CC NEUBERGER PRINCIPAL HLDNG (PCPL)
Institutional ownership reported to the SEC as of Q4 2020, across 3 quarters.
66
Reporting holders
$363.6M
Reported value
3.4%
Held as options
+19
Holder change
Options share is the part of reported value carried in derivative lines rather than shares. A high figure means institutions are expressing a view on this security without owning much of it.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| Alyeska Investment Group, L.P. | $50.6M | 4,668,639 | 0.71% | 2q | +9.0%+$4.2M |
| MILLENNIUM MANAGEMENT LLC | $32.2M | 1,945,794 | 0.02% | 3q | -9.5%-$3.4M |
| Alpine Global Management, LLC | $29.9M | 2,758,234 | 6.06% | new | NEW |
| LH Capital Markets, LLC | $20.1M | 1,850,000 | 1.61% | new | NEW |
| Kepos Capital LP | $18.1M | 1,671,200 | 0.82% | 2q | +104.9%+$9.3M |
| Westchester Capital Management, LLC | $14.0M | 1,295,961 | 0.46% | 2q | +477.3%+$11.6M |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | $12.5M | 1,157,337 | 0.01% | new | NEW |
| BlueCrest Capital Management Ltd | $12.5M | 1,150,000 | 0.28% | 3q | HELD |
| GLAZER CAPITAL, LLC | $11.7M | 1,075,183 | 0.42% | 3q | +160.7%+$7.2M |
| Davidson Kempner Capital Management LP | $11.5M | 1,064,383 | 0.14% | 2q | -15.1%-$2.0M |
| Magnetar Financial LLC | $11.3M | 1,044,237 | 0.16% | new | NEW |
| Empyrean Capital Partners, LP | $10.8M | 1,000,000 | 0.36% | new | NEW |
| Castle Creek Arbitrage, LLC | $10.7M | 987,568 | 0.65% | 2q | +263.7%+$7.8M |
| SYCOMORE ASSET MANAGEMENT | $10.4M | 962,585 | 2.18% | new | NEW |
| Altai Capital Management, L.P. | $10.4M | 957,800 | 13.89% | new | NEW |
| ADAGE CAPITAL PARTNERS GP, L.L.C. | $9.2M | 850,000 | 0.02% | new | NEW |
| Maven Securities LTD | $7.9M | 721,750 | 0.79% | new | NEW |
| TIG Advisors, LLC | $6.1M | 564,438 | 0.31% | 2q | -34.1%-$3.2M |
| HBK INVESTMENTS L P | $6.0M | 550,000 | 0.04% | 3q | -21.7%-$1.7M |
| EJF Capital LLC | $5.5M | 504,959 | 0.55% | new | NEW |
| Northern Right Capital Management, L.P. | $4.9M | 449,999 | 1.76% | new | NEW |
| PUTNAM INVESTMENTS LLC | $3.9M | 357,844 | 0.01% | new | NEW |
| OMNI PARTNERS LLP | $3.7M | 341,252 | 0.22% | new | NEW |
| Fort Baker Capital Management LP | $3.3M | 317,510 | 1.27% | new | NEW |
| UBS OCONNOR LLC | $3.3M | 182,499 | 0.07% | 2q | -88.2%-$24.4M |
| FNY Investment Advisers, LLC | $3.1M | 287,000 | 0.85% | 2q | +3256.7%+$3.0M |
| BARDIN HILL MANAGEMENT PARTNERS LP | $3.1M | 283,033 | 0.64% | new | NEW |
| Governors Lane LP | $2.6M | 239,675 | 0.22% | 2q | -68.0%-$5.5M |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | $2.6M | 238,335 | 0.15% | 2q | -20.6%-$668.5K |
| Beryl Capital Management LLC | $2.5M | 231,318 | 0.40% | 2q | +285.5%+$1.9M |
| Shay Capital LLC | $2.2M | 207,500 | 0.49% | new | FIRST |
| ROYCE & ASSOCIATES LP | $2.0M | 184,200 | 0.02% | new | NEW |
| INHERENT GROUP, LP | $1.9M | 174,939 | 0.41% | new | NEW |
| HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND | $1.6M | 149,998 | 0.00% | 2q | HELD |
| ARISTEIA CAPITAL LLC | $1.6M | 147,453 | 0.04% | 2q | +61.0%+$605.3K |
| GAGNON SECURITIES LLC | $1.5M | 141,702 | 0.24% | new | NEW |
| Monashee Investment Management LLC | $1.4M | 124,997 | 0.18% | 3q | -28.6%-$542.0K |
| Walleye Capital LLC | $1.3M | 134,918 | 0.09% | 2q | +53.5%+$469.2K |
| WOLVERINE ASSET MANAGEMENT LLC | $1.2M | 113,075 | 0.01% | 2q | +582.7%+$1.0M |
| OMERS ADMINISTRATION Corp | $1.1M | 99,999 | 0.02% | new | NEW |
| Jefferies Group LLC | $1.1M | 100,000 | 0.01% | 3q | +100.0%+$542.0K |
| Lombard Odier Asset Management (USA) Corp | $1.1M | 100,000 | 0.05% | new | NEW |
| J. Goldman & Co LP | $1.0M | 84,824 | 0.05% | new | NEW |
| Gagnon Advisors, LLC | $1.0M | 94,007 | 0.46% | new | NEW |
| COASTAL INVESTMENT MANAGEMENT, L.P. | $964.0K | 88,900 | 1.78% | new | NEW |
| GOLDMAN SACHS GROUP INC | $945.0K | 87,188 | 0.00% | 2q | -47.1%-$842.5K |
| Sage Rock Capital Management LP | $927.0K | 85,500 | 0.15% | new | NEW |
| HRT FINANCIAL LP | $839.0K | 77,429 | 0.02% | new | NEW |
| WATER ISLAND CAPITAL LLC | $709.0K | 75,005 | 0.05% | 3q | -40.8%-$488.3K |
| DELTEC ASSET MANAGEMENT LLC | $542.0K | 50,000 | 0.08% | 3q | -49.9%-$540.9K |
| BLUEFIN CAPITAL MANAGEMENT, LLC | $541.0K | 49,867 | 0.03% | new | NEW |
| CITIGROUP INC | $538.0K | 49,653 | 0.00% | new | NEW |
| Virtu Financial LLC | $464.0K | 42,768 | 0.05% | new | NEW |
| Weiss Asset Management LP | $411.0K | 37,940 | 0.02% | new | NEW |
| HGC Investment Management Inc. | $388.0K | 35,717 | 0.04% | 3q | -98.0%-$18.8M |
| RAYMOND JAMES & ASSOCIATES | $367.0K | 33,897 | 0.00% | 2q | +9.3%+$31.4K |
| COWEN AND COMPANY, LLC | $293.0K | 27,000 | 0.03% | new | NEW |
| MORGAN STANLEY | $284.0K | 26,271 | 0.00% | new | NEW |
| Qube Research & Technologies Ltd | $233.0K | 21,526 | 0.00% | new | NEW |
| One68 Global Capital, LLC | $183.0K | 16,877 | 0.37% | new | NEW |
| Penserra Capital Management LLC | $176.0K | 16,275 | 0.00% | new | NEW |
| Squarepoint Ops LLC | $134.0K | 12,344 | 0.00% | new | NEW |
| Berman Capital Advisors, LLC | $54.0K | 5,000 | 0.01% | new | NEW |
| WELLS FARGO & COMPANY/MN | $11.0K | 1,000 | 0.00% | new | NEW |
| Russell Investments Group, Ltd. | $8.0K | 769 | 0.00% | 2q | -81.9%-$36.1K |
| HOWE & RUSLING INC | $3.0K | 294 | 0.00% | new | NEW |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q4 2020 | 66 | $363.6M | 32,407,365 | 38 | 12 | 13 | 3.4% |
| Q3 2020 | 47 | $264.7M | 25,368,092 | 26 | 5 | 7 | 0.4% |
| Q2 2020 | 23 | $146.8M | 14,501,280 | 23 | 0 | 0 | 0.5% |