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Many leading funds filed forms 13-D and 13-G (and form 4) with the SEC on Monday, including Wells Fargo & Co., Royce & Associates, and Kayne Anderson Capital Advisors, indicating that they had amended their ownership in U.S. traded public companies. The forms are required to be filed within ten days, so the institutions traded these shares sometime earlier this year.

Also, we have included, when applicable, SEC Form 4 filings by Institutions that are considered corporate insiders by virtue of their holding more than 10% ownership, and in many cases having representation on the Board of Directors. The following are the most notable filings on Tuesday and on Wednesday till around mid-day (for more info on Forms 13-D and 13-G, and how to interpret that, please refer to the end of this article):

Chimera Investment Corp. (NYSE:CIM): CIM is a REIT investing in residential mortgage-backed securities (RMBS), residential mortgage loans, and real-estate related securities. It is externally managed by Fixed Income Discount Advisory Company (FIDAC), a wholly owned-subsidiary of leading mortgage REIT (mREIT) Annaly Capital Management Inc. (NYSE:NLY). Insiders currently hold 2.0 million or 0.2% of outstanding shares. On Tuesday, Wells Fargo & Co. filed SEC Form SC 13G/A indicating that it holds a passive stake of 57.4 million or 5.6% of outstanding shares, an increase of 1.4 million shares from the 56.0 million it held at the end of Q3.

CIM is down about 30% in the past year, and currently trades at 6-7 forward P/E and 0.9 P/B compared to averages of 8.4 and 0.8 for its peers in the mREIT group. Also, its parent NLY trades at 7-8 forward P/E and 1.0 P/B compared to averages of 8.4 and 0.8 for the mREIT group.

US Gold Corp. (NYSE:UXG): UXG is engaged in the exploration and development of gold, silver and other precious metals in NV and in Mexico. On Tuesday, New York-based mutual fund company Royce & Associates, with over $27 billion in equity assets per its latest 13-F Q3 filing, filed SEC Form SC 13G indicating that it holds a passive stake of 11.71 million or 8.6% of outstanding shares, an increase of 1.36 million shares from the 10.35 million shares it held at the end of Q3. UXG does not currently generate any revenue, and is scheduled to begin production in 2014; its shares have recently almost doubled in the last three-plus weeks after falling to 52-week lows at the end of last year.

McMoRan Exploration Co. (NYSE:MMR): MMR is engaged in oil and natural gas exploration and production in offshore Gulf of Mexico and U.S. onshore Gulf Coast area. On Wednesday, Wells Fargo & Co. filed SEC Form SC 13G/A indicating that it holds a passive stake of 10.26 million or 6.4% of outstanding shares, a decrease of 0.16 million shares from the 10.42 million it held at the end of Q3. MMR currently generates losses, and it trades at 1.2 P/B and 3.6 PSR compared to averages of 1.8 and 7.5 for its peers in the U.S. oil & gas exploration & production group.

DHT Holdings Corp. (NYSE:DHT): DHT operates a fleet of double-hull crude oil tankers on international routes. On Tuesday, Los Angeles-based energy and utilities-focused Kayne Anderson Capital Advisors, with over $6.5 billion in equity assets per its latest 13-F Q3 filing, filed SEC Form SC 13G/A indicating that it hold a passive stake of 3.05 million or 4.9% of outstanding shares, a decrease of 0.97 million shares from the 4.02 million shares it held at the end of Q3. DHT has been in a free fall, down over 80% in the past year, and it trades at a steep discount 7-8 forward P/E and 0.2 P/B compared to averages of 76.4 and 1.2 for the shipping group; however, earnings have been dropping off precipitously recently from $1.18 in 2008 to 15c in 2010 to a projected 11c in 2013.

Cornithian Colleges Inc. (NASDAQ:COCO): COCO is one of the largest post-secondary education companies in North America, offering various diploma and degree programs, and operating via over 120 colleges in the U.S. and Canada. On Wednesday, Wells Fargo & Co. filed SEC Form SC 13G/A indicating that it holds a passive stake of 8.32 million or 9.8% of outstanding shares, an increase of 0.31 million shares from the 8.01 million it held at the end of Q3. COCO trades at 9-10 forward P/E and 0.4 P/B compared to averages of 16.0 and 3.2 for its peers in the school group.

Credit: Fundamental data in this article were based on SEC filings, I-Metrix® by Edgar Online®, Zacks Investment Research, Thomson Reuters and Briefing.com. The information and data is believed to be accurate, but no guarantees or representations are made.

Disclaimer: Material presented here is for informational purposes only. Nothing in this article should be taken as a solicitation to purchase or sell securities. Before buying or selling any stock you should do your own research and reach your own conclusion. Further, these are our 'opinions' and we may be wrong. We may have positions in securities mentioned in this article. You should take this into consideration before acting on any advice given in this article. If this makes you uncomfortable, then do not listen to our thoughts and opinions. The contents of this article do not take into consideration your individual investment objectives so consult with your own financial adviser before making an investment decision. Investing includes certain risks including loss of principal.

Source: Tuesday And Wednesday's Noteworthy Institutional 5% Ownership Filings