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SPE

Special Opportunities Fund

27 hedge funds and large institutions have $79.4M invested in Special Opportunities Fund in 2014 Q2 according to their latest regulatory filings, with 2 funds opening new positions, 9 increasing their positions, 6 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

50% more repeat investments, than reductions

Existing positions increased: 9 | Existing positions reduced: 6

3% more capital invested

Capital invested by funds: $77M → $79.4M (+$2.37M)

0.19% more ownership

Funds ownership: 63.39%63.58% (+0.19%)

0% more funds holding in top 10

Funds holding in top 10: 22 (0)

10% less funds holding

Funds holding: 3027 (-3)

60% less first-time investments, than exits

New positions opened: 2 | Existing positions closed: 5

Holders
27
Holders Change
-3
Holders Change %
-10%
% of All Funds
0.78%
Holding in Top 10
2
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.06%
New
2
Increased
9
Reduced
6
Closed
5
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
RVP
1
Relative Value Partners
Illinois
$39.8M +$2.25M +143,824 +6%
HK
2
Horizon Kinetics
New York
$11.4M +$371K +23,746 +3%
AA
3
Ancora Advisors
Ohio
$5.96M +$1.79M +114,385 +44%
CL
4
CSS LLC
Illinois
$5.07M -$801K -51,240 -14%
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$4.88M +$363K +23,257 +8%
SFS
6
Shaker Financial Services
Virginia
$2.07M +$1.66M +106,210 +448%
SIA
7
Sit Investment Associates
Minnesota
$2.06M
Morgan Stanley
8
Morgan Stanley
New York
$1.99M +$270K +17,276 +16%
RCM
9
Rivernorth Capital Management
Florida
$1.99M
Commonwealth Equity Services
10
Commonwealth Equity Services
Massachusetts
$1.01M +$47.5K +3,042 +5%
FIMG
11
Financial & Investment Management Group
Michigan
$994K -$5.11K -327 -0.5%
IT
12
Independence Trust
Tennessee
$422K
Wells Fargo
13
Wells Fargo
California
$404K -$21.4K -1,368 -5%
NL
14
NWAM LLC
Washington
$290K
U
15
UBS
Switzerland
$247K
TJHA
16
Thomas J. Herzfeld Advisors
Florida
$190K
FANJ
17
Financial Architects (New Jersey)
New Jersey
$153K -$58.9K -3,769 -28%
First Manhattan
18
First Manhattan
New York
$143K +$40.9K +2,617 +41%
LTFS
19
Ladenburg Thalmann Financial Services
Florida
$82K -$9.6K -614 -11%
PNC Financial Services Group
20
PNC Financial Services Group
Pennsylvania
$70K -$79.9K -5,113 -54%
PCM
21
Prelude Capital Management
New York
$60K
Bank of America
22
Bank of America
North Carolina
$45K +$16 +1 +0%
PMFA
23
Plante Moran Financial Advisors
Michigan
$31K +$29.9K +1,913 New
CFA
24
Carroll Financial Associates
North Carolina
$20K
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$16K

SPE Hedge Fund Activity: Q2 2014 in Review

27 of the 3,479 institutional investors tracked by Wall St. Rank reported a position in Special Opportunities Fund (SPE) for Q2 2014, worth a combined $79.4M — up 3.1% from $77M a quarter earlier.

Sellers outnumbered buyers: 5 funds closed out of SPE and 2 opened new positions — a net loss of 3 holders — while 6 trimmed existing stakes and 9 added.

The largest buyer was Relative Value Partners, adding an estimated $2.25M. The largest seller was Karpus Investment Management, exiting entirely with an estimated $4.56M sold.

  • 27 institutional investors held Special Opportunities Fund (SPE) as of Q2 2014, down from 30 in Q1 2014.
  • Funds reported $79.4M of Special Opportunities Fund stock for Q2 2014, up 3.1% quarter-over-quarter.
  • 2 funds opened new Special Opportunities Fund positions in Q2 2014 and 5 closed out, a net change of -3 holders.
  • The largest Special Opportunities Fund buyer in Q2 2014 was Relative Value Partners, an estimated $2.25M added.
  • The largest Special Opportunities Fund seller in Q2 2014 was Karpus Investment Management, an estimated $4.56M sold.

Based on aggregated 13F filings for Q2 2014.