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Saratoga Investment
SAR

Overview Fund Activity

22 hedge funds and large institutions have $21.1M invested in Saratoga Investment in 2016 Q1 according to their latest regulatory filings, with 4 funds opening new positions, 11 increasing their positions, 5 reducing their positions, and 6 closing their positions.

Holders
22
Holders Change
-2
Holders Change %
-8.33%
% of All Funds
0.59%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
4
Increased
11
Reduced
5
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
MCA
1
Mendon Capital Advisors
Florida
$852K
2
RCM
2
Rivernorth Capital Management
Florida
$4.62M
3
JPMPWA
3
J.P. Morgan Private Wealth Advisors
California
$282K
4
BDCM
4
Black Diamond Capital Management
Connecticut
$9.44M
5
FTCM
5
First Trust Capital Management
Illinois
$193K

Top Sellers

1
DCM
1
Dialectic Capital Management
Connecticut
$0
2
OAM
2
Orinda Asset Management
California
$0
3
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$0
4
Morgan Stanley
4
Morgan Stanley
New York
$193K
5
UBS Group
5
UBS Group
Switzerland
$5K
Name Market Value Shares Shares
Change 		Shares
Change %
BDCM
1
Black Diamond Capital Management
Connecticut
$9.44M 602,203 +17,563 +3%
RCM
2
Rivernorth Capital Management
Florida
$4.62M 294,905 +21,045 +8%
FP
3
Foundry Partners
Minnesota
$1.52M 96,938 +4,564 +5%
RVPG
4
Relative Value Partners Group
$1.23M 79,867 +2,927 +4%
MCA
5
Mendon Capital Advisors
Florida
$852K 54,310 +30,100 +124%
CRC
6
Curi RMB Capital
Illinois
$662K 42,231 +10,271 +32%
CAS
7
Cue Advisory Services
Arizona
$649K 41,365 -600 -1%
MCM
8
McKinley Capital Management
Alaska
$613K 39,124 +7,862 +25%
JPMPWA
9
J.P. Morgan Private Wealth Advisors
California
$282K 18,000 +18,000 New
Ameriprise
10
Ameriprise
Minnesota
$280K 17,864 +287 +2%
LTFS
11
Ladenburg Thalmann Financial Services
Florida
$265K 16,872 +138 +0.8%
FTCM
12
First Trust Capital Management
Illinois
$193K 12,329 +12,329 New
Morgan Stanley
13
Morgan Stanley
New York
$193K 12,321 -3,677 -23%
Legal & General Group
14
Legal & General Group
United Kingdom
$179K 11,409 +3,548 +45%
MFS
15
MSI Financial Services
Massachusetts
$94K 5,984 – –
TRCT
16
Tower Research Capital (TRC)
New York
$11K 688 +661 +2,448%
DLHL
17
Donald L. Hagan LLC
Florida
$8K 500 +500 New
Manulife (Manufacturers Life Insurance)
18
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$7K 446 – –
GWM
19
Geneos Wealth Management
Colorado
$6K 381 +381 New
UBS Group
20
UBS Group
Switzerland
$5K 318 -1,058 -77%
CG
21
Cutler Group
California
$2K 190 -800 -81%
DCM
22
Dialectic Capital Management
Connecticut
– – -42,492 Closed
OAM
23
Orinda Asset Management
California
– – -18,612 Closed
Citigroup
24
Citigroup
New York
$0 25 -3,537 -99%
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
– – -342 Closed
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