SPE

Special Opportunities Fund
SPE

Overview Fund Activity

26 hedge funds and large institutions have $58.5M invested in Special Opportunities Fund in 2013 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 7 increasing their positions, 6 reducing their positions, and 2 closing their positions.

Holders
26
Holders Change
+2
Holders Change %
+8.33%
% of All Funds
0.84%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.1%
New
4
Increased
7
Reduced
6
Closed
2
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
RVP
1
Relative Value Partners
Illinois
$26M
2
JG
2
Jefferies Group
New York
$528K
3
SFS
3
Shaker Financial Services
Virginia
$1.16M
4
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$3.07M
5
WI
5
Western Investment
Utah
$791K

Top Sellers

1
RCM
1
Rivernorth Capital Management
Florida
$1.87M
2
AAM
2
Advisors Asset Management
Colorado
$0
3
KIM
3
Karpus Investment Management
New York
$19.5M
4
Morgan Stanley
4
Morgan Stanley
New York
$340K
5
FANJ
5
Financial Architects (New Jersey)
New Jersey
$230K
Name Market Value Shares Shares
Change 		Shares
Change %
RVP
1
Relative Value Partners
Illinois
$26M 1,473,878 +96,653 +7%
KIM
2
Karpus Investment Management
New York
$19.5M 1,107,982 -16,740 -1%
AA
3
Ancora Advisors
Ohio
$3.11M 176,452 +292 +0.2%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$3.07M 174,463 +2,254 +1%
RCM
5
Rivernorth Capital Management
Florida
$1.87M 106,187 -55,031 -34%
SFS
6
Shaker Financial Services
Virginia
$1.16M 66,057 +28,665 +77%
WI
7
Western Investment
Utah
$791K 44,893 +1,700 +4%
JG
8
Jefferies Group
New York
$528K 30,000 +30,000 New
Bank of America
9
Bank of America
North Carolina
$351K 19,946 – –
Morgan Stanley
10
Morgan Stanley
New York
$340K 19,285 -3,628 -16%
Wells Fargo
11
Wells Fargo
California
$311K 17,681 -748 -4%
IT
12
Independence Trust
Tennessee
$284K 16,132 – –
KFS
13
KMS Financial Services
Washington
$273K 15,538 – –
TJHA
14
Thomas J. Herzfeld Advisors
Florida
$264K 14,987 – –
FANJ
15
Financial Architects (New Jersey)
New Jersey
$230K 12,925 -2,000 -13%
U
16
UBS
Switzerland
$140K 7,957 +1,269 +19%
First Manhattan
17
First Manhattan
New York
$95K 5,406 – –
PNC Financial Services Group
18
PNC Financial Services Group
Pennsylvania
$72K 4,142 – –
LTFS
19
Ladenburg Thalmann Financial Services
Florida
$58K 3,268 – –
CFA
20
Carroll Financial Associates
North Carolina
$21K 1,200 – –
WF
21
WealthTrust Fairport
Ohio
$21K 1,195 +1,195 New
Barclays
22
Barclays
United Kingdom
$16K 926 +226 +32%
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$15K 867 -2,001 -70%
TRCT
24
Tower Research Capital (TRC)
New York
$5K 300 +300 New
US Bancorp
25
US Bancorp
Minnesota
$3K 150 – –
1
2