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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 %
WS
51
Wedbush Securities
California
$193K -$3.35K -347 -2%
Millennium Management
52
Millennium Management
New York
$185K -$40.8K -4,229 -18%
ProShare Advisors
53
ProShare Advisors
Maryland
$182K -$2.89K -300 -2%
Cambridge Investment Research Advisors
54
Cambridge Investment Research Advisors
Iowa
$176K -$296K -30,793 -63%
JPMorgan Chase & Co
55
JPMorgan Chase & Co
New York
$164K +$164K +17,047 New
GC
56
Guggenheim Capital
Illinois
$149K +$149K +15,543 New
FNYS
57
First New York Securities
New York
$148K +$104K +10,781 +233%
PCA
58
Private Capital Advisors
Connecticut
$148K +$148K +15,401 New
WSCM
59
Wellington Shields Capital Management
New York
$148K +$148K +15,401 New
BA
60
BlackRock Advisors
Delaware
$133K -$670K -69,535 -83%
RNS
61
Robert N. Shapiro
$119K +$119K +12,338 New
RFC
62
Russell Frank Company
Washington
$83K +$81.2K +8,409 +4,403%
Citadel Advisors
63
Citadel Advisors
Florida
$79K -$43.7K -4,560 -36%
Citigroup
64
Citigroup
New York
$59K -$70.6K -7,359 -54%
TRCT
65
Tower Research Capital (TRC)
New York
$52K +$52K +5,440 New
SO
66
STRS Ohio
Ohio
$33K +$33K +3,388 New
Walleye Trading
67
Walleye Trading
New York
$23K -$40.9K -4,320 -64%
BlackRock
68
BlackRock
New York
$15K +$6.33K +639 +73%
California Public Employees Retirement System
69
California Public Employees Retirement System
California
$13K – – –
Bank of Montreal
70
Bank of Montreal
Ontario, Canada
$10K +$10K +1,078 New
NES
71
New England Securities
New York
$7K +$7K +732 New
PNC Financial Services Group
72
PNC Financial Services Group
Pennsylvania
$6K – – –
MTIP
73
Magee Thomson Investment Partners
California
$6K +$6K +650 New
Barclays
74
Barclays
United Kingdom
$4K -$5.98K -601 -60%
CFS
75
Community Financial System
New York
$4K – – –
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3
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