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SPE

Special Opportunities Fund

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.

New
Increased
Maintained
Reduced
Closed

100% more first-time investments, than exits

New positions opened: 4 | Existing positions closed: 2

17% more repeat investments, than reductions

Existing positions increased: 7 | Existing positions reduced: 6

8% more funds holding

Funds holding: 2426 (+2)

6% more capital invested

Capital invested by funds: $55.2M → $58.5M (+$3.33M)

0.97% more ownership

Funds ownership: 50.09%51.06% (+0.97%)

0% more funds holding in top 10

Funds holding in top 10: 33 (0)

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
Name Holding Trade Value Shares
Change
Change in
Stake
RVP
1
Relative Value Partners
Illinois
$26M +$1.68M +101,176 +7%
KIM
2
Karpus Investment Management
New York
$19.5M -$291K -17,523 -1%
AA
3
Ancora Advisors
Ohio
$3.11M +$5.09K +306 +0.2%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$3.07M +$39.2K +2,360 +1%
RCM
5
Rivernorth Capital Management
Florida
$1.87M -$958K -57,606 -34%
SFS
6
Shaker Financial Services
Virginia
$1.16M +$499K +30,006 +77%
WI
7
Western Investment
Utah
$791K +$29.6K +1,780 +4%
JG
8
Jefferies Group
New York
$528K +$522K +31,404 New
Bank of America
9
Bank of America
North Carolina
$351K
Morgan Stanley
10
Morgan Stanley
New York
$340K -$63.1K -3,797 -16%
Wells Fargo
11
Wells Fargo
California
$311K -$13K -783 -4%
IT
12
Independence Trust
Tennessee
$284K
KFS
13
KMS Financial Services
Washington
$273K
TJHA
14
Thomas J. Herzfeld Advisors
Florida
$264K
FANJ
15
Financial Architects (New Jersey)
New Jersey
$230K -$34.8K -2,093 -13%
U
16
UBS
Switzerland
$140K +$22.1K +1,328 +19%
First Manhattan
17
First Manhattan
New York
$95K
PNC Financial Services Group
18
PNC Financial Services Group
Pennsylvania
$72K
LTFS
19
Ladenburg Thalmann Financial Services
Florida
$58K
CFA
20
Carroll Financial Associates
North Carolina
$21K
WF
21
WealthTrust Fairport
Ohio
$21K +$20.8K +1,251 New
Barclays
22
Barclays
United Kingdom
$16K +$3.92K +236 +32%
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$15K -$34.8K -2,094 -70%
TRCT
24
Tower Research Capital (TRC)
New York
$5K +$5.22K +314 New
US Bancorp
25
US Bancorp
Minnesota
$3K

SPE Hedge Fund Activity: Q3 2013 in Review

26 of the 3,084 institutional investors tracked by Wall St. Rank reported a position in Special Opportunities Fund (SPE) for Q3 2013, worth a combined $58.5M — up 6% from $55.2M a quarter earlier.

Buyers outnumbered sellers: 4 funds opened new SPE positions and 2 closed out — a net gain of 2 holders — while 7 added to existing stakes and 6 trimmed.

The largest buyer was Relative Value Partners, adding an estimated $1.68M. The largest seller was Rivernorth Capital Management, cutting an estimated $958K.

  • 26 institutional investors held Special Opportunities Fund (SPE) as of Q3 2013, up from 24 in Q2 2013.
  • Funds reported $58.5M of Special Opportunities Fund stock for Q3 2013, up 6% quarter-over-quarter.
  • 4 funds opened new Special Opportunities Fund positions in Q3 2013 and 2 closed out, a net change of +2 holders.
  • The largest Special Opportunities Fund buyer in Q3 2013 was Relative Value Partners, an estimated $1.68M added.
  • The largest Special Opportunities Fund seller in Q3 2013 was Rivernorth Capital Management, an estimated $958K sold.

Based on aggregated 13F filings for Q3 2013.