DRW Securities’s Pioneer Floating Rate Fund PHD Stock Holding History

DRW Securities’s Portfolio PHD Stock Details PHD Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2016 Q3	–	Sell	-14,619	Closed	-$165K	–	96
2016 Q2	$165K	Sell	14,619 -33,397	-70%	-$373K	0.01%	68
2016 Q1	$537K	Sell	48,016 -27,534	-36%	-$291K	0.03%	50
2015 Q4	$820K	Sell	75,550 -9,154	-11%	-$99.6K	0.08%	30
2015 Q3	$959K	Sell	84,704 -59,387	-41%	-$679K	0.11%	30
2015 Q2	$1.64M	Sell	144,091 -53,570	-27%	-$622K	0.18%	26
2015 Q1	$2.3M	Buy	197,661 +30,888	+19%	+$352K	0.36%	26
2014 Q4	$1.9M	Buy	+166,773	New	+$1.91M	0.22%	38

Other funds holding PHD

Baillie Gifford & Co Edinburgh, United Kingdom $110B AUM 4.8% 1-Year Est. Return

Invesco Atlanta, Georgia $1.26T AUM 61.52% 1-Year Est. Return

Bessemer Group Woodbridge, New Jersey $72.7B AUM 39.36% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $15.9B AUM 53.4% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.56B AUM 35.09% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

CFA

Camarda Financial Advisors Fleming Island, Florida $331M AUM 81.85% 1-Year Est. Return

FIMG

Financial & Investment Management Group Traverse City, Michigan $274M AUM 8.43% 1-Year Est. Return

ZIG

Zuckerman Investment Group Chicago, Illinois $1.18B AUM 22.58% 1-Year Est. Return

RVPG

Relative Value Partners Group $772M AUM 15.6% 1-Year Est. Return

DRW Securities's PHD Position: Q3 2016 in Review

DRW Securities sold out of Pioneer Floating Rate Fund (PHD) in Q3 2016, closing a stake of 14,619 shares — an estimated $165K sold.

DRW Securities first reported a position in PHD in Q4 2014 and held it in 7 quarters. The position peaked at $2.3M in Q1 2015. 51 funds tracked by Wall St. Rank hold PHD as of Q3 2016.

DRW Securities reported no remaining Pioneer Floating Rate Fund position as of Q3 2016 after selling out during the quarter.
DRW Securities sold 14,619 Pioneer Floating Rate Fund shares in Q3 2016, an estimated $165K.
DRW Securities first reported a position in Pioneer Floating Rate Fund in Q4 2014 and held it in 7 quarters.
DRW Securities's Pioneer Floating Rate Fund position peaked at $2.3M in Q1 2015.
51 funds tracked by Wall St. Rank held Pioneer Floating Rate Fund as of Q3 2016.

Based on DRW Securities's 13F filing for Q3 2016, filed 14 Nov 2016.