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PhenixFIN
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Overview Fund Activity

103 hedge funds and large institutions have $256M invested in PhenixFIN in 2013 Q4 according to their latest regulatory filings, with 20 funds opening new positions, 47 increasing their positions, 20 reducing their positions, and 15 closing their positions.

Holders
103
Holders Change
+4
Holders Change %
+4.04%
% of All Funds
2.99%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
20
Increased
47
Reduced
20
Closed
15
Calls
$361K
Puts
$1.03M
Net Calls
-$671K
Net Calls Change
-$295K

Top Buyers

1
ClearBridge Investments
1
ClearBridge Investments
New York
$29.8M
2
BTS
2
BB&T Securities
Virginia
$7.54M
3
U
3
UBS
Switzerland
$12.8M
4
AAM
4
Advisors Asset Management
Colorado
$11.3M
5
Northern Trust
5
Northern Trust
Illinois
$6.79M

Top Sellers

1
Jane Street
1
Jane Street
New York
$195K
2
NIMC
2
NWQ Investment Management Company
California
$6.15M
3
Bank of New York Mellon
3
Bank of New York Mellon
New York
$2M
4
D.E. Shaw & Co
4
D.E. Shaw & Co
New York
$0
5
Two Sigma Investments
5
Two Sigma Investments
New York
$0
Name Market Value Shares Shares
Change 		Shares
Change %
ClearBridge Investments
1
ClearBridge Investments
New York
$29.8M 2,151,550 +444,701 +26%
Ameriprise
2
Ameriprise
Minnesota
$19.4M 1,398,842 +32,850 +2%
BFA
3
BlackRock Fund Advisors
California
$15.4M 1,110,861 -33,906 -3%
U
4
UBS
Switzerland
$12.8M 921,930 +207,552 +29%
AAM
5
Advisors Asset Management
Colorado
$11.3M 812,929 +148,881 +22%
CIM
6
Confluence Investment Management
Missouri
$10.4M 750,172 -18,000 -2%
State Street
7
State Street
Massachusetts
$10.3M 743,196 +22,234 +3%
Invesco
8
Invesco
Georgia
$9.95M 718,590 +3,217 +0.4%
Principal Financial Group
9
Principal Financial Group
Iowa
$7.92M 571,922 +87,278 +18%
BTS
10
BB&T Securities
Virginia
$7.54M 54,412 +22,281 +69%
HCM
11
Hilton Capital Management
New York
$7.48M 540,197 -17,355 -3%
KCM
12
Kennedy Capital Management
Missouri
$6.85M 494,210 +10,423 +2%
Northern Trust
13
Northern Trust
Illinois
$6.79M 490,121 +110,094 +29%
BIT
14
BlackRock Institutional Trust
California
$6.7M 483,523 -1,018 -0.2%
YMRC
15
Yorktown Management & Research Company
Virginia
$6.42M 463,500 – –
Morgan Stanley
16
Morgan Stanley
New York
$6.34M 457,392 +5,896 +1%
NIMC
17
NWQ Investment Management Company
California
$6.15M 443,718 -304,350 -41%
Janney Montgomery Scott
18
Janney Montgomery Scott
Pennsylvania
$5.72M 413,170 -9,247 -2%
PI
19
Putnam Investments
Massachusetts
$5.41M 390,400 +14,500 +4%
Wells Fargo
20
Wells Fargo
California
$5.24M 378,027 +30,606 +9%
Vanguard Group
21
Vanguard Group
Pennsylvania
$4.87M 351,668 +43,827 +14%
Allianz Asset Management
22
Allianz Asset Management
Germany
$3.91M 281,927 +9,753 +4%
CS
23
Credit Suisse
Switzerland
$2.8M 202,399 -31,086 -13%
BG
24
BlackRock Group
United Kingdom
$2.75M 198,921 +11,470 +6%
TCIM
25
TIAA CREF Investment Management
New York
$2.43M 175,265 +26,100 +17%
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