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PhenixFIN
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Overview Fund Activity

99 hedge funds and large institutions have $243M invested in PhenixFIN in 2013 Q3 according to their latest regulatory filings, with 16 funds opening new positions, 51 increasing their positions, 17 reducing their positions, and 11 closing their positions.

Holders
99
Holders Change
+5
Holders Change %
+5.32%
% of All Funds
3.21%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
%
% of All Funds
0.03%
New
16
Increased
51
Reduced
17
Closed
11
Calls
$450K
Puts
$826K
Net Calls
-$376K
Net Calls Change
-$488K

Top Buyers

1
BFA
1
BlackRock Fund Advisors
California
$15.8M
2
PI
2
Putnam Investments
Massachusetts
$5.18M
3
Jane Street
3
Jane Street
New York
$4.62M
4
NIMC
4
NWQ Investment Management Company
California
$10.3M
5
Morgan Stanley
5
Morgan Stanley
New York
$6.23M

Top Sellers

1
Nuveen Asset Management
1
Nuveen Asset Management
Illinois
$0
2
UOC
2
UBS O'Connor
Illinois
$0
3
Capital Fund Management (CFM)
3
Capital Fund Management (CFM)
France
$0
4
State Street
4
State Street
Massachusetts
$9.95M
5
PP
5
PDT Partners
New York
$0
Name Market Value Shares Shares
Change 		Shares
Change %
ClearBridge Investments
1
ClearBridge Investments
New York
$23.5M 1,706,849 +204,139 +14%
Ameriprise
2
Ameriprise
Minnesota
$18.8M 1,365,992 +182,175 +15%
BFA
3
BlackRock Fund Advisors
California
$15.8M 1,144,767 +409,054 +56%
CIM
4
Confluence Investment Management
Missouri
$10.6M 768,172 +31,039 +4%
NIMC
5
NWQ Investment Management Company
California
$10.3M 748,068 +311,950 +72%
State Street
6
State Street
Massachusetts
$9.95M 720,962 -33,950 -4%
Invesco
7
Invesco
Georgia
$9.87M 715,373 +65,558 +10%
U
8
UBS
Switzerland
$9.85M 714,378 +27,565 +4%
AAM
9
Advisors Asset Management
Colorado
$9.16M 664,048 +182,495 +38%
HCM
10
Hilton Capital Management
New York
$7.69M 557,552 +18,245 +3%
Principal Financial Group
11
Principal Financial Group
Iowa
$6.68M 484,644 +4,639 +1%
BIT
12
BlackRock Institutional Trust
California
$6.68M 484,541 +112,501 +30%
KCM
13
Kennedy Capital Management
Missouri
$6.67M 483,787 +49,371 +11%
YMRC
14
Yorktown Management & Research Company
Virginia
$6.39M 463,500 – –
Morgan Stanley
15
Morgan Stanley
New York
$6.23M 451,496 +275,729 +157%
Janney Montgomery Scott
16
Janney Montgomery Scott
Pennsylvania
$5.83M 422,417 +178,587 +73%
Northern Trust
17
Northern Trust
Illinois
$5.24M 380,027 -23,531 -6%
PI
18
Putnam Investments
Massachusetts
$5.18M 375,900 +375,900 New
Wells Fargo
19
Wells Fargo
California
$4.79M 347,421 +3,327 +1%
Jane Street
20
Jane Street
New York
$4.62M 334,819 +334,819 New
Bank of New York Mellon
21
Bank of New York Mellon
New York
$4.58M 331,867 +51,636 +18%
BTS
22
BB&T Securities
Virginia
$4.43M 32,131 +19,281 +150%
Vanguard Group
23
Vanguard Group
Pennsylvania
$4.25M 307,841 +55,072 +22%
Allianz Asset Management
24
Allianz Asset Management
Germany
$3.75M 272,174 +25,045 +10%
CS
25
Credit Suisse
Switzerland
$3.22M 233,485 +31,130 +15%
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