UBS O'Connor’s PhenixFIN PFX Stock Holding History

UBS O'Connor’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
2013 Q3	–	Sell	-16,476	Closed	-$4.47M	–	533
2013 Q2	$4.47M	Buy	+16,476	New	+$4.82M	0.08%	254

Other funds holding PFX

ClearBridge Investments New York $115B AUM 24.78% 1-Year Est. Return

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

BFA

BlackRock Fund Advisors San Francisco, California $542B AUM 18.13% 1-Year Est. Return

CIM

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

NIMC

NWQ Investment Management Company Los Angeles, California $2.22B AUM 6.84% 1-Year Est. Return

State Street Boston, Massachusetts $2.9T AUM 29.55% 1-Year Est. Return

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

UBS Zurich, Switzerland $136B AUM 16.36% 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

UBS O'Connor's PFX Position: Q3 2013 in Review

UBS O'Connor sold out of PhenixFIN (PFX) in Q3 2013, closing a stake of 16,476 shares — an estimated $4.47M sold.

UBS O'Connor first reported a position in PFX in Q2 2013 and held it in 1 quarter. The position peaked at $4.47M in Q2 2013. 99 funds tracked by Wall St. Rank hold PFX as of Q3 2013.

UBS O'Connor reported no remaining PhenixFIN position as of Q3 2013 after selling out during the quarter.
UBS O'Connor sold 16,476 PhenixFIN shares in Q3 2013, an estimated $4.47M.
UBS O'Connor first reported a position in PhenixFIN in Q2 2013 and held it in 1 quarter.
UBS O'Connor's PhenixFIN position peaked at $4.47M in Q2 2013.
99 funds tracked by Wall St. Rank held PhenixFIN as of Q3 2013.

Based on UBS O'Connor's 13F filing for Q3 2013, filed 14 Nov 2013.