HPS

John Hancock Preferred Income Fund III
HPS

Overview Fund Activity

39 hedge funds and large institutions have $62.9M invested in John Hancock Preferred Income Fund III in 2014 Q1 according to their latest regulatory filings, with 5 funds opening new positions, 11 increasing their positions, 13 reducing their positions, and 8 closing their positions.

Holders
39
Holders Change
-4
Holders Change %
-9.3%
% of All Funds
1.13%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
5
Increased
11
Reduced
13
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
MIG
1
Mariner Investment Group
New York
$4.53M
2
NL
2
NWAM LLC
Washington
$1.06M
3
Morgan Stanley
3
Morgan Stanley
New York
$9.94M
4
U
4
UBS
Switzerland
$6.82M
5
SFS
5
Shaker Financial Services
Virginia
$679K

Top Sellers

1
Invesco
1
Invesco
Georgia
$5.41M
2
GC
2
Guggenheim Capital
Illinois
$9.78M
3
SG Americas Securities
3
SG Americas Securities
New York
$0
4
PP
4
Paloma Partners
Connecticut
$0
5
SCM
5
Saba Capital Management
New York
$324K
Name Market Value Shares Shares
Change 		Shares
Change %
SAMC
1
Spectrum Asset Management (Connecticut)
Connecticut
$11.8M 679,727 – –
Morgan Stanley
2
Morgan Stanley
New York
$9.94M 574,114 +55,010 +11%
GC
3
Guggenheim Capital
Illinois
$9.78M 564,696 -58,850 -9%
U
4
UBS
Switzerland
$6.82M 393,661 +35,065 +10%
Invesco
5
Invesco
Georgia
$5.41M 312,260 -79,605 -20%
MIG
6
Mariner Investment Group
New York
$4.53M 261,265 +145,268 +125%
Bank of America
7
Bank of America
North Carolina
$2.75M 158,605 -31,563 -17%
CS
8
Credit Suisse
Switzerland
$1.83M 105,828 -5,580 -5%
CIA
9
Capital Investment Advisors
Georgia
$1.53M 88,260 -7,472 -8%
PRCM
10
Pine River Capital Management
Minnesota
$1.23M 71,205 -18,713 -21%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$1.11M 64,107 -2,098 -3%
NL
12
NWAM LLC
Washington
$1.06M 60,998 +60,998 New
Wells Fargo
13
Wells Fargo
California
$1.02M 58,871 -320 -0.5%
LPL Financial
14
LPL Financial
California
$985K 56,854 +5,283 +10%
TT
15
Tower Trust
Indiana
$882K 50,961 – –
SFS
16
Shaker Financial Services
Virginia
$679K 39,214 +28,351 +261%
SCM
17
Saba Capital Management
New York
$324K 18,733 -32,213 -63%
SGCA
18
Steel Grove Capital Advisors
Tennessee
$245K 14,125 -1,012 -7%
Commonwealth Equity Services
19
Commonwealth Equity Services
Massachusetts
$215K 12,424 +687 +6%
Fifth Third Bancorp
20
Fifth Third Bancorp
Ohio
$158K 9,123 +9,123 New
US Bancorp
21
US Bancorp
Minnesota
$79K 4,581 – –
WAM
22
Wolverine Asset Management
Illinois
$75K 4,370 +4,370 New
BRWA
23
B. Riley Wealth Advisors
Florida
$72K 4,146 – –
LTFS
24
Ladenburg Thalmann Financial Services
Florida
$57K 3,314 +240 +8%
Citigroup
25
Citigroup
New York
$57K 3,303 +2,512 +318%
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