Investor Raymond James & Associates
13D/G Filings

This page shows a list of all the recent 13D/G filings made by Raymond James & Associates . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

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Date Form Target Prev
Shares		 Current
Shares		 Change
(Percent)		 Ownership
(Percent)		 Change
(Percent)
2026-04-07 13G/A HGLB / Highland Global Allocation Fund 2,250,833 2,353,160
2026-01-07 13G/A PPIH / Perma-Pipe International Holdings, Inc. 611,821 553,190
2026-01-07 13G/A RCKY / Rocky Brands, Inc. 474,852 480,567
2026-01-07 13G/A RGT / Royce Global Trust, Inc. 336,858 166,794
2025-10-31 13G/A HFRO / Highland Funds I - Highland Opportunities and Income Fund 3,691,544 3,212,550
2025-10-31 13G/A HGLB / Highland Global Allocation Fund 2,399,476 2,250,833
2025-10-31 13G/A PPIH / Perma-Pipe International Holdings, Inc. 657,501 611,821
2025-10-31 13G/A RGT / Royce Global Trust, Inc. 529,592 336,858
2025-10-23 13G SPPP / Sprott Physical Platinum and Palladium Trust 505,516
2025-10-22 13G DFP / Flaherty & Crumrine Dynamic Preferred and Income Fund Inc. 1,143,022
2025-04-15 13G PPIH / Perma-Pipe International Holdings, Inc. 657,501
2025-04-07 13G/A RGT / Royce Global Trust, Inc. 862,983 529,592
2025-01-31 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 830,674 171,015
2025-01-31 13G HFRO / Highland Funds I - Highland Opportunities and Income Fund 3,691,544
2024-09-10 13G HGLB / Highland Global Allocation Fund 2,399,476
2024-09-10 13G RGT / Royce Global Trust, Inc. 79,244 862,983
2024-01-29 13G/A NDP / Tortoise Energy Independence Fund, Inc. 161,498 0
2024-01-26 13G/A HLAN / Heartland BancCorp 118,943
2024-01-26 13G/A NXG / NXG NextGen Infrastructure Income Fund 140,318 19,414
2024-01-26 13G/A SCD / LMP Capital and Income Fund Inc. 877,223 892,758
2024-01-26 13G/A RCKY / Rocky Brands, Inc. 600,134 474,852
2024-01-26 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 795,437 830,674
2023-02-09 13G NXG / NXG NextGen Infrastructure Income Fund 140,318 140,318
2023-02-09 13G/A EEA / The European Equity Fund, Inc. 397,166 51,612
2023-02-09 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 797,933 795,437
2023-02-09 13G/A KMF / Kayne Anderson NextGen Energy & Infrastructure Inc 3,147,449 3,150,472
2023-02-09 13G/A SCD / LMP Capital and Income Fund Inc. 913,011 877,223
2023-02-08 13G RCKY / Rocky Brands, Inc. 600,134
2023-02-08 13G NDP / Tortoise Energy Independence Fund, Inc. 161,498
2022-02-08 13G SCD / LMP Capital and Income Fund Inc. 870,943 913,011
2022-02-08 13G/A EEA / The European Equity Fund, Inc. 401,519 397,166
2022-02-08 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 713,332 797,933
2022-02-08 13G/A KMF / Kayne Anderson NextGen Energy & Infrastructure Inc 3,286,068 3,147,449
2021-02-12 13G KMF / Kayne Anderson NextGen Energy & Infrastructure Inc 3,286,068
2021-02-12 13G/A 132,625 0
2021-02-12 13G/A SCD / LMP Capital and Income Fund Inc. 956,990 870,943
2021-02-12 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 690,092 713,332
2021-02-12 13G/A EEA / The European Equity Fund, Inc. 492,936 401,519
2021-02-12 13G/A LGI / Lazard Global Total Return and Income Fund, Inc. 574,021 534,216
2021-02-12 13G/A RGT / Royce Global Trust, Inc. 819,784 79,244
2020-09-03 13G/A / Eagle Growth and Income Opportunities Fund 0 0
2020-09-02 13G/A / Eagle Growth and Income Opportunities Fund 0
2020-03-24 13G 132,625
2020-02-12 13G/A GEF.B / Greif, Inc. 1,888,643 240,239
2020-02-12 13G EEA / The European Equity Fund, Inc. 492,936
2020-02-12 13G/A GDL / The GDL Fund 549,335
2020-02-12 13G/A 851,182 492,185
2020-01-24 13G/A RGT / Royce Global Trust, Inc. 1,155,315 819,784
2020-01-24 13G/A / Eagle Growth and Income Opportunities Fund 1,405,081 1,176,395
2020-01-24 13G/A RMRM / RMR Mortgage Trust 850,231 505,735
2020-01-24 13G IAE / Voya Asia Pacific High Dividend Equity Income Fund 690,092
2020-01-24 13G SCD / LMP Capital and Income Fund Inc. 956,990
2020-01-23 13G LGI / Lazard Global Total Return and Income Fund, Inc. 574,021
2019-09-09 13G/A / Eagle Growth and Income Opportunities Fund 1,441,412 1,405,081
2019-04-08 13G/A RGT / Royce Global Trust, Inc. 920,896 1,155,315
2019-03-01 13G/A / Eagle Growth and Income Opportunities Fund 449,329 1,441,412
2019-02-19 13G/A BAC / Bank of America Corporation 7,480,008
2019-02-19 13G GEF.B / Greif, Inc. 1,888,643
2019-02-19 13G/A RMRM / RMR Mortgage Trust 850,231 850,231
2019-02-15 13G GEF.B / Greif, Inc. 1,888,643
2019-02-15 13G/A RMRM / RMR Mortgage Trust 726,555 850,231
2019-02-15 13G/A RGT / Royce Global Trust, Inc. 636,008 920,896
2019-02-15 13G/A KST / Deutsche Strategic Income Trust 445,179 0
2019-02-15 13G/A GDL / The GDL Fund 860,497 895,005
2019-02-15 13G/A KMM / Deutsche Multi-Market Income Trust 1,421,322 0
2019-02-15 13G/A EVO / Evotec SE - Depositary Receipt (Common Stock) 161,938 0
2019-02-15 13G/A 1,123,546 851,182
2018-12-17 13G EVO / Evotec SE - Depositary Receipt (Common Stock) 161,938 161,938
2018-12-17 13G GDL / The GDL Fund 860,497 860,497
2018-12-14 13G EVO / Evotec SE - Depositary Receipt (Common Stock) 161,938
2018-12-14 13G GDL / The GDL Fund 860,497
2018-06-29 13G/A 10,604,440 1,123,546
2018-06-27 13G/A 942,379 10,604,440
2018-06-26 13G/A 942,379 10,604,440
2018-02-16 13G KST / Deutsche Strategic Income Trust 445,179 298,929
2018-02-16 13G/A KST / Deutsche Strategic Income Trust 445,179 726,203
2018-02-15 13G/A RGT / Royce Global Trust, Inc. 636,008 695,090
2018-02-15 13G RGT / Royce Global Trust, Inc. 636,008 636,008
2018-02-15 13G KST / Deutsche Strategic Income Trust 298,929
2018-02-15 13G/A KST / Deutsche Strategic Income Trust 445,179
2018-02-15 13G RMRM / RMR Mortgage Trust 726,555
2018-02-15 13G / Eagle Growth and Income Opportunities Fund 449,329
2018-02-15 13G/A / Eagle Growth and Income Opportunities Fund 816,994
2018-02-14 13G/A RGT / Royce Global Trust, Inc. 825,902
2018-02-14 13G RGT / Royce Global Trust, Inc. 636,008
2018-02-14 13G KMM / Deutsche Multi-Market Income Trust 1,421,322
2018-02-14 13G 942,379