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Saratoga Investment
SAR

Overview Fund Activity

21 hedge funds and large institutions have $19.9M invested in Saratoga Investment in 2016 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 8 increasing their positions, 4 reducing their positions, and 8 closing their positions.

Holders
21
Holders Change
-2
Holders Change %
-8.7%
% of All Funds
0.53%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
6
Increased
8
Reduced
4
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
LTFS
1
Ladenburg Thalmann Financial Services
Florida
$1.47M
2
FTCM
2
First Trust Capital Management
Illinois
$528K
3
BDCM
3
Black Diamond Capital Management
Connecticut
$13.3M
4
Millennium Management
4
Millennium Management
New York
$293K
5
Morgan Stanley
5
Morgan Stanley
New York
$222K

Top Sellers

1
RVPG
1
Relative Value Partners Group
$1.12M
2
FP
2
Foundry Partners
Minnesota
$0
3
AWW
3
Alan W. Weber
$356K
4
RCM
4
Rivernorth Capital Management
Florida
$0
5
Bessemer Group
5
Bessemer Group
New Jersey
$0
Name Market Value Shares Shares
Change 		Shares
Change %
BDCM
1
Black Diamond Capital Management
Connecticut
$13.3M 642,922 +21,858 +4%
LTFS
2
Ladenburg Thalmann Financial Services
Florida
$1.47M 71,327 +53,955 +311%
RVPG
3
Relative Value Partners Group
$1.12M 54,259 -41,722 -43%
CAS
4
Cue Advisory Services
Arizona
$842K 40,865 +1,900 +5%
MCM
5
McKinley Capital Management
Alaska
$564K 27,385 +2,045 +8%
JPMPWA
6
J.P. Morgan Private Wealth Advisors
California
$540K 26,187 +2,987 +13%
FTCM
7
First Trust Capital Management
Illinois
$528K 25,631 +25,631 New
AWW
8
Alan W. Weber
$356K 17,293 -35,000 -67%
Millennium Management
9
Millennium Management
New York
$293K 14,198 +14,198 New
Legal & General Group
10
Legal & General Group
United Kingdom
$257K 12,472 +312 +3%
NFA
11
Nuveen Fund Advisors
Illinois
$229K 11,122 -618 -5%
Morgan Stanley
12
Morgan Stanley
New York
$222K 10,802 +4,157 +63%
UBS Group
13
UBS Group
Switzerland
$120K 5,818 -935 -14%
MFS
14
MSI Financial Services
Massachusetts
$89K 4,325 – –
Wells Fargo
15
Wells Fargo
California
$29K 1,449 +600 +71%
JPMorgan Chase & Co
16
JPMorgan Chase & Co
New York
$21K 1,000 +1,000 New
GWM
17
Geneos Wealth Management
Colorado
$7K 381 – –
CG
18
Cutler Group
California
$3K 190 – –
Bank of America
19
Bank of America
North Carolina
$2K 100 +100 New
AIM
20
Advantage Investment Management
Iowa
$1K 45 +45 New
FP
21
Foundry Partners
Minnesota
– – -43,853 Closed
RCM
22
Rivernorth Capital Management
Florida
– – -29,787 Closed
Bessemer Group
23
Bessemer Group
New Jersey
– – -1,171 Closed
AIM
24
Acrospire Investment Management
Illinois
– – -500 Closed
TRCT
25
Tower Research Capital (TRC)
New York
– – -364 Closed
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