Northern Trust
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Northern Trust’s PhenixFIN PFX Stock Holding History

Northern Trust’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
Q4 		– Sell
-526
Closed -$63K – 4264
2017
Q3 		$63K Buy
+526
New +$65.2K ﹤0.01% 4032
2017
Q2 		– Sell
-606
Closed -$93K – 4295
2017
Q1 		$93K Sell
606
-40
-6% -$6.11K ﹤0.01% 3966
2016
Q4 		$97K Buy
646
+33
+5% +$5.04K ﹤0.01% 3908
2016
Q3 		$93K Sell
613
-67
-10% -$9.94K ﹤0.01% 3911
2016
Q2 		$91K Sell
680
-45
-6% -$5.96K ﹤0.01% 3914
2016
Q1 		$96K Sell
725
-190
-21% -$24.3K ﹤0.01% 3914
2015
Q4 		$137K Buy
+915
New +$140K ﹤0.01% 3865
2014
Q3 		– Sell
-18,900
Closed -$4.94M – 4342
2014
Q2 		$4.94M Sell
18,900
-6,564
-26% -$1.68M ﹤0.01% 2526
2014
Q1 		$6.93M Buy
25,464
+958
+4% +$268K ﹤0.01% 2349
2013
Q4 		$6.79M Buy
24,506
+5,505
+29% +$1.54M ﹤0.01% 2343
2013
Q3 		$5.24M Sell
19,001
-1,177
-6% -$327K ﹤0.01% 2475
2013
Q2 		$5.48M Buy
+20,178
New +$5.9M ﹤0.01% 2340

Other funds holding PFX

AFG
American Financial Group Cincinnati, Ohio $270M AUM 3.25% 1-Year Est. Return
PAM
PVG Asset Management Golden, Colorado $173M AUM 64.51% 1-Year Est. Return
Invesco
Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return
RAM
Roumell Asset Management Chevy Chase, Maryland $53.3M AUM 8.91% 1-Year Est. Return
AM
Ares Management Los Angeles, California $1.52B AUM 12.97% 1-Year Est. Return
UBS Group
UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return
CIM
Confluence Investment Management St. Louis, Missouri $6.4B AUM 9.79% 1-Year Est. Return
GC
Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return
Bank of Montreal
Bank of Montreal Toronto, Ontario, Canada $269B AUM 31.4% 1-Year Est. Return
LTFS
Ladenburg Thalmann Financial Services Miami, Florida $15.9B AUM 25.16% 1-Year Est. Return

Northern Trust's PFX Position: Q4 2017 in Review

Northern Trust sold out of PhenixFIN (PFX) in Q4 2017, closing a stake of 526 shares — an estimated $63K sold.

Northern Trust first reported a position in PFX in Q2 2013 and held it in 12 quarters. The position peaked at $6.93M in Q1 2014. 93 funds tracked by Wall St. Rank hold PFX as of Q4 2017.

  • Northern Trust reported no remaining PhenixFIN position as of Q4 2017 after selling out during the quarter.
  • Northern Trust sold 526 PhenixFIN shares in Q4 2017, an estimated $63K.
  • Northern Trust first reported a position in PhenixFIN in Q2 2013 and held it in 12 quarters.
  • Northern Trust's PhenixFIN position peaked at $6.93M in Q1 2014.
  • 93 funds tracked by Wall St. Rank held PhenixFIN as of Q4 2017.

Based on Northern Trust's 13F filing for Q4 2017, filed 14 Feb 2018.