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PhenixFIN
PFX

106 hedge funds and large institutions have $139M invested in PhenixFIN in 2016 Q4 according to their latest regulatory filings, with 21 funds opening new positions, 39 increasing their positions, 31 reducing their positions, and 16 closing their positions.

New
Increased
Maintained
Reduced
Closed

31% more first-time investments, than exits

New positions opened: 21 | Existing positions closed: 16

26% more repeat investments, than reductions

Existing positions increased: 39 | Existing positions reduced: 31

15% more capital invested

Capital invested by funds: $121M → $139M (+$17.7M)

5% more funds holding

Funds holding: 101 → 106 (+5)

0.25% more ownership

Funds ownership: 1.45% → 1.7% (+0.25%)

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

61% less call options, than puts

Call options by funds: $415K | Put options by funds: $1.07M

Holders
106
Holders Change
+5
Holders Change %
+4.95%
% of All Funds
2.65%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
21
Increased
39
Reduced
31
Closed
16
Calls
$415K
Puts
$1.07M
Net Calls
-$658K
Net Calls Change
-$1.17M

Top Buyers

Rank Fund Capital Flow
1
WHI
William Harris Investors
Illinois
+$4.44M
2
PI
Putnam Investments
Massachusetts
+$3.32M
3
Two Sigma Investments
Two Sigma Investments
New York
+$2.06M
4
MC
Muzinich & Co
New York
+$2.05M
5
LTFS
Ladenburg Thalmann Financial Services
Florida
+$1.41M

Top Sellers

Rank Fund Capital Flow
1
YMRC
Yorktown Management & Research Company
Virginia
-$3.05M
2
PAM
PVG Asset Management
Colorado
-$2.24M
3
Morgan Stanley
Morgan Stanley
New York
-$1.83M
4
AllianceBernstein
AllianceBernstein
Tennessee
-$1.69M
5
Invesco
Invesco
Georgia
-$1.54M
Name Holding Trade Value Shares
Change 		Change in
Stake
SMDAM
26
Sumitomo Mitsui DS Asset Management
Japan
$1.65M +$1M +6,574 +150%
NFA
27
Nuveen Fund Advisors
Illinois
$1.64M -$477K -3,125 -22%
CAS
28
Cue Advisory Services
Arizona
$1.58M -$105K -685 -6%
Cambridge Investment Research Advisors
29
Cambridge Investment Research Advisors
Iowa
$1.36M +$20.9K +137 +2%
Two Sigma Advisers
30
Two Sigma Advisers
New York
$1.34M +$1.37M +8,955 New
AAM
31
Advisors Asset Management
Colorado
$1.29M +$1.03M +6,738 +359%
SAM
32
Selway Asset Management
$1.26M +$2.75K +18 +0.2%
FTCM
33
First Trust Capital Management
Illinois
$1.15M +$1.17M +7,645 New
SAM
34
Shikiar Asset Management
New York
$1M -$153K -1,000 -13%
Goldman Sachs
35
Goldman Sachs
New York
$976K +$451K +2,954 +83%
Legal & General Group
36
Legal & General Group
United Kingdom
$915K +$24.4K +160 +3%
D.E. Shaw & Co
37
D.E. Shaw & Co
New York
$875K +$889K +5,825 New
California Public Employees Retirement System
38
California Public Employees Retirement System
California
$829K -$42.8K -280 -5%
WA
39
WFG Advisors
Texas
$739K +$161K +1,056 +27%
AG
40
Advisor Group
Arizona
$706K +$10.2K +67 +1%
NFA
41
Nationwide Fund Advisors
Ohio
$641K +$651K +4,265 New
LPL Financial
42
LPL Financial
California
$601K +$30.4K +199 +5%
EVM
43
Eaton Vance Management
Massachusetts
$559K – – –
MNA
44
Manning & Napier Advisors
New York
$506K -$21.5K -141 -4%
Acadian Asset Management
45
Acadian Asset Management
Massachusetts
$499K +$507K +3,320 New
WA
46
Wasatch Advisors
Utah
$454K +$15.3K +100 +3%
AFP
47
Ausdal Financial Partners
Iowa
$342K – – –
TI
48
Trexquant Investment
Connecticut
$320K +$326K +2,134 New
Ameriprise
49
Ameriprise
Minnesota
$317K +$6.41K +42 +2%
NL
50
NWAM LLC
Washington
$246K – – –
1
2
3 4 5

PFX Hedge Fund Activity: Q4 2016 in Review

106 of the 4,000 institutional investors tracked by Wall St. Rank reported a position in PhenixFIN (PFX) for Q4 2016, worth a combined $139M — up 15% from $121M a quarter earlier.

Buyers outnumbered sellers: 21 funds opened new PFX positions and 16 closed out — a net gain of 5 holders — while 39 added to existing stakes and 31 trimmed.

The largest buyer was William Harris Investors, opening a new position worth an estimated $4.44M. The largest seller was Yorktown Management & Research Company, exiting entirely with an estimated $3.05M sold.

  • 106 institutional investors held PhenixFIN (PFX) as of Q4 2016, up from 101 in Q3 2016.
  • Funds reported $139M of PhenixFIN stock for Q4 2016, up 15% quarter-over-quarter.
  • 21 funds opened new PhenixFIN positions in Q4 2016 and 16 closed out, a net change of +5 holders.
  • The largest PhenixFIN buyer in Q4 2016 was William Harris Investors, an estimated $4.44M added.
  • The largest PhenixFIN seller in Q4 2016 was Yorktown Management & Research Company, an estimated $3.05M sold.

Based on aggregated 13F filings for Q4 2016.