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State Street SPDR Dow Jones Industrial Average ETF Trust
DIA

313 hedge funds and large institutions have $5.31B invested in State Street SPDR Dow Jones Industrial Average ETF Trust in 2013 Q4 according to their latest regulatory filings, with 77 funds opening new positions, 79 increasing their positions, 98 reducing their positions, and 29 closing their positions.

New
Increased
Maintained
Reduced
Closed

166% more first-time investments, than exits

New positions opened: 77 | Existing positions closed: 29

21% more capital invested

Capital invested by funds: $4.4B → $5.31B (+$904M)

19% more funds holding in top 10

Funds holding in top 10: 27 → 32 (+5)

17% more funds holding

Funds holding: 267 → 313 (+46)

0.8% more ownership

Funds ownership: 41.34% → 42.13% (+0.8%)

10% less call options, than puts

Call options by funds: $1.52B | Put options by funds: $1.69B

19% less repeat investments, than reductions

Existing positions increased: 79 | Existing positions reduced: 98

Holders
313
Holders Change
+46
Holders Change %
+17.23%
% of All Funds
9.09%
Holding in Top 10
32
Holding in Top 10 Change
+5
Holding in Top 10 Change %
+18.52%
% of All Funds
0.93%
New
77
Increased
79
Reduced
98
Closed
29
Calls
$1.52B
Puts
$1.69B
Net Calls
-$169M
Net Calls Change
-$762M

Top Buyers

1
Goldman Sachs
Goldman Sachs
New York
+$380M
2
Citigroup
Citigroup
New York
+$211M
3
Deutsche Bank
Deutsche Bank
Germany
+$166M
4
SG Americas Securities
SG Americas Securities
New York
+$84.7M
5
Nomura Holdings
Nomura Holdings
Japan
+$77.7M

Top Sellers

1
AM
Appaloosa Management
Florida
-$151M
2
GC
Guggenheim Capital
Illinois
-$122M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$82.7M
4
Two Sigma Investments
Two Sigma Investments
New York
-$80.2M
5
MSU
Mizuho Securities USA
New York
-$78.9M
Name Holding Trade Value Shares
Change 		Change in
Stake
NPC
76
National Planning Corporation
California
$5.03M -$6.69M -42,543 -58%
AIG
77
American International Group
New York
$4.71M +$39K +248 +0.9%
MA
78
MUFG Americas
New York
$4.69M +$264K +1,680 +6%
PH
79
Pinnacle Holdings
Oklahoma
$4.35M +$4.13M +26,268 New
11A
80
10-15 Associates
New York
$4.33M -$96K -611 -2%
TIM
81
Tortoise Investment Management
New York
$4.19M -$31.4K -200 -0.8%
HNB
82
Huntington National Bank
Ohio
$4.08M – – –
SI
83
Stephens Inc
Arkansas
$4.03M -$271K -1,725 -7%
MA
84
Montag & Associates
Georgia
$3.96M -$327K -2,080 -8%
STMM
85
South Texas Money Management
Texas
$3.96M +$94.9K +604 +3%
EP
86
Edgestream Partners
New Jersey
$3.47M +$3.29M +20,963 New
IG
87
ING Group
Netherlands
$3.38M +$3.21M +20,444 New
BPC
88
Banque Pictet & Cie
Switzerland
$3.18M +$3.02M +19,195 New
DT
89
Diversified Trust
Tennessee
$3.16M – – –
NB
90
NBT Bank
New York
$3.16M -$129K -822 -4%
PAS
91
Partnervest Advisory Services
California
$3.08M +$123K +783 +4%
US Bancorp
92
US Bancorp
Minnesota
$3.04M +$219K +1,395 +8%
Credit Agricole
93
Credit Agricole
France
$2.96M +$629K +4,000 +29%
Bessemer Group
94
Bessemer Group
New Jersey
$2.91M – – –
AT
95
Arvest Trust
Oklahoma
$2.81M +$2.67M +17,003 New
GWM
96
Greenwich Wealth Management
Connecticut
$2.73M -$51.5K -328 -2%
JIC
97
Johnson Investment Counsel
Ohio
$2.67M +$10.7K +68 +0.4%
SA
98
Steadfast Advisors
New York
$2.59M +$2.46M +15,676 New
SCM
99
Southport Capital Management
Tennessee
$2.51M +$277K +1,762 +13%
Mariner
100
Mariner
Kansas
$2.36M +$193K +1,231 +9%
2 3
4
5 6

DIA Hedge Fund Activity: Q4 2013 in Review

313 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in State Street SPDR Dow Jones Industrial Average ETF Trust (DIA) for Q4 2013, worth a combined $5.31B — up 21% from $4.4B a quarter earlier.

Buyers outnumbered sellers: 77 funds opened new DIA positions and 29 closed out — a net gain of 48 holders — while 79 added to existing stakes and 98 trimmed.

The largest buyer was Goldman Sachs, adding an estimated $380M. The largest seller was Appaloosa Management, exiting entirely with an estimated $151M sold.

  • 313 institutional investors held State Street SPDR Dow Jones Industrial Average ETF Trust (DIA) as of Q4 2013, up from 267 in Q3 2013.
  • Funds reported $5.31B of State Street SPDR Dow Jones Industrial Average ETF Trust stock for Q4 2013, up 21% quarter-over-quarter.
  • 77 funds opened new State Street SPDR Dow Jones Industrial Average ETF Trust positions in Q4 2013 and 29 closed out, a net change of +48 holders.
  • The largest State Street SPDR Dow Jones Industrial Average ETF Trust buyer in Q4 2013 was Goldman Sachs, an estimated $380M added.
  • The largest State Street SPDR Dow Jones Industrial Average ETF Trust seller in Q4 2013 was Appaloosa Management, an estimated $151M sold.

Based on aggregated 13F filings for Q4 2013.