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PhenixFIN
PFX

119 hedge funds and large institutions have $292M invested in PhenixFIN in 2014 Q1 according to their latest regulatory filings, with 27 funds opening new positions, 57 increasing their positions, 24 reducing their positions, and 11 closing their positions.

New
Increased
Maintained
Reduced
Closed

145% more first-time investments, than exits

New positions opened: 27 | Existing positions closed: 11

138% more repeat investments, than reductions

Existing positions increased: 57 | Existing positions reduced: 24

16% more funds holding

Funds holding: 103 → 119 (+16)

14% more capital invested

Capital invested by funds: $256M → $292M (+$36.9M)

0.04% more ownership

Funds ownership: 2.24% → 2.28% (+0.04%)

70% less call options, than puts

Call options by funds: $188K | Put options by funds: $631K

Holders
119
Holders Change
+16
Holders Change %
+15.53%
% of All Funds
3.44%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
% of All Funds
0.03%
New
27
Increased
57
Reduced
24
Closed
11
Calls
$188K
Puts
$631K
Net Calls
-$443K
Net Calls Change
+$228K

Top Buyers

1
Ameriprise
Ameriprise
Minnesota
+$13.6M
2
ClearBridge Investments
ClearBridge Investments
New York
+$4.59M
3
Invesco
Invesco
Georgia
+$4.42M
4
BFA
BlackRock Fund Advisors
California
+$2.78M
5
AAM
Advisors Asset Management
Colorado
+$2.39M

Top Sellers

1
KCM
Kennedy Capital Management
Missouri
-$4.39M
2
Vanguard Group
Vanguard Group
Pennsylvania
-$3.06M
3
Allianz Asset Management
Allianz Asset Management
Germany
-$2.69M
4
Morgan Stanley
Morgan Stanley
New York
-$2.62M
5
VKH
Virtu KCG Holdings
New York
-$767K
Name Holding Trade Value Shares
Change 		Change in
Stake
ClearBridge Investments
1
ClearBridge Investments
New York
$33.8M +$4.59M +16,437 +15%
Ameriprise
2
Ameriprise
Minnesota
$32.3M +$13.6M +48,772 +70%
BFA
3
BlackRock Fund Advisors
California
$17.8M +$2.78M +9,971 +18%
U
4
UBS
Switzerland
$14.6M +$2.15M +7,708 +17%
Invesco
5
Invesco
Georgia
$14.1M +$4.42M +15,844 +44%
AAM
6
Advisors Asset Management
Colorado
$13.4M +$2.39M +8,568 +21%
State Street
7
State Street
Massachusetts
$11.3M +$1.17M +4,199 +11%
CIM
8
Confluence Investment Management
Missouri
$10.1M -$156K -560 -1%
Principal Financial Group
9
Principal Financial Group
Iowa
$7.76M -$26.3K -94 -0.3%
NIMC
10
NWQ Investment Management Company
California
$7.73M +$1.74M +6,224 +28%
BIT
11
BlackRock Institutional Trust
California
$7.6M +$1.04M +3,739 +15%
BTS
12
BB&T Securities
Virginia
$7.38M -$2.23K -8 -0.3%
HCM
13
Hilton Capital Management
New York
$7.38M +$30.4K +109 +0.4%
Northern Trust
14
Northern Trust
Illinois
$6.93M +$268K +958 +4%
PI
15
Putnam Investments
Massachusetts
$6.8M +$1.53M +5,466 +28%
YMRC
16
Yorktown Management & Research Company
Virginia
$6.31M – – –
Janney Montgomery Scott
17
Janney Montgomery Scott
Pennsylvania
$5.99M +$377K +1,351 +7%
Wells Fargo
18
Wells Fargo
California
$5.52M +$381K +1,363 +7%
SAM
19
Selway Asset Management
$4.13M +$2.36M +8,466 +126%
BG
20
BlackRock Group
United Kingdom
$4.01M +$1.33M +4,780 +48%
Morgan Stanley
21
Morgan Stanley
New York
$3.67M -$2.62M -9,385 -41%
CS
22
Credit Suisse
Switzerland
$2.66M -$98.9K -354 -3%
TCIM
23
TIAA CREF Investment Management
New York
$2.53M +$150K +537 +6%
ACM
24
Avalon Capital Management
California
$2.5M +$1.73M +6,179 +206%
KCM
25
Kennedy Capital Management
Missouri
$2.45M -$4.39M -15,721 -64%
1
2 3 4 5

PFX Hedge Fund Activity: Q1 2014 in Review

119 of the 3,462 institutional investors tracked by Wall St. Rank reported a position in PhenixFIN (PFX) for Q1 2014, worth a combined $292M — up 14% from $256M a quarter earlier.

Buyers outnumbered sellers: 27 funds opened new PFX positions and 11 closed out — a net gain of 16 holders — while 57 added to existing stakes and 24 trimmed.

The largest buyer was Ameriprise, adding an estimated $13.6M. The largest seller was Kennedy Capital Management, cutting an estimated $4.39M.

  • 119 institutional investors held PhenixFIN (PFX) as of Q1 2014, up from 103 in Q4 2013.
  • Funds reported $292M of PhenixFIN stock for Q1 2014, up 14% quarter-over-quarter.
  • 27 funds opened new PhenixFIN positions in Q1 2014 and 11 closed out, a net change of +16 holders.
  • The largest PhenixFIN buyer in Q1 2014 was Ameriprise, an estimated $13.6M added.
  • The largest PhenixFIN seller in Q1 2014 was Kennedy Capital Management, an estimated $4.39M sold.

Based on aggregated 13F filings for Q1 2014.