Wasatch Advisors’s PhenixFIN PFX Stock Holding History

Wasatch Advisors’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	-1,593	Closed	-$190K	–	316
2017 Q3	$190K	Sell	1,593 -458	-22%	-$56.8K	﹤0.01%	321
2017 Q2	$262K	Buy	+2,051	New	+$279K	﹤0.01%	332
2017 Q1	–	Sell	-3,025	Closed	-$454K	–	364
2016 Q4	$454K	Buy	3,025 +100	+3%	+$15.3K	0.01%	338
2016 Q3	$446K	Buy	+2,925	New	+$434K	0.01%	337

Other funds holding PFX

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

PVG Asset Management Golden, Colorado $173M AUM 64.51% 1-Year Est. Return

Invesco Atlanta, Georgia $653B AUM 32.41% 1-Year Est. Return

Roumell Asset Management Chevy Chase, Maryland $53.3M AUM 8.91% 1-Year Est. Return

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

UBS Group Zurich, Switzerland $564B AUM 30.12% 1-Year Est. Return

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

Guggenheim Capital Chicago, Illinois $12.6B AUM 27.3% 1-Year Est. Return

Bank of Montreal

Bank of Montreal Toronto, Ontario, Canada $245B AUM 31.4% 1-Year Est. Return

Ladenburg Thalmann Financial Services Miami, Florida $15.9B AUM 25.16% 1-Year Est. Return