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SuRo Capital
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Overview Fund Activity

77 hedge funds and large institutions have $87.3M invested in SuRo Capital in 2013 Q3 according to their latest regulatory filings, with 21 funds opening new positions, 27 increasing their positions, 25 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
77
Holders Change
+18
Holders Change %
+30.51%
% of All Funds
2.5%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
%
% of All Funds
0.03%
New
21
Increased
27
Reduced
25
Closed
3
Calls
$10.4M
Puts
$9.84M
Net Calls
+$553K
Net Calls Change
+$2.45M

Top Buyers

1
EIM
Essex Investment Management
Massachusetts
$13.9M
2
PG
PEAK6 Group
Illinois
$5.38M
3
Goldman Sachs
Goldman Sachs
New York
$3.09M
4
Vanguard Group
Vanguard Group
Pennsylvania
$2.42M
5
EA
Emerald Advisers
Pennsylvania
$10M

Top Sellers

1
RCM
Rivernorth Capital Management
Florida
$783K
2
CS
Credit Suisse
Switzerland
$0
3
JGC
J. Goldman & Co
New York
$0
4
CCM
Coe Capital Management
Illinois
$0
5
BA
BlackRock Advisors
Delaware
$133K
Name Holding Trade Value Shares
Change 		Shares
Change %
RCM
26
Rivernorth Capital Management
Florida
$783K -$4.69M -487,586 -86%
PMAM
27
Picton Mahoney Asset Management
Ontario, Canada
$638K +$638K +66,378 New
DCM
28
Driehaus Capital Management
Illinois
$569K +$569K +59,140 New
Balyasny Asset Management
29
Balyasny Asset Management
Illinois
$534K +$534K +55,443 New
California State Teachers Retirement System (CalSTRS)
30
California State Teachers Retirement System (CalSTRS)
California
$512K +$13.3K +1,387 +3%
Deutsche Bank
31
Deutsche Bank
Germany
$460K +$173K +18,012 +60%
TA
32
Teachers Advisors
New York
$430K -$250 -26 -0.1%
Charles Schwab
33
Charles Schwab
California
$403K – – –
LTFS
34
Ladenburg Thalmann Financial Services
Florida
$394K -$227K -23,601 -37%
RhumbLine Advisers
35
RhumbLine Advisers
Massachusetts
$389K -$2.66K -276 -0.7%
ST
36
Spot Trading
Illinois
$368K +$269K +27,959 +272%
PPA
37
Parametric Portfolio Associates
Washington
$357K -$6.06K -630 -2%
AllianceBernstein
38
AllianceBernstein
Tennessee
$352K -$72.3K -7,508 -17%
PCM
39
Prelude Capital Management
New York
$296K -$620K -64,531 -68%
Royal Bank of Canada
40
Royal Bank of Canada
Ontario, Canada
$294K +$5.06K +524 +2%
AIG
41
American International Group
New York
$259K -$60.6K -6,295 -19%
FM
42
Forward Management
California
$252K +$163K +16,941 +183%
MLICM
43
Metropolitan Life Insurance Company (MetLife)
New York
$251K +$251K +26,035 New
RGC
44
Roberts, Glore & Co
Illinois
$247K +$247K +25,720 New
PTC
45
Philadelphia Trust Company
Pennsylvania
$243K +$243K +25,258 New
Bank of America
46
Bank of America
North Carolina
$241K +$149K +15,479 +162%
Invesco
47
Invesco
Georgia
$240K +$240K +24,930 New
NFA
48
Nationwide Fund Advisors
Ohio
$228K +$6.85K +712 +3%
Envestnet Asset Management
49
Envestnet Asset Management
Illinois
$225K -$36.8K -3,830 -14%
PP
50
PDT Partners
New York
$215K +$215K +22,344 New
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