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ACI

AB CarVal Investors Portfolio holdings

AUM $35.8M
1-Year Est. Return 23.8%
This Fund
S&P 500
This Quarter Est. Return
-0.95%
1 Year Est. Return
+23.8%
3 Year Est. Return
-24.03%
5 Year Est. Return
-25.99%
10 Year Est. Return
–
AUM
$162M
AUM Growth
+$46.5M
Cap. Flow
+$50.9M
Cap. Flow %
31.52%
Top 10 Hldgs %
85.11%
Holding
21
New
8
Increased
4
Reduced
3
Closed
3

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$31.5M
2
RBS.PRN
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
+$12.1M
3
RBS.PRM
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
+$6.61M
4
XCO
Exco Resources
XCO
+$5.93M
5
RBS.PRL.CL
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
+$5.87M

Top Sells

Rank Stock Value
1
AGO icon
Assured Guaranty
AGO
+$11.1M
2
AIG.WS
American International Group, Inc.
AIG.WS
+$8.46M
3
MBI icon
MBIA
MBI
+$4.74M
4
TGS icon
Transportadora de Gas del Sur
TGS
+$346K
5
DSX icon
Diana Shipping
DSX
+$269K

Sector Composition

Rank Sector Weight
1 Financials 22.66%
2 Energy 7.56%
3 Utilities 1.27%
4 Industrials 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
State Street SPDR S&P 500 ETF Trust
SPY
$781B
$48.4M 29.97%
288,000
+188,000
+188% +$31.5M
BAC icon
2
Bank of America
BAC
$436B
$17.5M 10.82%
1,267,000
– –
DYN
3
DELISTED
Dynegy, Inc.
DYN
$15.8M 9.79%
818,627
+114,545
+16% +$2.32M
RBS.PRN
4
DELISTED
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
$12.3M 7.64%
+592,222
New +$12.1M
MBI icon
5
MBIA
MBI
$282M
$9.76M 6.04%
953,700
-376,300
-28% -$4.74M
AGO icon
6
Assured Guaranty
AGO
$3.78B
$9.37M 5.8%
499,581
-526,519
-51% -$11.1M
RBS.PRM
7
DELISTED
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
$6.78M 4.2%
+323,058
New +$6.61M
JPM.WS
8
DELISTED
JPMorgan Chase
JPM.WS
$6.36M 3.94%
379,500
+125,000
+49% +$2.1M
RBS.PRL.CL
9
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
$6.01M 3.72%
+301,797
New +$5.87M
XCO
10
DELISTED
Exco Resources
XCO
$5.16M 3.19%
+51,561
New +$5.93M
BAC.WS.A
11
DELISTED
Bank Of America Corporation Ws A
BAC.WS.A
$4.3M 2.66%
705,447
– –
BRY
12
DELISTED
BERRY PETROLEUM CO CL A
BRY
$3.68M 2.28%
+85,432
New +$3.56M
WFC.WS
13
DELISTED
Wells Fargo & Company Ws
WFC.WS
$3.63M 2.24%
258,224
– –
TGS icon
14
Transportadora de Gas del Sur
TGS
$4.59B
$3.37M 2.09%
1,592,887
-184,573
-10% -$346K
C.WS.A
15
DELISTED
Citigroup Inc
C.WS.A
$3.28M 2.03%
4,387,300
+234,300
+6% +$183K
NRG icon
16
NRG Energy
NRG
$28.8B
$2.05M 1.27%
+75,000
New +$2.03M
RBS.PRP
17
DELISTED
Royal Bank of Scotland Group Plc (The) ADR representing Pref
RBS.PRP
$2.03M 1.25%
+98,621
New +$1.99M
RBS.PRR
18
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
$1.73M 1.07%
+85,542
New +$1.71M
OSG
19
Octave Specialty Group
OSG
$258M
– –
-1
Closed –
DSX icon
20
Diana Shipping
DSX
$274M
– –
-38,333
Closed -$269K
AIG.WS
21
DELISTED
American International Group, Inc.
AIG.WS
– –
-463,935
Closed -$8.46M

Similar funds

NPGCU
Napier Park Global Capital (US) New York $35M AUM 3.58% 1-Year Est. Return
YEPV
Yorktown Energy Partners VII New York $23.4M AUM 17.42% 1-Year Est. Return
LCM
Lafitte Capital Management Austin, Texas $49.5M AUM 27.1% 1-Year Est. Return
KIP
Kayak Investment Partners San Francisco, California $52.5M AUM 39.54% 1-Year Est. Return
MIM
Mittleman Investment Management Melville, New York $17.4M AUM 36.11% 1-Year Est. Return
PL
Pluribus Labs Mill Valley, California $54.8M AUM
FF
Ford Foundation New York $16.6M AUM
BAM
Bruderman Asset Management Locust Valley, New York $55.7M AUM 4.16% 1-Year Est. Return

AB CarVal Investors's Q3 2013 Portfolio in Review

As of Q3 2013, AB CarVal Investors held 21 positions worth $162M, up 40% from $115M the previous quarter. Its ten largest holdings account for 85% of the portfolio.

AB CarVal Investors deployed $50.9M of net new capital in Q3 2013, opening 8 new positions and adding to 4 existing holdings. Its largest new stake was ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK): 592,222 shares worth $12.3M.

By sector, the portfolio is most concentrated in Financials at 23% of assets, down from 49% a quarter earlier, followed by Energy and Utilities.

On the sell side, the largest reduction was Assured Guaranty, an estimated $11.1M trimmed.

  • AB CarVal Investors's largest Q3 2013 buy was ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK): 592,222 shares worth $12.3M.
  • AB CarVal Investors added most to State Street SPDR S&P 500 ETF Trust in Q3 2013, an estimated $31.5M increase.
  • AB CarVal Investors's biggest Q3 2013 reduction was Assured Guaranty, cutting an estimated $11.1M.
  • AB CarVal Investors fully exited American International Group, Inc. in Q3 2013, selling an estimated $8.46M.
  • AB CarVal Investors's ten largest holdings make up 85% of its $162M portfolio in Q3 2013.
  • AB CarVal Investors opened 8 new positions and closed 3 in Q3 2013.
  • AB CarVal Investors's portfolio value rose 40% quarter-over-quarter to $162M.

Based on AB CarVal Investors's 13F filing for Q3 2013, filed 14 Nov 2013.