SPE

Special Opportunities Fund
SPE

Overview Fund Activity

25 hedge funds and large institutions have $56.1M invested in Special Opportunities Fund in 2013 Q4 according to their latest regulatory filings, with 4 funds opening new positions, 5 increasing their positions, 10 reducing their positions, and 4 closing their positions.

Holders
25
Holders Change
-1
Holders Change %
-3.85%
% of All Funds
0.73%
Holding in Top 10
1
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-66.67%
% of All Funds
0.03%
New
4
Increased
5
Reduced
10
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Commonwealth Equity Services
1
Commonwealth Equity Services
Massachusetts
$850K
2
PNC Financial Services Group
2
PNC Financial Services Group
Pennsylvania
$747K
3
B
3
Baird
Wisconsin
$234K
4
Morgan Stanley
4
Morgan Stanley
New York
$424K
5
FANJ
5
Financial Architects (New Jersey)
New Jersey
$276K

Top Sellers

1
RCM
1
Rivernorth Capital Management
Florida
$0
2
KIM
2
Karpus Investment Management
New York
$18.2M
3
RVP
3
Relative Value Partners
Illinois
$25.5M
4
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$2.82M
5
JG
5
Jefferies Group
New York
$349K
Name Market Value Shares Shares
Change 		Shares
Change %
RVP
1
Relative Value Partners
Illinois
$25.5M 1,459,057 -14,821 -1%
KIM
2
Karpus Investment Management
New York
$18.2M 1,040,007 -67,975 -6%
AA
3
Ancora Advisors
Ohio
$3.07M 175,952 -500 -0.3%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$2.82M 161,289 -13,174 -8%
SFS
5
Shaker Financial Services
Virginia
$1.04M 59,285 -6,772 -10%
CL
6
CSS LLC
Illinois
$949K 54,378 +54,378 New
Commonwealth Equity Services
7
Commonwealth Equity Services
Massachusetts
$850K 48,710 +48,710 New
PNC Financial Services Group
8
PNC Financial Services Group
Pennsylvania
$747K 42,762 +38,620 +932%
Morgan Stanley
9
Morgan Stanley
New York
$424K 24,291 +5,006 +26%
JG
10
Jefferies Group
New York
$349K 20,000 -10,000 -33%
Wells Fargo
11
Wells Fargo
California
$308K 17,631 -50 -0.3%
IT
12
Independence Trust
Tennessee
$281K 16,132 – –
FANJ
13
Financial Architects (New Jersey)
New Jersey
$276K 15,827 +2,902 +22%
KFS
14
KMS Financial Services
Washington
$271K 15,538 – –
B
15
Baird
Wisconsin
$234K 13,389 +13,389 New
Bank of America
16
Bank of America
North Carolina
$220K 12,623 -7,323 -37%
TJHA
17
Thomas J. Herzfeld Advisors
Florida
$199K 11,387 -3,600 -24%
U
18
UBS
Switzerland
$113K 6,495 -1,462 -18%
First Manhattan
19
First Manhattan
New York
$94K 5,406 – –
LTFS
20
Ladenburg Thalmann Financial Services
Florida
$92K 5,268 +2,000 +61%
YCM
21
Yakira Capital Management
Connecticut
$81K 1,311 +1,311 New
Barclays
22
Barclays
United Kingdom
$40K 2,326 +1,400 +151%
CFA
23
Carroll Financial Associates
North Carolina
$20K 1,200 – –
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$15K 867 – –
US Bancorp
25
US Bancorp
Minnesota
$3K 150 – –
1
2