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DUC

Duff & Phelps Utility & Corporate Bond Trust
DUC

Delisted

DUC was delisted on the 5th of March, 2021.

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39 hedge funds and large institutions have $25.5M invested in Duff & Phelps Utility & Corporate Bond Trust in 2013 Q4 according to their latest regulatory filings, with 4 funds opening new positions, 14 increasing their positions, 12 reducing their positions, and 4 closing their positions.

New
Increased
Maintained
Reduced
Closed

44% more capital invested

Capital invested by funds: $17.8M → $25.5M (+$7.76M)

17% more repeat investments, than reductions

Existing positions increased: 14 | Existing positions reduced: 12

0% more funds holding

Funds holding: 39 → 39 (0)

0% more first-time investments, than exits

New positions opened: 4 | Existing positions closed: 4

Holders
39
Holders Change
–
Holders Change %
0%
% of All Funds
1.13%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
4
Increased
14
Reduced
12
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
SIA
Sit Investment Associates
Minnesota
+$7.28M
2
Wells Fargo
Wells Fargo
California
+$926K
3
WAM
Wolverine Asset Management
Illinois
+$859K
4
1CP
1607 Capital Partners
Virginia
+$510K
5
SFS
Shaker Financial Services
Virginia
+$496K

Top Sellers

Rank Fund Capital Flow
1
MCC
Mid Continent Capital
Illinois
-$999K
2
GC
Guggenheim Capital
Illinois
-$432K
3
DA
Doliver Advisors
Texas
-$413K
4
Morgan Stanley
Morgan Stanley
New York
-$147K
5
LPL Financial
LPL Financial
California
-$126K
Name Holding Trade Value Shares
Change 		Change in
Stake
LTFS
26
Ladenburg Thalmann Financial Services
Florida
$94K +$2.54K +250 +3%
Creative Planning
27
Creative Planning
Kansas
$65K +$44.7K +4,400 +210%
Royal Bank of Canada
28
Royal Bank of Canada
Ontario, Canada
$51K -$10.4K -1,026 -17%
BC
29
Bartlett & Co
Ohio
$44K – – –
SSB
30
Sandy Spring Bank
Maryland
$22K – – –
NES
31
New England Securities
New York
$16K -$8.76K -861 -35%
US Bancorp
32
US Bancorp
Minnesota
$14K – – –
CPA
33
Cowen Prime Advisors
New York
$10K – – –
AIG
34
American International Group
New York
$8.93K – – –
QAM
35
QCI Asset Management
New York
$8K – – –
TRCT
36
Tower Research Capital (TRC)
New York
$7K +$4.21K +414 +145%
CFA
37
Carroll Financial Associates
North Carolina
$6K – – –
SNT
38
Security National Trust
West Virginia
$4K – – –
WA
39
WFG Advisors
Texas
$3K +$71 +7 +2%
DA
40
Doliver Advisors
Texas
– -$413K -39,564 Closed
Ameriprise
41
Ameriprise
Minnesota
– -$55K -5,222 Closed
MA
42
MUFG Americas
New York
– -$31K -3,000 Closed
Bank of Montreal
43
Bank of Montreal
Ontario, Canada
– -$17K -1,600 Closed
1
2

DUC Hedge Fund Activity: Q4 2013 in Review

39 of the 3,446 institutional investors tracked by Wall St. Rank reported a position in Duff & Phelps Utility & Corporate Bond Trust (DUC) for Q4 2013, worth a combined $25.5M — up 44% from $17.8M a quarter earlier.

Fund positioning in DUC was balanced in Q4 2013: 4 funds opened new positions, 4 closed out, 14 added to existing stakes and 12 trimmed.

The largest buyer was Sit Investment Associates, adding an estimated $7.28M. The largest seller was Mid Continent Capital, cutting an estimated $999K.

  • 39 institutional investors held Duff & Phelps Utility & Corporate Bond Trust (DUC) as of Q4 2013, unchanged from Q3 2013.
  • Funds reported $25.5M of Duff & Phelps Utility & Corporate Bond Trust stock for Q4 2013, up 44% quarter-over-quarter.
  • 4 funds opened new Duff & Phelps Utility & Corporate Bond Trust positions in Q4 2013 and 4 closed out, a net change of 0 holders.
  • The largest Duff & Phelps Utility & Corporate Bond Trust buyer in Q4 2013 was Sit Investment Associates, an estimated $7.28M added.
  • The largest Duff & Phelps Utility & Corporate Bond Trust seller in Q4 2013 was Mid Continent Capital, an estimated $999K sold.

Based on aggregated 13F filings for Q4 2013.