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PhenixFIN
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Overview Fund Activity

110 hedge funds and large institutions have $232M invested in PhenixFIN in 2014 Q3 according to their latest regulatory filings, with 20 funds opening new positions, 46 increasing their positions, 32 reducing their positions, and 16 closing their positions.

Holders
110
Holders Change
+4
Holders Change %
+3.77%
% of All Funds
3.19%
Holding in Top 10
2
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-50%
% of All Funds
0.06%
New
20
Increased
46
Reduced
32
Closed
16
Calls
$4K
Puts
$1.5M
Net Calls
-$1.49M
Net Calls Change
-$617K

Top Buyers

1
Two Sigma Investments
1
Two Sigma Investments
New York
$3.83M
2
AAM
2
Advisors Asset Management
Colorado
$18.3M
3
D.E. Shaw & Co
3
D.E. Shaw & Co
New York
$2.58M
4
Millennium Management
4
Millennium Management
New York
$4.16M
5
MC
5
Menta Capital
California
$2.04M

Top Sellers

1
ClearBridge Investments
1
ClearBridge Investments
New York
$0
2
Northern Trust
2
Northern Trust
Illinois
$0
3
Deutsche Bank
3
Deutsche Bank
Germany
$0
4
Principal Financial Group
4
Principal Financial Group
Iowa
$4.37M
5
ACM
5
Avalon Capital Management
California
$0
Name Market Value Shares Shares
Change 		Shares
Change %
Ameriprise
1
Ameriprise
Minnesota
$28.9M 2,443,669 +45,197 +2%
U
2
UBS
Switzerland
$18.7M 1,579,329 -53,652 -3%
AAM
3
Advisors Asset Management
Colorado
$18.3M 1,547,232 +219,259 +17%
Invesco
4
Invesco
Georgia
$15.4M 1,303,788 +8,880 +0.7%
VM
5
Varde Management
Minnesota
$10.1M 855,958 – –
CIM
6
Confluence Investment Management
Missouri
$9.3M 787,755 +48 +0%
YMRC
7
Yorktown Management & Research Company
Virginia
$8.03M 680,000 +56,500 +9%
HCM
8
Hilton Capital Management
New York
$7.61M 644,665 +29,565 +5%
BTS
9
BB&T Securities
Virginia
$7.5M 63,525 +5,059 +9%
SAM
10
Selway Asset Management
$7.25M 613,980 +100,600 +20%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$6.1M 516,215 -3,826 -0.7%
AllianceBernstein
12
AllianceBernstein
Tennessee
$5.4M 457,497 -31,085 -6%
NIMC
13
NWQ Investment Management Company
California
$5.17M 437,770 -19,030 -4%
Morgan Stanley
14
Morgan Stanley
New York
$5.17M 437,421 -92,455 -17%
Wells Fargo
15
Wells Fargo
California
$4.4M 372,111 -186,142 -33%
Principal Financial Group
16
Principal Financial Group
Iowa
$4.37M 369,912 -213,661 -37%
Millennium Management
17
Millennium Management
New York
$4.16M 351,908 +206,126 +141%
CS
18
Credit Suisse
Switzerland
$4.02M 340,534 -128,433 -27%
Two Sigma Investments
19
Two Sigma Investments
New York
$3.83M 324,166 +324,166 New
BG
20
BlackRock Group
United Kingdom
$3.35M 283,952 +9,291 +3%
GC
21
Guggenheim Capital
Illinois
$3.05M 258,248 +82,341 +47%
D.E. Shaw & Co
22
D.E. Shaw & Co
New York
$2.58M 218,731 +218,731 New
SAM
23
Shikiar Asset Management
New York
$2.37M 200,950 -21,200 -10%
Barclays
24
Barclays
United Kingdom
$2.27M 206,195 +35,714 +21%
MC
25
Menta Capital
California
$2.04M 172,609 +172,609 New
1
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