Bank of New York Mellon’s PhenixFIN PFX Stock Holding History

Bank of New York Mellon’s Portfolio PFX Stock Details PFX Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q4	–	Sell	-624	Closed	-$147K	–	4282
2014 Q3	$147K	Sell	624 -300	-32%	-$76.8K	﹤0.01%	3960
2014 Q2	$241K	Sell	924 -7,054	-88%	-$1.81M	﹤0.01%	3795
2014 Q1	$2.17M	Buy	7,978 +752	+10%	+$210K	﹤0.01%	2823
2013 Q4	$2M	Sell	7,226 -9,367	-56%	-$2.62M	﹤0.01%	2892
2013 Q3	$4.58M	Buy	16,593 +2,581	+18%	+$718K	﹤0.01%	2298
2013 Q2	$3.81M	Buy	+14,012	New	+$4.1M	﹤0.01%	2353

Other funds holding PFX

PAM

PVG Asset Management Golden, Colorado $173M AUM 64.51% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

Ameriprise Minneapolis, Minnesota $432B AUM 30.22% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

HCM

Hilton Capital Management Garden City, New York $1.32B AUM 15.59% 1-Year Est. Return

RCM

Rivernorth Capital Management West Palm Beach, Florida $2B AUM 0.66% 1-Year Est. Return

AFG

American Financial Group Cincinnati, Ohio $270M AUM 3.25% 1-Year Est. Return

CIM

Confluence Investment Management St. Louis, Missouri $6.4B AUM 9.79% 1-Year Est. Return

SAM

Selway Asset Management $242M AUM 7.7% 1-Year Est. Return

Bank of New York Mellon's PFX Position: Q4 2014 in Review

Bank of New York Mellon sold out of PhenixFIN (PFX) in Q4 2014, closing a stake of 624 shares — an estimated $147K sold.

Bank of New York Mellon first reported a position in PFX in Q2 2013 and held it in 6 quarters. The position peaked at $4.58M in Q3 2013. 105 funds tracked by Wall St. Rank hold PFX as of Q4 2014.

Bank of New York Mellon reported no remaining PhenixFIN position as of Q4 2014 after selling out during the quarter.
Bank of New York Mellon sold 624 PhenixFIN shares in Q4 2014, an estimated $147K.
Bank of New York Mellon first reported a position in PhenixFIN in Q2 2013 and held it in 6 quarters.
Bank of New York Mellon's PhenixFIN position peaked at $4.58M in Q3 2013.
105 funds tracked by Wall St. Rank held PhenixFIN as of Q4 2014.

Based on Bank of New York Mellon's 13F filing for Q4 2014, filed 17 Feb 2015.