CM

Caption Management Portfolio holdings

AUM $1.09B
1-Year Return 4.13%
This Quarter Return
+4.17%
1 Year Return
+4.13%
3 Year Return
+12.18%
5 Year Return
+25.84%
10 Year Return
–
AUM
$602M
AUM Growth
-$28.6M
Cap. Flow
-$106M
Cap. Flow %
-17.67%
Top 10 Hldgs %
34.24%
Holding
809
New
140
Increased
61
Reduced
79
Closed
172

Top Buys

1
TECK icon
Teck Resources
TECK
$15.5M
2
GE icon
GE Aerospace
GE
$14.3M
3
DBA icon
Invesco DB Agriculture Fund
DBA
$11.5M
4
BHVN
Biohaven Pharmaceutical Holding Company Ltd.
BHVN
$10.4M
5
SBNY
Signature Bank
SBNY
$10.4M

Top Sells

1
AMZN icon
Amazon
AMZN
$24.5M
2
AEO icon
American Eagle Outfitters
AEO
$19.7M
3
ADBE icon
Adobe
ADBE
$15.3M
4
PFE icon
Pfizer
PFE
$13.7M
5
PTON icon
Peloton Interactive
PTON
$13.1M

Sector Composition

1 Healthcare 23.36%
2 Consumer Discretionary 22.24%
3 Technology 18.83%
4 Industrials 8.33%
5 Materials 7.69%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
AKCA
401
DELISTED
Akcea Therapeutics, Inc. Common Stock
AKCA
– –
-24,000
Closed -$435K
VSLR
402
DELISTED
VIVINT SOLAR, INC.
VSLR
– –
-7,600
Closed -$321K
AMTD
403
DELISTED
TD Ameritrade Holding Corp
AMTD
– –
0
– –
MNTA
404
DELISTED
Momenta Pharmaceuticals, Inc.
MNTA
– –
-75,000
Closed -$3.94M
VAL
405
DELISTED
Valaris plc Class A Ordinary Share
VAL
– –
0
– –
BGG
406
DELISTED
Briggs & Stratton Corp.
BGG
– –
0
– –
HZNP
407
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
– –
0
– –
COWN
408
DELISTED
Cowen Inc. Class A Common Stock
COWN
– –
0
– –
WPG
409
DELISTED
Washington Prime Group Inc.
WPG
– –
0
– –
CRC
410
DELISTED
California Resources Corporation
CRC
– –
-148,000
Closed -$14K
ZGNX
411
DELISTED
Zogenix, Inc.
ZGNX
– –
-22,500
Closed -$405K
DISCA
412
DELISTED
Discovery, Inc. Series A Common Stock
DISCA
– –
0
– –
MOBL
413
DELISTED
MobileIron, Inc.
MOBL
– –
0
– –
YELL
414
DELISTED
Yellow Corporation Common Stock
YELL
– –
0
– –
WLL
415
DELISTED
Whiting Petroleum Corporation
WLL
– –
0
– –
REGI
416
DELISTED
Renewable Energy Group, Inc.
REGI
– –
-28,053
Closed -$1.5M
MCF
417
DELISTED
Contango Oil & Gas Co.
MCF
– –
0
– –
VG
418
DELISTED
Vonage Holdings Corporation
VG
– –
-114,800
Closed -$1.17M
CIT
419
DELISTED
CIT Group Inc.
CIT
– –
-75,000
Closed -$1.33M
RESI
420
DELISTED
Front Yard Residential Corporation Common Stock
RESI
– –
-58,300
Closed -$508K
AZPN
421
DELISTED
ASPEN TECHNOLOGY INC
AZPN
– –
-4,000
Closed -$506K
SPN
422
DELISTED
Superior Energy Services, Inc.
SPN
– –
-2,600
Closed –
MJ icon
423
Amplify Alternative Harvest ETF
MJ
$183M
– –
-67
Closed -$8K
MMSI icon
424
Merit Medical Systems
MMSI
$5.51B
– –
0
– –
MODG icon
425
Topgolf Callaway Brands
MODG
$1.7B
– –
-10,000
Closed -$191K
15 16
17
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