CC NEUBERGER PRINCIPAL HLDNG (PCPLWS)
Institutional ownership reported to the SEC as of Q4 2020, across 3 quarters.
34
Reporting holders
$16.5M
Reported value
3.0%
Calls
0.0%
Puts
-2
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 |
|---|---|---|---|---|---|
| Altai Capital Management, L.P. | $4.2M | 1,774,623 | 5.58% | new | NEW |
| Kepos Capital LP | $2.5M | 1,058,710 | 0.11% | 3q | -10.2%-$283.5K |
| Magnetar Financial LLC | $1.4M | 610,549 | 0.02% | new | NEW |
| Davidson Kempner Capital Management LP | $982.0K | 417,715 | 0.01% | 2q | HELD |
| EJF Capital LLC | $977.0K | 415,780 | 0.10% | new | NEW |
| Blackstone Group Inc. | $783.0K | 333,333 | 0.00% | new | NEW |
| GLAZER CAPITAL, LLC | $646.0K | 275,002 | 0.02% | 3q | +720.7%+$567.3K |
| Jefferies Group LLC | $531.5K | 226,158 | 0.00% | 2q | +263.0%+$385.1K |
| Balyasny Asset Management LLC | $470.0K | 200,000 | 0.00% | new | NEW |
| Maven Securities LTD | $470.0K | 200,000 | 0.05% | new | NEW |
| CNH PARTNERS LLC | $392.0K | 166,666 | 0.01% | 3q | HELD |
| Governors Lane LP | $353.0K | 150,000 | 0.03% | 2q | -40.0%-$235.3K |
| HGC Investment Management Inc. | $291.0K | 123,532 | 0.03% | 3q | HELD |
| HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND | $274.0K | 116,666 | 0.00% | 2q | HELD |
| Radcliffe Capital Management, L.P. | $255.0K | options only | 0.02% | 2q | OPTIONS |
| HBK INVESTMENTS L P | $235.0K | options only | 0.00% | 3q | OPTIONS |
| Myriad Asset Management Ltd. | $215.0K | 91,295 | 0.04% | 2q | HELD |
| MOORE CAPITAL MANAGEMENT, LP | $196.0K | 83,333 | 0.00% | 3q | HELD |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | $187.0K | 79,445 | 0.01% | 2q | -20.6%-$48.4K |
| PICTON MAHONEY ASSET MANAGEMENT | $177.0K | 74,999 | 0.01% | new | NEW |
| Monashee Investment Management LLC | $176.0K | 74,999 | 0.02% | 3q | HELD |
| DUPONT CAPITAL MANAGEMENT CORP | $157.0K | 66,666 | 0.00% | 3q | HELD |
| MMCAP International Inc. SPC | $81.0K | 34,266 | 0.02% | 2q | HELD |
| OMERS ADMINISTRATION Corp | $78.0K | 33,333 | 0.00% | new | NEW |
| HRT FINANCIAL LP | $78.0K | 33,261 | 0.00% | 2q | HELD |
| Alpine Global Management, LLC | $78.0K | 33,333 | 0.02% | 3q | -71.0%-$191.1K |
| LEVIN EASTERLY PARTNERS LLC | $78.0K | 33,333 | 0.01% | 3q | HELD |
| Walleye Capital LLC | $57.0K | 24,353 | 0.00% | 2q | -15.6%-$10.5K |
| Westchester Capital Management, LLC | $52.0K | 22,113 | 0.00% | 2q | -72.3%-$135.7K |
| Virtu Financial LLC | $49.0K | 21,052 | 0.01% | new | NEW |
| LEVIN CAPITAL STRATEGIES, L.P. | $47.0K | 20,000 | 0.01% | new | NEW |
| Walleye Trading LLC | $37.0K | 15,647 | 0.00% | 2q | -11.3%-$4.7K |
| Castle Creek Arbitrage, LLC | $31.0K | 13,243 | 0.00% | 2q | -96.1%-$757.9K |
| Sugarloaf Wealth Management, LLC | $1.0K | 400 | 0.00% | 2q | HELD |
| Mint Tower Capital Management B.V. | $1.0K | 33,332? | 0.00% | 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 | 34 | $16.5M | 6,823,805 | 10 | 2 | 8 | 3.0% |
| Q3 2020 | 36 | $19.4M | 5,655,030 | 21 | 2 | 3 | 47.6% |
| Q2 2020 | 18 | $11.4M | 3,797,132 | 18 | 0 | 0 | 51.6% |