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Lumen
LUMN

Overview Fund Activity

603 hedge funds and large institutions have $15.7B invested in Lumen in 2013 Q3 according to their latest regulatory filings, with 64 funds opening new positions, 207 increasing their positions, 251 reducing their positions, and 60 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
603
Holders Change
-3
Holders Change %
-0.5%
% of All Funds
19.56%
Holding in Top 10
4
Holding in Top 10 Change
-4
Holding in Top 10 Change %
-50%
% of All Funds
0.13%
New
64
Increased
207
Reduced
251
Closed
60
Calls
$229M
Puts
$177M
Net Calls
+$52.3M
Net Calls Change
-$17.2M

Top Buyers

1
Lazard Asset Management
1
Lazard Asset Management
New York
$161M
2
NIMC
2
NWQ Investment Management Company
California
$212M
3
EAM
3
Edge Asset Management
Washington
$91.2M
4
APG Asset Management
4
APG Asset Management
Netherlands
$180M
5
Fidelity Investments
5
Fidelity Investments
Massachusetts
$281M

Top Sellers

1
Franklin Resources
1
Franklin Resources
California
$6.38M
2
WRF
2
Waddell & Reed Financial
Kansas
$0
3
Morgan Stanley
3
Morgan Stanley
New York
$239M
4
VOYA Investment Management
4
VOYA Investment Management
Georgia
$7.15M
5
HSBC Holdings
5
HSBC Holdings
United Kingdom
$16.4M
Name Holding Trade Value Shares
Change 		Shares
Change %
FNBSF
526
First National Bank Sioux Falls
South Dakota
$64K – – –
SAM
527
Solaris Asset Management
New York
$63K – – –
PTC
528
Private Trust Company
Ohio
$62K -$3.16K -100 -5%
FANJ
529
Financial Architects (New Jersey)
New Jersey
$57K – – –
SOAMC
530
Spirit of America Management Corp
New York
$56K – – –
Jones Financial Companies
531
Jones Financial Companies
Missouri
$55K +$4.43K +142 +9%
WTC
532
WhitTier Trust Company
Nevada
$49K – – –
DAM
533
Delta Asset Management
Tennessee
$38K – – –
WA
534
Waverly Advisors
Alabama
$38K +$38K +1,210 New
Manulife (Manufacturers Life Insurance)
535
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$37.5K +$1.86K +59,290 +5%
BBHC
536
Brown Brothers Harriman & Co
New York
$35K -$59.5K -1,900 -63%
MFBTD
537
MB Financial Bank - Trust Department
Illinois
$34K – – –
TWA
538
TCI Wealth Advisors
Arizona
$34K +$63 +2 +0.2%
RNS
539
Robert N. Shapiro
$34K +$2.64K +84 +8%
SFS
540
Signator Financial Services
Massachusetts
$32K – – –
FAM
541
Formidable Asset Management
Ohio
$32K +$32K +1,004 New
WT
542
Whittier Trust
California
$30K -$11.8K -378 -28%
HPBT
543
High Point Bank & Trust
North Carolina
$26K – – –
JIC
544
Joel Isaacson & Co
New York
$26K +$20.9K +677 +408%
KIG
545
Kessler Investment Group
Indiana
$26K +$26K +830 New
MI
546
Markston International
New York
$24K – – –
FWM
547
Focused Wealth Management
New York
$24K +$24K +750 New
AF
548
Allworth Financial
California
$24K +$24K +775 New
HI
549
Hudock Inc
Pennsylvania
$23K -$23.1K -750 -50%
PFS
550
Penseco Financial Services
Pennsylvania
$23K +$23K +719 New
20 21
22
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