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Saratoga Investment
SAR

Overview Fund Activity

17 hedge funds and large institutions have $29.8M invested in Saratoga Investment in 2014 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 2 increasing their positions, 6 reducing their positions, and 5 closing their positions.

Holders
17
Holders Change
+1
Holders Change %
+6.25%
% of All Funds
0.49%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
6
Increased
2
Reduced
6
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
DCM
1
Dialectic Capital Management
Connecticut
$1.28M
2
RCM
2
Rivernorth Capital Management
Florida
$415K
3
FP
3
Foundry Partners
Minnesota
$332K
4
RVP
4
Relative Value Partners
Illinois
$218K
5
Creative Planning
5
Creative Planning
Kansas
$18K

Top Sellers

1
RCM
1
Raging Capital Management
New Jersey
$4.18M
2
BTS
2
BB&T Securities
Virginia
$12M
3
Bank of America
3
Bank of America
North Carolina
$2.45M
4
ACM
4
Ativo Capital Management
Illinois
$0
5
Morgan Stanley
5
Morgan Stanley
New York
$447K
Name Market Value Shares Shares
Change 		Shares
Change %
BTS
1
BB&T Securities
Virginia
$12M 74,872 -5,290 -7%
BDCM
2
Black Diamond Capital Management
Connecticut
$8.11M 505,935 – –
RCM
3
Raging Capital Management
New Jersey
$4.18M 260,655 -57,422 -18%
Bank of America
4
Bank of America
North Carolina
$2.45M 153,179 -37,483 -20%
DCM
5
Dialectic Capital Management
Connecticut
$1.28M 80,000 +47,043 +143%
Morgan Stanley
6
Morgan Stanley
New York
$447K 27,905 -2,535 -8%
RCM
7
Rivernorth Capital Management
Florida
$415K 25,876 +25,876 New
FP
8
Foundry Partners
Minnesota
$332K 20,700 +20,700 New
CIM
9
Confluence Investment Management
Missouri
$240K 14,936 – –
RVP
10
Relative Value Partners
Illinois
$218K 13,613 +13,613 New
Legal & General Group
11
Legal & General Group
United Kingdom
$82K 5,125 – –
U
12
UBS
Switzerland
$19K 1,170 -207 -15%
Creative Planning
13
Creative Planning
Kansas
$18K 1,095 +1,095 New
TRCT
14
Tower Research Capital (TRC)
New York
$3K 206 -760 -79%
Wells Fargo
15
Wells Fargo
California
$1K 57 +57 New
Manulife (Manufacturers Life Insurance)
16
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$2 96 +96 New
ACM
17
Ativo Capital Management
Illinois
– – -25,457 Closed
GSC
18
Ground Swell Capital
South Carolina
– – -278 Closed
DA
19
Denali Advisors
California
– – -254 Closed
BRWA
20
B. Riley Wealth Advisors
Florida
– – -100 Closed
BNP Paribas Financial Markets
21
BNP Paribas Financial Markets
France
– – -42 Closed
Deutsche Bank
22
Deutsche Bank
Germany
$0 52 +44 +550%