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%
Calls
0.0%
Puts
+19
Holder change
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
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% |