First Trust Capital Management’s PhenixFIN PFX Stock Holding History

First Trust Capital Management’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
2017 Q1	–	Sell	-7,645	Closed	-$1.15M	–	41
2016 Q4	$1.15M	Buy	+7,645	New	+$1.17M	0.34%	24
2016 Q2	$787K	Buy	5,873 +1,190	+25%	+$158K	0.29%	34
2016 Q1	$618K	Buy	+4,683	New	+$599K	0.43%	26

Other funds holding PFX

AFG

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

Muzinich & Co New York $286M AUM 21.05% 1-Year Est. Return

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

Ares Management Los Angeles, California $1.52B AUM 12.97% 1-Year Est. Return

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

Putnam Investments Boston, Massachusetts $75.7B AUM 34.45% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

CIM

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

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

Bank of Montreal Toronto, Ontario, Canada $269B AUM 31.4% 1-Year Est. Return

First Trust Capital Management's PFX Position: Q1 2017 in Review

First Trust Capital Management sold out of PhenixFIN (PFX) in Q1 2017, closing a stake of 7,645 shares — an estimated $1.15M sold.

First Trust Capital Management first reported a position in PFX in Q1 2016 and held it in 3 quarters. The position peaked at $1.15M in Q4 2016. 101 funds tracked by Wall St. Rank hold PFX as of Q1 2017.

First Trust Capital Management reported no remaining PhenixFIN position as of Q1 2017 after selling out during the quarter.
First Trust Capital Management sold 7,645 PhenixFIN shares in Q1 2017, an estimated $1.15M.
First Trust Capital Management first reported a position in PhenixFIN in Q1 2016 and held it in 3 quarters.
First Trust Capital Management's PhenixFIN position peaked at $1.15M in Q4 2016.
101 funds tracked by Wall St. Rank held PhenixFIN as of Q1 2017.

Based on First Trust Capital Management's 13F filing for Q1 2017, filed 11 May 2017.