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SuRo Capital
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Overview Fund Activity

60 hedge funds and large institutions have $44M invested in SuRo Capital in 2014 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 17 increasing their positions, 24 reducing their positions, and 18 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
60
Holders Change
-14
Holders Change %
-18.92%
% of All Funds
1.74%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
4
Increased
17
Reduced
24
Closed
18
Calls
$6.93M
Puts
$6.68M
Net Calls
+$257K
Net Calls Change
+$2.83M

Top Buyers

1
PPA
Parametric Portfolio Associates
Washington
$2.68M
2
RCM
Rivernorth Capital Management
Florida
$2.49M
3
EIM
Essex Investment Management
Massachusetts
$2.74M
4
Millennium Management
Millennium Management
New York
$665K
5
Morgan Stanley
Morgan Stanley
New York
$2.25M

Top Sellers

1
Northern Trust
Northern Trust
Illinois
$0
2
Deutsche Bank
Deutsche Bank
Germany
$1.31M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$2.41M
4
PP
Paloma Partners
Connecticut
$0
5
CCM
Coe Capital Management
Illinois
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
PCM
26
Prelude Capital Management
New York
$400K -$414K -63,686 -51%
DP
27
Dearborn Partners
Illinois
$366K – – –
MCM
28
McGlinn Capital Management
Pennsylvania
$350K -$30K -4,621 -8%
Barclays
29
Barclays
United Kingdom
$349K +$55.3K +8,519 +19%
U
30
UBS
Switzerland
$252K +$27.9K +4,288 +12%
Goldman Sachs
31
Goldman Sachs
New York
$242K +$9.15K +1,406 +4%
DCM
32
Driehaus Capital Management
Illinois
$220K +$220K +33,882 New
WS
33
Wedbush Securities
California
$178K -$15.1K -2,324 -8%
Cambridge Investment Research Advisors
34
Cambridge Investment Research Advisors
Iowa
$160K -$23.4K -3,600 -13%
CS
35
Credit Suisse
Switzerland
$159K -$234K -35,898 -60%
RGC
36
Roberts, Glore & Co
Illinois
$144K – – –
Envestnet Asset Management
37
Envestnet Asset Management
Illinois
$103K +$5.46K +837 +6%
Invesco
38
Invesco
Georgia
$99K -$66K -10,171 -40%
Walleye Trading
39
Walleye Trading
New York
$61K +$50.7K +7,747 +491%
AIG
40
American International Group
New York
$44.6K +$19K +2,918 +74%
RNS
41
Robert N. Shapiro
$37K +$12.8K +1,955 +53%
Citadel Advisors
42
Citadel Advisors
Florida
$33K -$70.5K -10,998 -68%
NFG
43
Next Financial Group
Texas
$23K +$23K +3,481 New
US Bancorp
44
US Bancorp
Minnesota
$20K – – –
EWM
45
Edge Wealth Management
New York
$17K -$8.5K -1,329 -33%
BBPWM
46
Blue Bell Private Wealth Management
Pennsylvania
$17K – – –
TRCT
47
Tower Research Capital (TRC)
New York
$13K +$9.19K +1,451 +241%
Citigroup
48
Citigroup
New York
$7K +$2.59K +362 +59%
BRWM
49
B. Riley Wealth Management
Tennessee
$5K +$5K +770 New
PNC Financial Services Group
50
PNC Financial Services Group
Pennsylvania
$4K – – –
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2
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