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SPDR Bloomberg Convertible Securities ETF
CWB

Overview Fund Activity

140 hedge funds and large institutions have $1.11B invested in 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.

Holders
140
Holders Change
+25
Holders Change %
+21.74%
% of All Funds
4.07%
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

Top Buyers

1
Deutsche Bank
1
Deutsche Bank
Germany
$224M
2
QI
2
QS Investors
New York
$58.8M
3
WCM
3
Weatherstone Capital Management
Colorado
$20.3M
4
Bank of America
4
Bank of America
North Carolina
$89.6M
5
Morgan Stanley
5
Morgan Stanley
New York
$135M

Top Sellers

1
HNB
1
Huntington National Bank
Ohio
$10.7M
2
RCM
2
Rivernorth Capital Management
Florida
$0
3
Lazard Asset Management
3
Lazard Asset Management
New York
$4.48M
4
AUIM
4
Aegon USA Investment Management
Iowa
$51.8M
5
HIM
5
Hanlon Investment Management
New Jersey
$17M
Name Holding Trade Value Shares
Change 		Shares
Change %
CS
26
Credit Suisse
Switzerland
$6.08M -$222K -4,743 -4%
Royal Bank of Canada
27
Royal Bank of Canada
Ontario, Canada
$6.05M +$2.68M +57,350 +79%
PI
28
Placemark Investments
Illinois
$6.04M +$1.58M +33,899 +36%
VFS
29
VSR Financial Services
Kansas
$5.58M +$487K +10,423 +10%
BIT
30
BlackRock Institutional Trust
California
$5.4M -$976K -20,889 -15%
NAM
31
NTV Asset Management
West Virginia
$5.26M -$46.7K -1,000 -0.9%
IF
32
IRON Financial
Illinois
$5.24M +$5.24M +112,194 New
JIR
33
James Investment Research
Ohio
$4.87M -$1.22M – –
SI
34
Stephens Inc
Arkansas
$4.87M -$279K -5,970 -5%
CIBC World Market
35
CIBC World Market
Ontario, Canada
$4.85M +$825K +17,663 +21%
Mirae Asset Global Investments
36
Mirae Asset Global Investments
South Korea
$4.58M +$350K +7,500 +8%
Lazard Asset Management
37
Lazard Asset Management
New York
$4.48M -$4.33M – –
FAAS
38
First Allied Advisory Services
California
$4.44M +$4.14M +88,657 +1,397%
LTFS
39
Ladenburg Thalmann Financial Services
Florida
$4.21M +$1.38M +29,477 +49%
SPL
40
Smart Portfolios LLC
Washington
$4.07M +$4.07M +87,051 New
AA
41
Advisory Alpha
Michigan
$4.02M +$4.02M +85,932 New
Axa
42
Axa
France
$3.98M +$3.98M +85,070 New
SAM
43
Stringer Asset Management
Tennessee
$3.8M +$3.8M +81,244 New
RJA
44
Raymond James & Associates
Florida
$3.7M +$1.12M +23,952 +43%
SCMF
45
Sage Capital Management (Florida)
Florida
$3.68M – – –
OC
46
Oppenheimer & Co
New York
$3.39M +$1.41M +30,251 +71%
SAG
47
Sterne Agee Group
Alabama
$3.28M +$1.4M +29,926 +74%
Allianz Asset Management
48
Allianz Asset Management
Germany
$3.13M +$1.64M +35,000 +110%
FAM
49
Foothills Asset Management
Arizona
$3.08M +$3.08M +65,996 New
FFSOTS
50
Fiduciary Financial Services of The Southwest
Texas
$2.99M -$18.2K -390 -0.6%
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