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Innovator US Equity Ultra Buffer ETF October
UOCT

34 hedge funds and large institutions have $28.7M invested in Innovator US Equity Ultra Buffer ETF October in 2020 Q4 according to their latest regulatory filings, with 11 funds opening new positions, 8 increasing their positions, 9 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

120% more first-time investments, than exits

New positions opened: 11 | Existing positions closed: 5

17% more funds holding

Funds holding: 29 → 34 (+5)

2.47% less ownership

Funds ownership: 32.98% → 30.51% (-2.5%)

11% less capital invested

Capital invested by funds: $32.1M → $28.7M (-$3.44M)

11% less repeat investments, than reductions

Existing positions increased: 8 | Existing positions reduced: 9

100% less funds holding in top 10

Funds holding in top 10: 1 → 0 (-1)

Holders
34
Holders Change
+5
Holders Change %
+17.24%
% of All Funds
0.6%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
11
Increased
8
Reduced
9
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$1.35M
2
BBPWM
Blue Bell Private Wealth Management
Pennsylvania
+$973K
3
Citadel Advisors
Citadel Advisors
Florida
+$870K
4
AIC
Archer Investment Corporation
Indiana
+$594K
5
AWA
Arete Wealth Advisors
Illinois
+$538K

Top Sellers

1
LJAC
L.J. Altfest & Co
New York
-$11.6M
2
HighTower Advisors
HighTower Advisors
Illinois
-$5.88M
3
CPIG
Chicago Partners Investment Group
Illinois
-$634K
4
Jane Street
Jane Street
New York
-$169K
5
WCG
Weaver Consulting Group
California
-$153K
Name Holding Trade Value Shares
Change 		Change in
Stake
TWM
1
Tradition Wealth Management
Minnesota
$7.97M +$7.82M +295,674 New
Carson Wealth (CWM LLC)
2
Carson Wealth (CWM LLC)
Nebraska
$2.68M – – –
Mariner
3
Mariner
Kansas
$1.7M -$131K -4,953 -7%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$1.57M +$973K +36,779 +173%
Citadel Advisors
5
Citadel Advisors
Florida
$1.56M +$870K +32,873 +131%
BFC
6
Bedel Financial Consulting
Indiana
$1.43M – – –
Susquehanna International Group
7
Susquehanna International Group
Pennsylvania
$1.37M +$1.35M +50,879 New
LJAC
8
L.J. Altfest & Co
New York
$1.28M -$11.6M -437,780 -90%
CAN
9
Cetera Advisor Networks
California
$908K -$14.7K -555 -2%
Osaic Holdings
10
Osaic Holdings
Arizona
$904K -$93.6K -3,540 -10%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$877K +$7.94K +300 +0.9%
AIC
12
Archer Investment Corporation
Indiana
$605K +$594K +22,449 New
AWA
13
Arete Wealth Advisors
Illinois
$544K +$538K +20,325 New
Cetera Investment Advisers
14
Cetera Investment Advisers
Illinois
$472K +$464K +17,534 New
Commonwealth Equity Services
15
Commonwealth Equity Services
Massachusetts
$446K +$16K +605 +4%
LNC
16
Lincoln National Corp
Pennsylvania
$411K – – –
Wolverine Trading
17
Wolverine Trading
Illinois
$404K +$398K +15,046 New
MCC
18
Money Concepts Capital
Florida
$399K +$392K +14,805 New
LPL Financial
19
LPL Financial
California
$359K +$90.9K +3,438 +35%
AW
20
ACG Wealth
Georgia
$329K +$323K +12,200 New
MWM
21
Maltin Wealth Management
New Jersey
$320K -$135K -5,099 -30%
HighTower Advisors
22
HighTower Advisors
Illinois
$294K -$5.88M -222,196 -95%
KA
23
Kovack Advisors
Florida
$285K -$50.3K -1,902 -15%
KAS
24
Kestra Advisory Services
Texas
$279K +$274K +10,366 New
Morgan Stanley
25
Morgan Stanley
New York
$269K +$265K +10,000 New
1
2

UOCT Hedge Fund Activity: Q4 2020 in Review

34 of the 5,651 institutional investors tracked by Wall St. Rank reported a position in Innovator US Equity Ultra Buffer ETF October (UOCT) for Q4 2020, worth a combined $28.7M — down 11% from $32.1M a quarter earlier.

Buyers outnumbered sellers: 11 funds opened new UOCT positions and 5 closed out — a net gain of 6 holders — while 8 added to existing stakes and 9 trimmed.

The largest buyer was Susquehanna International Group, opening a new position worth an estimated $1.35M. The largest seller was L.J. Altfest & Co, cutting an estimated $11.6M.

  • 34 institutional investors held Innovator US Equity Ultra Buffer ETF October (UOCT) as of Q4 2020, up from 29 in Q3 2020.
  • Funds reported $28.7M of Innovator US Equity Ultra Buffer ETF October stock for Q4 2020, down 11% quarter-over-quarter.
  • 11 funds opened new Innovator US Equity Ultra Buffer ETF October positions in Q4 2020 and 5 closed out, a net change of +6 holders.
  • The largest Innovator US Equity Ultra Buffer ETF October buyer in Q4 2020 was Susquehanna International Group, an estimated $1.35M added.
  • The largest Innovator US Equity Ultra Buffer ETF October seller in Q4 2020 was L.J. Altfest & Co, an estimated $11.6M sold.

Based on aggregated 13F filings for Q4 2020.