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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
TFSL icon
1926
TFS Financial
TFSL
$5.07B
– –
-10,089
Closed -$121K
TRGP icon
1927
Targa Resources
TRGP
$57.4B
– –
-2,850
Closed -$208K
TRMK icon
1928
Trustmark
TRMK
$2.71B
– –
-10,322
Closed -$264K
UMC icon
1929
United Microelectronic
UMC
$47.9B
– –
-190,360
Closed -$392K
VICR icon
1930
Vicor
VICR
$9.41B
– –
-11,912
Closed -$97K
WDAY icon
1931
Workday
WDAY
$36.4B
– –
-3,810
Closed -$308K
WLK icon
1932
Westlake Corp
WLK
$9.27B
– –
-3,942
Closed -$206K
WPC icon
1933
W.P. Carey
WPC
$17B
– –
-6,381
Closed -$404K
WTM icon
1934
White Mountains Insurance
WTM
$5.43B
– –
-775
Closed -$440K
XLF icon
1935
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
– –
-190,520
Closed -$3.33M
XLV icon
1936
State Street Health Care Select Sector SPDR ETF
XLV
$42.2B
– –
-46,550
Closed -$2.35M
CNH
1937
CNH Industrial
CNH
$13.7B
– –
-14,251
Closed -$155K
EQC
1938
DELISTED
Equity Commonwealth
EQC
– –
-11,505
Closed -$252K
INFN
1939
DELISTED
Infinera Corporation Common Stock
INFN
– –
-12,621
Closed -$143K
SIX
1940
DELISTED
Six Flags Entertainment Corp.
SIX
– –
-7,616
Closed -$257K
EXPR
1941
DELISTED
Express, Inc.
EXPR
– –
-509
Closed -$240K
BSMX
1942
DELISTED
Banco Santander México, S, A., Institución de Banca Múltiple, Grupo Financiero Santander México
BSMX
– –
-18,290
Closed -$253K
RBCN
1943
DELISTED
Rubicon Technology, Inc.
RBCN
– –
-1,310
Closed -$159K
TEN
1944
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
– –
-5,955
Closed -$301K
POLY
1945
DELISTED
Plantronics, Inc.
POLY
– –
-6,589
Closed -$303K
MTOR
1946
DELISTED
MERITOR, Inc.
MTOR
– –
-11,462
Closed -$90K
ATRS
1947
DELISTED
Antares Pharma, Inc.
ATRS
– –
-12,181
Closed -$49K
FOE
1948
DELISTED
Ferro Corporation
FOE
– –
-10,171
Closed -$93K
MDP
1949
DELISTED
Meredith Corporation
MDP
– –
-5,414
Closed -$258K
CVA
1950
DELISTED
Covanta Holding Corporation
CVA
– –
-14,544
Closed -$311K
76 77
78
79 80

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RBC
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TCM
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HCM
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AL
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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.