Empirical Asset Management, LLC Alps ETF Tr Oshares U S Small Transaction History

Empirical Asset Management, LLC

$791 Million
Q3 2024

Shares

9 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q2 2024 Aug 09, 2024	SELL	$39.56 - $42.45 $304,097 - $326,313	-7,687 Reduced 35.04%	14,252 $587,000
Q1 2024 May 10, 2024	SELL	$38.28 - $42.57 $70,243 - $78,115	-1,835 Reduced 7.72%	21,939 $933,000
Q4 2023 Jan 12, 2024	SELL	$33.36 - $39.44 $10,775 - $12,739	-323 Reduced 1.34%	23,774 $931,000
Q3 2023 Nov 01, 2023	SELL	$34.88 - $37.73 $18,695 - $20,223	-536 Reduced 2.18%	24,097 $846,000
Q2 2023 Aug 01, 2023	BUY	$34.02 - $36.7 $34,428 - $37,140	1,012 Added 4.28%	24,633 $904,000
Q1 2023 Apr 18, 2023	SELL	$33.63 - $37.55 $185,637 - $207,275	-5,520 Reduced 18.94%	23,621 $834,000
Q4 2022 Jan 31, 2023	SELL	$30.41 - $35.41 $41,661 - $48,511	-1,370 Reduced 4.49%	29,141 $978,000
Q3 2022 Oct 19, 2022	SELL	$29.99 - $35.24 $53,922 - $63,361	-1,798 Reduced 5.57%	30,511 $915,000
Q2 2022 Jul 18, 2022	BUY	$30.43 - $35.43 $983,162 - $1.14 Million	32,309 New	32,309 $1.02 Million

Others Institutions Holding OUSM

# of Institutions

104

Shares Held

10.6M

Call Options Held

0

Put Options Held

0

Ameriprise Financial Inc Minneapolis, MN

1.3M
Shares

$60.3 Million
0.02% of portfolio
Morgan Stanley New York, NY

983K
Shares

$45.6 Million
0.0% of portfolio
Sanctuary Advisors, LLC Indianapolis, IN

755K
Shares

$35.1 Million
0.22% of portfolio
Avantax Advisory Services, Inc.

735K
Shares

$34.1 Million
0.22% of portfolio
Wells Fargo & Company San Francisco, CA

716K
Shares

$33.3 Million
0.01% of portfolio

About ALPS ETF TR OSHARES U S SMALL

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