD COM 7,473 -32 (0.42) 665,485
SUPERIOR INDS INTL INC COM 7,029 -47 (0.67) 365,543
CISCO SYS INC COM 6,949 -15 (0.21) 251,311
MICROSOFT CORP COM 6,778 -46 (0.67) 142,641
JOHNSON & JOHNSON COM 5,714 -34 (0.6) 53,498
HOMETRUST BANCSHARES INC COM 4,995 2,689 116.65 310,032
SEACOR HOLDINGS INC COM 4,874 257 5.57 69,198
3M CO COM 4,852 -62 (1.27) 29,355
NORTHFIELD BANCORP INC DEL COM 4,028 New 280,000
HELMERICH & PAYNE INC COM 3,841 -21 (0.55) 57,823
PFIZER INC COM 3,819 -32 (0.83) 119,464
INSTEEL INDUSTRIES INC COM 2,717 New 120,012
OCEAN SHORE HLDG CO NEW COM 2,488 New 173,363
CONSOLIDATED TOMOKA LD CO COM 2,475 New 44,631
MALVERN BANCORP INC COM 2,270 New 187,782
SI FINL GROUP INC MD COM 2,221 New 196,508
MARKET VECTORS ETF TR GOLD MINER ETF 1,989 -19 (0.93) 106,045
HOPFED BANCORP INC COM 1,802 New 148,888