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Balestra Capital Portfolio holdings

AUM $42.5M
This Fund
S&P 500
This Quarter Est. Return
-4.9%
1 Year Est. Return
–
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$75.5M
AUM Growth
-$542M
Cap. Flow
-$539M
Cap. Flow %
-713.67%
Top 10 Hldgs %
75.41%
Holding
23
New
4
Increased
1
Reduced
10
Closed
5

Top Buys

Rank Stock Value
1
NXPI icon
NXP Semiconductors
NXPI
+$5.28M
2
SNDK
SANDISK CORP
SNDK
+$5.1M
3
OCSI
Oaktree Strategic Income Corporation
OCSI
+$4.93M
4
UPL
Ultra Petroleum Corp. Common Stock
UPL
+$3.89M
5
BKCC
BlackRock Capital Investment Corporation
BKCC
+$995K

Top Sells

Rank Stock Value
1
MFIC icon
MidCap Financial Investment
MFIC
+$14M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$11.3M
3
EBAY icon
eBay
EBAY
+$9.76M
4
YHOO
Yahoo Inc
YHOO
+$7.48M
5
BA icon
Boeing
BA
+$7.32M

Sector Composition

Rank Sector Weight
1 Financials 28.56%
2 Communication Services 23.68%
3 Industrials 19.59%
4 Technology 7.19%
5 Energy 4.48%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MFIC icon
1
MidCap Financial Investment
MFIC
$784M
$9.4M 12.44%
383,446
-541,531
-59% -$14M
OCSL icon
2
Oaktree Specialty Lending
OCSL
$1.03B
$8.57M 11.35%
311,335
-385,278
-55% -$11.3M
NXPI icon
3
NXP Semiconductors
NXPI
$68B
$5.43M 7.19%
+79,365
New +$5.28M
GE icon
4
GE Aerospace
GE
$367B
$5.16M 6.84%
42,062
-48,956
-54% -$6.1M
SNDK
5
DELISTED
SANDISK CORP
SNDK
$5.11M 6.76%
+52,133
New +$5.1M
AER icon
6
AerCap
AER
$23.9B
$4.99M 6.6%
121,900
-47,324
-28% -$2.15M
BA icon
7
Boeing
BA
$165B
$4.65M 6.16%
36,509
-58,143
-61% -$7.32M
TFCFA
8
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$4.58M 6.06%
133,550
-158,550
-54% -$5.48M
CMCSA icon
9
Comcast
CMCSA
$79.1B
$4.57M 6.05%
170,000
-230,000
-58% -$6.3M
OCSI
10
DELISTED
Oaktree Strategic Income Corporation
OCSI
$4.5M 5.96%
+380,948
New +$4.93M
GOOG icon
11
Alphabet (Google) Class C
GOOG
$3.9T
$4.4M 5.83%
152,919
-152,918
-50% -$4.42M
PARA
12
DELISTED
Paramount Global Class B
PARA
$4.34M 5.74%
81,097
-64,603
-44% -$3.81M
UPL
13
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$3.6M 4.77%
+155,000
New +$3.89M
YHOO
14
DELISTED
Yahoo Inc
YHOO
$3.18M 4.21%
78,000
-199,411
-72% -$7.48M
BKCC
15
DELISTED
BlackRock Capital Investment Corporation
BKCC
$2.33M 3.09%
272,910
+110,107
+68% +$995K
GLD icon
16
SPDR Gold Trust
GLD
$131B
$291K 0.39%
2,500
– –
VYM icon
17
Vanguard High Dividend Yield ETF
VYM
$81.1B
$226K 0.3%
3,400
– –
CVX icon
18
Chevron
CVX
$388B
$203K 0.27%
1,700
– –
EBAY icon
19
eBay
EBAY
$48.6B
– –
-463,320
Closed -$9.76M
IWM icon
20
CALL
iShares Russell 2000 ETF
IWM
$80.9B
– –
-540,000
Closed -$63.9M
SPY icon
21
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$778B
– –
-1,000,000
Closed -$196M
SPY icon
22
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$778B
– –
-1,100,000
Closed -$215M
VLO icon
23
Valero Energy
VLO
$89.8B
– –
-125,000
Closed -$6.26M

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OCM
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SGC
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LC
Lakeshore Capital Birmingham, Alabama $45.6M AUM 21% 1-Year Est. Return
RCI
RRJ Capital II Grand Cayman, Cayman Islands $38.8M AUM 0.84% 1-Year Est. Return
CGL
Column Group LP San Francisco, California $38.6M AUM 30.92% 1-Year Est. Return
PTC
Peak Ten Capital New York $46.5M AUM 5.8% 1-Year Est. Return
AWS
Aris Wealth Services State College, Pennsylvania $47.7M AUM 10.11% 1-Year Est. Return
RCM
Royal Capital Management New York $37.2M AUM 3.86% 1-Year Est. Return

Balestra Capital's Q3 2014 Portfolio in Review

As of Q3 2014, Balestra Capital held 23 positions worth $75.5M, down 88% from $617M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Balestra Capital withdrew a net $539M in Q3 2014, closing 5 positions and reducing 10 holdings. Its most notable exit was eBay, an estimated $9.76M position sold in full.

By sector, the portfolio is most concentrated in Financials at 29% of assets, up from 7.2% a quarter earlier, followed by Communication Services and Industrials.

Against the trend, Balestra Capital opened a new position in NXP Semiconductors worth $5.43M.

  • Balestra Capital's largest Q3 2014 buy was NXP Semiconductors: 79,365 shares worth $5.43M.
  • Balestra Capital added most to BlackRock Capital Investment Corporation in Q3 2014, an estimated $995K increase.
  • Balestra Capital's biggest Q3 2014 reduction was MidCap Financial Investment, cutting an estimated $14M.
  • Balestra Capital fully exited eBay in Q3 2014, selling an estimated $9.76M.
  • Balestra Capital's ten largest holdings make up 75% of its $75.5M portfolio in Q3 2014.
  • Balestra Capital opened 4 new positions and closed 5 in Q3 2014.
  • Balestra Capital's portfolio value fell 88% quarter-over-quarter to $75.5M.

Based on Balestra Capital's 13F filing for Q3 2014, filed 12 Nov 2014.