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State Street SPDR Bloomberg Convertible Securities ETF

140 hedge funds and large institutions have $1.11B invested in State Street SPDR Bloomberg Convertible Securities ETF in 2013 Q4 according to their latest regulatory filings, with 39 funds opening new positions, 71 increasing their positions, 17 reducing their positions, and 12 closing their positions.

New
Increased
Maintained
Reduced
Closed

318% more repeat investments, than reductions

Existing positions increased: 71 | Existing positions reduced: 17

225% more first-time investments, than exits

New positions opened: 39 | Existing positions closed: 12

50% more funds holding in top 10

Funds holding in top 10: 812 (+4)

22% more funds holding

Funds holding: 115140 (+25)

21% more capital invested

Capital invested by funds: $913M → $1.11B (+$193M)

0.58% less ownership

Funds ownership: 55.02%54.44% (-0.58%)

9% less call options, than puts

Call options by funds: $589K | Put options by funds: $645K

Holders
140
Holders Change
+25
Holders Change %
+21.74%
% of All Funds
4.06%
Holding in Top 10
12
Holding in Top 10 Change
+4
Holding in Top 10 Change %
+50%
% of All Funds
0.35%
New
39
Increased
71
Reduced
17
Closed
12
Calls
$589K
Puts
$645K
Net Calls
-$56K
Net Calls Change
-$56K
Name Holding Trade Value Shares
Change
Change in
Stake
CS
26
Credit Suisse
Switzerland
$6.08M -$219K -4,743 -4%
Royal Bank of Canada
27
Royal Bank of Canada
Ontario, Canada
$6.05M +$2.64M +57,350 +79%
PI
28
Placemark Investments
Illinois
$6.04M +$1.56M +33,899 +36%
VFS
29
VSR Financial Services
Kansas
$5.58M +$481K +10,423 +10%
BIT
30
BlackRock Institutional Trust
California
$5.39M -$963K -20,889 -15%
NAM
31
NTV Asset Management
West Virginia
$5.26M -$46.1K -1,000 -0.9%
IF
32
IRON Financial
Illinois
$5.24M +$5.17M +112,194 New
JIR
33
James Investment Research
Ohio
$4.87M
SI
34
Stephens Inc
Arkansas
$4.87M -$275K -5,970 -5%
CIBC World Market
35
CIBC World Market
Ontario, Canada
$4.85M +$814K +17,663 +21%
Mirae Asset Global Investments
36
Mirae Asset Global Investments
South Korea
$4.58M +$346K +7,500 +8%
Lazard Asset Management
37
Lazard Asset Management
New York
$4.48M
FAAS
38
First Allied Advisory Services
California
$4.44M +$4.09M +88,657 +1,397%
LTFS
39
Ladenburg Thalmann Financial Services
Florida
$4.21M +$1.36M +29,477 +49%
SPL
40
Smart Portfolios LLC
Washington
$4.07M +$4.01M +87,051 New
AA
41
Advisory Alpha
Michigan
$4.02M +$3.96M +85,932 New
Axa
42
Axa
France
$3.98M +$3.92M +85,070 New
SAM
43
Stringer Asset Management
Tennessee
$3.8M +$3.75M +81,244 New
RJA
44
Raymond James & Associates
Florida
$3.7M +$1.1M +23,952 +43%
SCMF
45
Sage Capital Management (Florida)
Florida
$3.68M
OC
46
Oppenheimer & Co
New York
$3.39M +$1.39M +30,251 +71%
SAG
47
Sterne Agee Group
Alabama
$3.28M +$1.38M +29,926 +74%
Allianz Asset Management
48
Allianz Asset Management
Germany
$3.13M +$1.61M +35,000 +110%
FAM
49
Foothills Asset Management
Arizona
$3.08M +$3.04M +65,996 New
FFSOTS
50
Fiduciary Financial Services of The Southwest
Texas
$2.99M -$18K -390 -0.6%

CWB Hedge Fund Activity: Q4 2013 in Review

140 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in State Street SPDR Bloomberg Convertible Securities ETF (CWB) for Q4 2013, worth a combined $1.11B — up 21% from $913M a quarter earlier.

Buyers outnumbered sellers: 39 funds opened new CWB positions and 12 closed out — a net gain of 27 holders — while 71 added to existing stakes and 17 trimmed.

The largest buyer was Deutsche Bank, adding an estimated $25.4M. The largest seller was Rivernorth Capital Management, exiting entirely with an estimated $5.02M sold.

  • 140 institutional investors held State Street SPDR Bloomberg Convertible Securities ETF (CWB) as of Q4 2013, up from 115 in Q3 2013.
  • Funds reported $1.11B of State Street SPDR Bloomberg Convertible Securities ETF stock for Q4 2013, up 21% quarter-over-quarter.
  • 39 funds opened new State Street SPDR Bloomberg Convertible Securities ETF positions in Q4 2013 and 12 closed out, a net change of +27 holders.
  • The largest State Street SPDR Bloomberg Convertible Securities ETF buyer in Q4 2013 was Deutsche Bank, an estimated $25.4M added.
  • The largest State Street SPDR Bloomberg Convertible Securities ETF seller in Q4 2013 was Rivernorth Capital Management, an estimated $5.02M sold.

Based on aggregated 13F filings for Q4 2013.