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Plug Power
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125 hedge funds and large institutions have $135M invested in Plug Power in 2014 Q3 according to their latest regulatory filings, with 19 funds opening new positions, 41 increasing their positions, 38 reducing their positions, and 22 closing their positions.

New
Increased
Maintained
Reduced
Closed

8% more repeat investments, than reductions

Existing positions increased: 41 | Existing positions reduced: 38

0% more call options, than puts

Call options by funds: $32M | Put options by funds: $32M

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

2% less funds holding

Funds holding: 128 → 125 (-3)

9% less capital invested

Capital invested by funds: $148M → $135M (-$13.3M)

14% less first-time investments, than exits

New positions opened: 19 | Existing positions closed: 22

Holders
125
Holders Change
-3
Holders Change %
-2.34%
% of All Funds
3.63%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
19
Increased
41
Reduced
38
Closed
22
Calls
$32M
Puts
$32M
Net Calls
+$35K
Net Calls Change
-$6.3M

Top Buyers

1
Northern Trust
Northern Trust
Illinois
+$6.57M
2
GCP
GSA Capital Partners
United Kingdom
+$1.36M
3
ECM
Empire Capital Management
Connecticut
+$1.19M
4
DCM
Dialectic Capital Management
Connecticut
+$813K
5
Charles Schwab
Charles Schwab
California
+$808K

Top Sellers

1
UPA
Union Point Advisors
California
-$3.59M
2
ST
Spot Trading
Illinois
-$2.77M
3
Deutsche Bank
Deutsche Bank
Germany
-$2.65M
4
Morgan Stanley
Morgan Stanley
New York
-$1.63M
5
JP Morgan Chase
JP Morgan Chase
New York
-$1.52M
Name Holding Trade Value Shares
Change 		Change in
Stake
NFG
101
Next Financial Group
Texas
$9K +$9.9K +1,920 New
Envestnet Asset Management
102
Envestnet Asset Management
Illinois
$7K +$7.73K +1,500 New
JT
103
Jump Trading
Illinois
$7K +$8.02K +1,555 New
ClearBridge Investments
104
ClearBridge Investments
New York
$5K – – –
DOA
105
D'Orazio & Associates
Virginia
$5K – – –
FWM
106
Focused Wealth Management
New York
$3K -$5.31K -1,030 -65%
EFSCE
107
Enterprise Financial Services Corp (EFSC)
Missouri
$3K +$851 +165 +31%
Bank of Montreal
108
Bank of Montreal
Ontario, Canada
$2K -$1.8K -350 -41%
AA
109
Apriem Advisors
California
$2K – – –
FNBT
110
FineMark National Bank & Trust
Florida
$2K – – –
TRCT
111
Tower Research Capital (TRC)
New York
$2K +$2.06K +400 New
FMII
112
Farmers & Merchants Investments Inc
Nebraska
$2K +$2.58K +500 New
FCCM
113
First City Capital Management
Georgia
$1.84K – – –
Ameriprise
114
Ameriprise
Minnesota
$1K -$412 -80 -24%
ATC
115
Adirondack Trust Company
New York
$1K – – –
Manulife (Manufacturers Life Insurance)
116
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$500 +$16.6K +3,224 +3%
UPA
117
Union Point Advisors
California
– -$3.59M -767,755 Closed
JP Morgan Chase
118
JP Morgan Chase
New York
– -$1.52M -325,602 Closed
DCM
119
Driehaus Capital Management
Illinois
– -$1.43M -304,582 Closed
Nomura Asset Management
120
Nomura Asset Management
Japan
– -$702K -150,000 Closed
ZIM
121
Zacks Investment Management
Illinois
– -$629K -134,366 Closed
Jane Street
122
Jane Street
New York
– -$465K -99,286 Closed
B
123
Baird
Wisconsin
– -$423K -90,368 Closed
Tudor Investment Corp
124
Tudor Investment Corp
Connecticut
– -$334K -71,322 Closed
SG Americas Securities
125
SG Americas Securities
New York
– -$291K -62,252 Closed
2 3 4
5
6

PLUG Hedge Fund Activity: Q3 2014 in Review

125 of the 3,446 institutional investors tracked by Wall St. Rank reported a position in Plug Power (PLUG) for Q3 2014, worth a combined $135M — down 9% from $148M a quarter earlier.

Sellers outnumbered buyers: 22 funds closed out of PLUG and 19 opened new positions — a net loss of 3 holders — while 38 trimmed existing stakes and 41 added.

The largest buyer was Northern Trust, adding an estimated $6.57M. The largest seller was Union Point Advisors, exiting entirely with an estimated $3.59M sold.

  • 125 institutional investors held Plug Power (PLUG) as of Q3 2014, down from 128 in Q2 2014.
  • Funds reported $135M of Plug Power stock for Q3 2014, down 9% quarter-over-quarter.
  • 19 funds opened new Plug Power positions in Q3 2014 and 22 closed out, a net change of -3 holders.
  • The largest Plug Power buyer in Q3 2014 was Northern Trust, an estimated $6.57M added.
  • The largest Plug Power seller in Q3 2014 was Union Point Advisors, an estimated $3.59M sold.

Based on aggregated 13F filings for Q3 2014.