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PFL

PIMCO Income Strategy Fund
PFL

47 hedge funds and large institutions have $39.9M invested in PIMCO Income Strategy Fund in 2013 Q4 according to their latest regulatory filings, with 8 funds opening new positions, 16 increasing their positions, 15 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

16% more capital invested

Capital invested by funds: $34.3M → $39.9M (+$5.54M)

2.33% more ownership

Funds ownership: 10.56% → 12.89% (+2.3%)

7% more repeat investments, than reductions

Existing positions increased: 16 | Existing positions reduced: 15

0% more funds holding

Funds holding: 47 → 47 (0)

0% more first-time investments, than exits

New positions opened: 8 | Existing positions closed: 8

Holders
47
Holders Change
–
Holders Change %
0%
% of All Funds
1.36%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
8
Increased
16
Reduced
15
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
HK
Horizon Kinetics
New York
+$6.54M
2
SFS
Shaker Financial Services
Virginia
+$2.4M
3
Invesco
Invesco
Georgia
+$722K
4
SIA
Sit Investment Associates
Minnesota
+$508K
5
PP
Paloma Partners
Connecticut
+$381K

Top Sellers

1
U
UBS
Switzerland
-$2.22M
2
PNC Financial Services Group
PNC Financial Services Group
Pennsylvania
-$435K
3
RCM
Rivernorth Capital Management
Florida
-$396K
4
FAAS
First Allied Advisory Services
California
-$350K
5
NPC
National Planning Corporation
California
-$336K
Name Holding Trade Value Shares
Change 		Change in
Stake
HK
1
Horizon Kinetics
New York
$6.75M +$6.54M +566,378 +1,845%
RCM
2
Rivernorth Capital Management
Florida
$6.46M -$396K -34,335 -6%
BTS
3
BB&T Securities
Virginia
$3.33M +$9.23K +800 +3%
N
4
Nuveen
North Carolina
$2.67M +$23.1K +2,000 +0.9%
Morgan Stanley
5
Morgan Stanley
New York
$2.42M +$243K +21,016 +11%
SFS
6
Shaker Financial Services
Virginia
$2.35M +$2.4M +207,711 New
Invesco
7
Invesco
Georgia
$1.72M +$722K +62,537 +70%
SIA
8
Sit Investment Associates
Minnesota
$1.64M +$508K +43,987 +44%
Mariner
9
Mariner
Kansas
$1.16M -$48.2K -4,176 -4%
Bank of America
10
Bank of America
North Carolina
$1.08M -$272K -23,582 -20%
LPL Financial
11
LPL Financial
California
$958K +$11.5K +999 +1%
SB
12
Suntrust Banks
Georgia
$922K – – –
Wells Fargo
13
Wells Fargo
California
$817K -$205K -17,788 -20%
MFS
14
MSI Financial Services
Massachusetts
$811K -$29.3K -2,536 -3%
GC
15
Guggenheim Capital
Illinois
$810K +$231 +20 +0%
U
16
UBS
Switzerland
$760K -$2.22M -192,270 -74%
NPC
17
National Planning Corporation
California
$597K -$336K -29,096 -36%
SRC
18
Shufro Rose & Co
New York
$474K +$5.77K +500 +1%
FFA
19
First Foundation Advisors
California
$412K – – –
PP
20
Paloma Partners
Connecticut
$373K +$381K +33,008 New
KFS
21
KMS Financial Services
Washington
$372K -$14.7K -1,273 -4%
HCM
22
Hollencrest Capital Management
California
$345K +$352K +30,526 New
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$297K +$6.91K +599 +2%
Creative Planning
24
Creative Planning
Kansas
$294K +$18.6K +1,608 +7%
PAA
25
Peregrine Asset Advisers
Oregon
$268K +$115 +10 +0.4%
1
2 3

PFL Hedge Fund Activity: Q4 2013 in Review

47 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in PIMCO Income Strategy Fund (PFL) for Q4 2013, worth a combined $39.9M — up 16% from $34.3M a quarter earlier.

Fund positioning in PFL was balanced in Q4 2013: 8 funds opened new positions, 8 closed out, 16 added to existing stakes and 15 trimmed.

The largest buyer was Horizon Kinetics, adding an estimated $6.54M. The largest seller was UBS, cutting an estimated $2.22M.

  • 47 institutional investors held PIMCO Income Strategy Fund (PFL) as of Q4 2013, unchanged from Q3 2013.
  • Funds reported $39.9M of PIMCO Income Strategy Fund stock for Q4 2013, up 16% quarter-over-quarter.
  • 8 funds opened new PIMCO Income Strategy Fund positions in Q4 2013 and 8 closed out, a net change of 0 holders.
  • The largest PIMCO Income Strategy Fund buyer in Q4 2013 was Horizon Kinetics, an estimated $6.54M added.
  • The largest PIMCO Income Strategy Fund seller in Q4 2013 was UBS, an estimated $2.22M sold.

Based on aggregated 13F filings for Q4 2013.