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Capstone Asset Management Portfolio holdings

AUM $3.6B
1-Year Est. Return 20.21%
This Fund
S&P 500
This Quarter Est. Return
+9.12%
1 Year Est. Return
+20.21%
3 Year Est. Return
+29.95%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$3.44B
AUM Growth
-$706M
Cap. Flow
-$1.01B
Cap. Flow %
-29.33%
Top 10 Hldgs %
10.09%
Holding
2,086
New
80
Increased
306
Reduced
1,469
Closed
214

Top Buys

Rank Stock Value
1
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$29.2M
2
NVO
Novo Nordisk
NVO
+$7.09M
3
CERN
Cerner Corp
CERN
+$4.51M
4
NBL
Noble Energy, Inc.
NBL
+$4.17M
5
RDS.B
Royal Dutch Shell PLC ADS Class B
RDS.B
+$4.16M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$28.8M
2
XOM icon
ExxonMobil
XOM
+$23.1M
3
JPM icon
JPMorgan Chase
JPM
+$17.9M
4
MSFT icon
Microsoft
MSFT
+$15.7M
5
GOOG icon
Alphabet (Google) Class C
GOOG
+$15.4M

Sector Composition

Rank Sector Weight
1 Financials 14.34%
2 Technology 12.58%
3 Industrials 10.53%
4 Healthcare 10.12%
5 Energy 10.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBG
1826
DELISTED
NATIONAL BANK OF GREECE SA ADR REPSTG 1 SHARE (NEW)
NBG
$58K ﹤0.01%
+10,268
New +$57.5K
BTM
1827
DELISTED
OI S.A. SPON ADR REPSTG 3 PFD SHS (BRA)
BTM
$57K ﹤0.01%
35,764
+3,650
+11% +$5.82K
NVAX icon
1828
Novavax
NVAX
$1.23B
$53K ﹤0.01%
515
-141
-21% -$9.96K
HK
1829
DELISTED
Halcon Resources Corporation
HK
$51K ﹤0.01%
76
– –
RBBN icon
1830
Ribbon Communications
RBBN
$359M
$45K ﹤0.01%
2,830
-2,118
-43% -$32.7K
VTG
1831
DELISTED
VANTAGE DRILLING COMPANY ORD SHS (KY)
VTG
$41K ﹤0.01%
22,272
– –
LXRX icon
1832
Lexicon Pharmaceuticals
LXRX
$991M
$39K ﹤0.01%
3,072
-312
-9% -$4.96K
AVNR
1833
DELISTED
AVANIR PHARMACEUTICALS, INC CL A
AVNR
$34K ﹤0.01%
10,091
-5,540
-35% -$22.9K
QMCO icon
1834
Quantum Corp
QMCO
$432M
$33K ﹤0.01%
172
– –
PCO
1835
DELISTED
Pendrell Corporation - Class A
PCO
$33K ﹤0.01%
16
-2
-11% -$4.12K
DVAX
1836
DELISTED
Dynavax Technologies
DVAX
$32K ﹤0.01%
1,629
-412
-20% -$6.03K
NIHD
1837
DELISTED
NII HOLDINGS INC CL B
NIHD
$32K ﹤0.01%
11,675
-8,139
-41% -$30K
WTSL
1838
DELISTED
WET SEAL INC CL-A
WTSL
$29K ﹤0.01%
10,464
– –
DVR
1839
DELISTED
CAL DIVE INTERNATIONAL INC COM
DVR
$23K ﹤0.01%
11,588
+43
+0.4% +$83
NAVB
1840
DELISTED
Navidea Biopharmaceuticals Inc.
NAVB
$22K ﹤0.01%
532
-16
-3% -$626
BPZ
1841
DELISTED
BPZ RESOURCES INC COM STK
BPZ
$21K ﹤0.01%
11,804
+33
+0.3% +$66
STSI
1842
DELISTED
STAR SCIENTIFIC INC
STSI
$19K ﹤0.01%
16,738
– –
PZG icon
1843
Paramount Gold Nevada
PZG
$96.1M
$13K ﹤0.01%
14,397
– –
MDW
1844
DELISTED
MIDWAY GOLD CORP (CANADA)
MDW
$12K ﹤0.01%
13,943
– –
SWSH
1845
DELISTED
SWISHER HYGIENE INC COM STK NEW (DE)
SWSH
$6K ﹤0.01%
1,158
– –
ACCO icon
1846
Acco Brands
ACCO
$381M
– –
-12,873
Closed -$85K
ADTN icon
1847
Adtran
ADTN
$769M
– –
-10,052
Closed -$268K
AL
1848
DELISTED
Air Lease Corp
AL
– –
-8,442
Closed -$234K
ALNY icon
1849
Alnylam Pharmaceuticals
ALNY
$37.2B
– –
-5,351
Closed -$343K
AU icon
1850
AngloGold Ashanti
AU
$40.7B
– –
-41,157
Closed -$547K
72 73
74
75 76

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DL
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RBC
Ronald Blue & Co Roswell, Georgia $3.1B AUM 12.82% 1-Year Est. Return
TCM
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HCM
Holland Capital Management Chicago, Illinois $2.28B AUM 23.08% 1-Year Est. Return
AL
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AT
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GA
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Capstone Asset Management's Q4 2013 Portfolio in Review

As of Q4 2013, Capstone Asset Management held 2,086 positions worth $3.44B, down 17% from $4.14B the previous quarter. Its ten largest holdings account for 10% of the portfolio.

Capstone Asset Management withdrew a net $1.01B in Q4 2013, closing 214 positions and reducing 1,469 holdings. Its most notable exit was DELL INC, an estimated $3.35M position sold in full.

By sector, the portfolio is most concentrated in Financials at 14% of assets, down from 15% a quarter earlier, followed by Technology and Industrials.

Against the trend, Capstone Asset Management opened a new position in iShares Floating Rate Bond ETF worth $29.3M.

  • Capstone Asset Management's largest Q4 2013 buy was iShares Floating Rate Bond ETF: 577,000 shares worth $29.3M.
  • Capstone Asset Management added most to Novo Nordisk in Q4 2013, an estimated $7.09M increase.
  • Capstone Asset Management's biggest Q4 2013 reduction was Apple, cutting an estimated $28.8M.
  • Capstone Asset Management fully exited DELL INC in Q4 2013, selling an estimated $3.35M.
  • Capstone Asset Management's ten largest holdings make up 10% of its $3.44B portfolio in Q4 2013.
  • Capstone Asset Management opened 80 new positions and closed 214 in Q4 2013.
  • Capstone Asset Management's portfolio value fell 17% quarter-over-quarter to $3.44B.

Based on Capstone Asset Management's 13F filing for Q4 2013, filed 4 Feb 2014.