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

Top Sellers

1
Northern Trust
1
Northern Trust
Illinois
$0
2
Deutsche Bank
2
Deutsche Bank
Germany
$1.31M
3
Susquehanna International Group
3
Susquehanna International Group
Pennsylvania
$2.41M
4
PP
4
Paloma Partners
Connecticut
$0
5
CCM
5
Coe Capital Management
Illinois
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
EA
1
Emerald Advisers
Pennsylvania
$5.85M -$101K -15,498 -2%
Wellington Management Group
2
Wellington Management Group
Massachusetts
$3.9M -$298K -45,841 -7%
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$2.78M -$6.01K -924 -0.2%
EIM
4
Essex Investment Management
Massachusetts
$2.74M +$408K +62,762 +18%
PPA
5
Parametric Portfolio Associates
Washington
$2.68M +$2.48M +381,854 +1,229%
RCM
6
Rivernorth Capital Management
Florida
$2.49M +$926K +142,551 +59%
Susquehanna International Group
7
Susquehanna International Group
Pennsylvania
$2.41M -$1.18M -180,887 -33%
William Blair & Company
8
William Blair & Company
Illinois
$2.29M -$20K -3,080 -0.9%
Morgan Stanley
9
Morgan Stanley
New York
$2.25M +$227K +34,955 +11%
NIM
10
Needham Investment Management
New York
$2M – – –
EMFAT
11
Emerald Mutual Fund Advisers Trust
Pennsylvania
$1.55M – – –
Deutsche Bank
12
Deutsche Bank
Germany
$1.31M -$1.21M -185,747 -48%
JGUA
13
John G. Ullman & Associates
New York
$1.02M -$35K -5,390 -3%
BG
14
BlackRock Group
United Kingdom
$1.01M -$161K -24,741 -14%
Wells Fargo
15
Wells Fargo
California
$857K -$109K -16,759 -11%
PCM
16
Perkins Capital Management
Minnesota
$689K – – –
Alyeska Investment Group
17
Alyeska Investment Group
Illinois
$673K -$31.8K -4,899 -5%
Millennium Management
18
Millennium Management
New York
$665K +$237K +36,413 +55%
Group One Trading
19
Group One Trading
Illinois
$595K -$275K -42,400 -32%
Bank of America
20
Bank of America
North Carolina
$594K -$171K -26,371 -22%
LTFS
21
Ladenburg Thalmann Financial Services
Florida
$543K +$51.3K +7,893 +10%
Ameriprise
22
Ameriprise
Minnesota
$490K – – –
PG
23
PEAK6 Group
Illinois
$448K +$153K +23,568 +52%
PTC
24
Philadelphia Trust Company
Pennsylvania
$438K -$248K -38,118 -36%
Commonwealth Equity Services
25
Commonwealth Equity Services
Massachusetts
$414K +$126K +19,459 +44%
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