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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 %
PAS
126
Partnervest Advisory Services
California
$112K +$112K +2,393 New
FNBT
127
FineMark National Bank & Trust
Florida
$67K +$9.91K +213 +17%
PFA
128
Paradigm Financial Advisors
Missouri
$65K +$65K +1,399 New
Creative Planning
129
Creative Planning
Kansas
$56K – – –
V
130
Veritable
Delaware
$51K +$51K +1,096 New
CFS
131
Community Financial System
New York
$40K – – –
ASN
132
Advisory Services Network
Georgia
$34K +$34K +718 New
ACM
133
Aviance Capital Management
Florida
$31K -$20.1K -427 -39%
CLOS
134
Compagnie Lombard Odier SCmA
Switzerland
$28K +$28K +600 New
NC
135
NewSquare Capital
Pennsylvania
$23K +$23K +500 New
ST
136
Smithfield Trust
Pennsylvania
$21K +$21K +445 New
EWM
137
Evercore Wealth Management
New York
$11K +$11K +235 New
WT
138
Whittier Trust
California
$8K – – –
DAM
139
Delta Asset Management
Tennessee
$7K +$7K +150 New
RIA
140
Regal Investment Advisors
Michigan
$5K -$969 -19 -16%
AA
141
Apriem Advisors
California
$5K – – –
MAS
142
Madden Advisory Services
Florida
$5K – – –
PTC
143
Private Trust Company
Ohio
$2K -$8.17K -188 -80%
RCM
144
Rivernorth Capital Management
Florida
– -$5.02M -111,000 Closed
VAM
145
Visionary Asset Management
Texas
– -$1.5M -33,681 Closed
BB
146
Bell Bank
North Dakota
– -$911K -20,165 Closed
Nomura Holdings
147
Nomura Holdings
Japan
– -$783K -17,258 Closed
VWM
148
Vector Wealth Management
Minnesota
– -$572K -12,647 Closed
SNBOSD
149
Security National Bank of So Dak
Iowa
– -$344K -7,612 Closed
FHC
150
First Heartland Consultants
Missouri
– -$264K -5,825 Closed
3 4 5
6
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