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SPDR Dow Jones Industrial Average ETF Trust
DIA

Overview Fund Activity

267 hedge funds and large institutions have $4.4B invested in SPDR Dow Jones Industrial Average ETF Trust in 2013 Q3 according to their latest regulatory filings, with 34 funds opening new positions, 77 increasing their positions, 96 reducing their positions, and 35 closing their positions.

Holders
267
Holders Change
-6
Holders Change %
-2.2%
% of All Funds
8.66%
Holding in Top 10
27
Holding in Top 10 Change
-7
Holding in Top 10 Change %
-20.59%
% of All Funds
0.88%
New
34
Increased
77
Reduced
96
Closed
35
Calls
$1.91B
Puts
$1.32B
Net Calls
+$592M
Net Calls Change
+$239M

Top Buyers

1
Bank of America
1
Bank of America
North Carolina
$321M
2
GC
2
Guggenheim Capital
Illinois
$122M
3
VKH
3
Virtu KCG Holdings
New York
$104M
4
Two Sigma Investments
4
Two Sigma Investments
New York
$80.2M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$120M

Top Sellers

1
MB
1
MUFG Bank
Japan
$0
2
RMPT
2
Raytheon Master Pension Trust
Massachusetts
$0
3
Deutsche Bank
3
Deutsche Bank
Germany
$68.8M
4
Nomura Holdings
4
Nomura Holdings
Japan
$12.2M
5
MSU
5
Mizuho Securities USA
New York
$124M
Name Market Value Shares Shares
Change 		Shares
Change %
AA
26
Alesco Advisors
New York
$38.1M 252,092 +2,671 +1%
KIM
27
Karpus Investment Management
New York
$36.8M 243,516 -36,433 -13%
RCYC
28
Richard C. Young & Co
Rhode Island
$36.5M 242,027 -5,227 -2%
FAG
29
Financial Advisory Group
Texas
$35.1M 232,709 -7,974 -3%
LPL Financial
30
LPL Financial
California
$33.6M 220,067 -8,691 -4%
BCI
31
Brinker Capital Investments
Pennsylvania
$30.2M 200,177 +12,820 +7%
Barclays
32
Barclays
United Kingdom
$26.7M 176,883 +35,675 +25%
Northern Trust
33
Northern Trust
Illinois
$26.6M 176,323 +18,117 +11%
Bank of Montreal
34
Bank of Montreal
Ontario, Canada
$26.4M 174,741 +8,842 +5%
WCM
35
Weston Capital Management
California
$17.5M 115,643 -921 -0.8%
CA
36
Cumberland Advisors
Florida
$17.4M 114,950 +114,950 New
KeyBank National Association
37
KeyBank National Association
Ohio
$15.5M 102,628 -237 -0.2%
TRCT
38
Tower Research Capital (TRC)
New York
$14.3M 94,503 +94,503 New
RJA
39
Raymond James & Associates
Florida
$14.1M 93,315 -11,668 -11%
Nomura Holdings
40
Nomura Holdings
Japan
$12.2M 80,575 -1,029,303 -93%
SCM
41
Steward Capital Management
Michigan
$11.7M 77,600 – –
SFG
42
SNS Financial Group
Minnesota
$11.7M 77,375 -10,559 -12%
LTFS
43
Ladenburg Thalmann Financial Services
Florida
$11.2M 74,302 +6,656 +10%
NPC
44
National Planning Corporation
California
$11.1M 72,953 +3,878 +6%
Cambridge Investment Research Advisors
45
Cambridge Investment Research Advisors
Iowa
$10.8M 71,214 -329 -0.5%
Mitsubishi UFJ Trust & Banking
46
Mitsubishi UFJ Trust & Banking
Japan
$10.6M 70,200 – –
CC
47
Curian Capital
Colorado
$10M 66,504 +6,871 +12%
SB
48
Suntrust Banks
Georgia
$9.07M 60,056 +237 +0.4%
Nuveen Asset Management
49
Nuveen Asset Management
Illinois
$9.06M 60,000 +60,000 New
Commonwealth Equity Services
50
Commonwealth Equity Services
Massachusetts
$8.97M 59,413 -5,254 -8%
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