SPE

Special Opportunities Fund
SPE

Overview Fund Activity

30 hedge funds and large institutions have $77.1M invested in Special Opportunities Fund in 2014 Q1 according to their latest regulatory filings, with 9 funds opening new positions, 14 increasing their positions, 5 reducing their positions, and 4 closing their positions.

Holders
30
Holders Change
+5
Holders Change %
+20%
% of All Funds
0.87%
Holding in Top 10
2
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+100%
% of All Funds
0.06%
New
9
Increased
14
Reduced
5
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
RVP
1
Relative Value Partners
Illinois
$36.5M
2
HK
2
Horizon Kinetics
New York
$10.8M
3
CL
3
CSS LLC
Illinois
$5.73M
4
SIA
4
Sit Investment Associates
Minnesota
$2M
5
RCM
5
Rivernorth Capital Management
Florida
$1.94M

Top Sellers

1
KIM
1
Karpus Investment Management
New York
$4.56M
2
SFS
2
Shaker Financial Services
Virginia
$368K
3
PNC Financial Services Group
3
PNC Financial Services Group
Pennsylvania
$147K
4
JG
4
Jefferies Group
New York
$0
5
B
5
Baird
Wisconsin
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
RVP
1
Relative Value Partners
Illinois
$36.5M +$12.7M +784,409 +54%
HK
2
Horizon Kinetics
New York
$10.8M +$10.8M +662,628 New
CL
3
CSS LLC
Illinois
$5.73M +$4.85M +298,259 +548%
KIM
4
Karpus Investment Management
New York
$4.56M -$12.3M -759,634 -73%
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$4.39M +$1.77M +108,807 +67%
AA
6
Ancora Advisors
Ohio
$4.03M +$1.17M +71,780 +41%
SIA
7
Sit Investment Associates
Minnesota
$2M +$2M +123,135 New
RCM
8
Rivernorth Capital Management
Florida
$1.94M +$1.94M +119,119 New
Morgan Stanley
9
Morgan Stanley
New York
$1.67M +$1.28M +78,581 +323%
FIMG
10
Financial & Investment Management Group
Michigan
$973K +$973K +59,849 New
Commonwealth Equity Services
11
Commonwealth Equity Services
Massachusetts
$932K +$141K +8,672 +18%
VKH
12
Virtu KCG Holdings
New York
$529K +$529K +32,550 New
Wells Fargo
13
Wells Fargo
California
$414K +$127K +7,841 +44%
IT
14
Independence Trust
Tennessee
$411K +$149K +9,138 +57%
SFS
15
Shaker Financial Services
Virginia
$368K -$594K -36,618 -62%
NL
16
NWAM LLC
Washington
$282K +$282K +17,369 New
KFS
17
KMS Financial Services
Washington
$266K +$13.8K +852 +5%
U
18
UBS
Switzerland
$240K +$135K +8,300 +128%
TAM
19
Telluride Asset Management
Minnesota
$217K +$217K +13,338 New
FANJ
20
Financial Architects (New Jersey)
New Jersey
$207K -$49.9K -3,073 -19%
TJHA
21
Thomas J. Herzfeld Advisors
Florida
$185K – – –
PNC Financial Services Group
22
PNC Financial Services Group
Pennsylvania
$147K -$549K -33,735 -79%
First Manhattan
23
First Manhattan
New York
$99K +$11.4K +702 +13%
LTFS
24
Ladenburg Thalmann Financial Services
Florida
$89K +$3.49K +215 +4%
PCM
25
Prelude Capital Management
New York
$58K +$58K +3,570 New
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