State Street’s PhenixFIN PFX Stock Holding History

State Street’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
2016 Q1	–	Sell	-563	Closed	-$85K	–	3737
2015 Q4	$85K	Sell	563 -700	-55%	-$107K	﹤0.01%	3558
2015 Q3	$188K	Hold	1,263	–	–	﹤0.01%	3478
2015 Q2	$225K	Hold	1,263	–	–	﹤0.01%	3472
2015 Q1	$231K	Sell	1,263 -4,101	-76%	-$763K	﹤0.01%	3470
2014 Q4	$991K	Sell	5,364 -2,540	-32%	-$551K	﹤0.01%	3265
2014 Q3	$1.87M	Sell	7,904 -590	-7%	-$151K	﹤0.01%	3051
2014 Q2	$2.22M	Sell	8,494 -32,865	-79%	-$8.42M	﹤0.01%	3021
2014 Q1	$11.3M	Buy	41,359 +4,199	+11%	+$1.17M	﹤0.01%	2145
2013 Q4	$10.3M	Buy	37,160 +1,112	+3%	+$311K	﹤0.01%	2181
2013 Q3	$9.95M	Sell	36,048 -1,698	-4%	-$472K	﹤0.01%	2130
2013 Q2	$10.3M	Buy	+37,746	New	+$11M	﹤0.01%	2034

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

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

AllianceBernstein Nashville, Tennessee $309B AUM 23.92% 1-Year Est. Return

RCM

Rivernorth Capital Management West Palm Beach, Florida $2B AUM 0.66% 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

CIM

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

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

State Street's PFX Position: Q1 2016 in Review

State Street sold out of PhenixFIN (PFX) in Q1 2016, closing a stake of 563 shares — an estimated $85K sold.

State Street first reported a position in PFX in Q2 2013 and held it in 11 quarters. The position peaked at $11.3M in Q1 2014. 87 funds tracked by Wall St. Rank hold PFX as of Q1 2016.

State Street reported no remaining PhenixFIN position as of Q1 2016 after selling out during the quarter.
State Street sold 563 PhenixFIN shares in Q1 2016, an estimated $85K.
State Street first reported a position in PhenixFIN in Q2 2013 and held it in 11 quarters.
State Street's PhenixFIN position peaked at $11.3M in Q1 2014.
87 funds tracked by Wall St. Rank held PhenixFIN as of Q1 2016.

Based on State Street's 13F filing for Q1 2016, filed 12 May 2016.