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Caption Management Portfolio holdings

AUM $17.1B
1-Year Est. Return 70.99%
This Fund
S&P 500
This Quarter Est. Return
+30.39%
1 Year Est. Return
+70.99%
3 Year Est. Return
+176.06%
5 Year Est. Return
+263.89%
10 Year Est. Return
–
AUM
$4.39B
AUM Growth
+$111M
Cap. Flow
-$575M
Cap. Flow %
-13.12%
Top 10 Hldgs %
14.05%
Holding
1,400
New
403
Increased
168
Reduced
199
Closed
465

Top Buys

Rank Stock Value
1
TECK icon
Teck Resources
TECK
+$13.2M
2
GE icon
GE Aerospace
GE
+$11.9M
3
DBA icon
Invesco DB Agriculture Fund
DBA
+$10.8M
4
BHVN
Biohaven Pharmaceutical Holding Company Ltd.
BHVN
+$10.3M
5
SBNY
Signature Bank
SBNY
+$8.05M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$24M
2
AEO icon
American Eagle Outfitters
AEO
+$16.5M
3
ADBE icon
Adobe
ADBE
+$15M
4
PFE icon
Pfizer
PFE
+$13.7M
5
LHCG
LHC Group LLC
LHCG
+$12.5M

Sector Composition

Rank Sector Weight
1 Healthcare 3.21%
2 Consumer Discretionary 3.05%
3 Technology 2.58%
4 Industrials 1.15%
5 Materials 1.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NVTA
1301
DELISTED
Invitae Corporation
NVTA
– –
-7,900
Closed -$377K
GOL
1302
DELISTED
Gol Linhas Aéreas Inteligentes S.A. American Depositary Shares (Each representing Ten Preferred Shares)
GOL
– –
-13,000
Closed -$79K
GOL
1303
PUT
DELISTED
Gol Linhas Aéreas Inteligentes S.A. American Depositary Shares (Each representing Ten Preferred Shares)
GOL
– –
-150,000
Closed -$915K
PACW
1304
CALL
DELISTED
PacWest Bancorp
PACW
– –
-30,000
Closed -$512K
NXGN
1305
CALL
DELISTED
NextGen Healthcare, Inc. Common Stock
NXGN
– –
-305,000
Closed -$3.89M
NEWR
1306
CALL
DELISTED
New Relic, Inc.
NEWR
– –
-307,600
Closed -$17.3M
CEQP
1307
PUT
DELISTED
Crestwood Equity Partners LP
CEQP
– –
-1,000
Closed -$12K
SCPL
1308
CALL
DELISTED
SciPlay Corporation Class A Common Stock
SCPL
– –
-100,000
Closed -$1.62M
RETA
1309
CALL
DELISTED
Reata Pharmaceuticals, Inc. Class A Common Stock
RETA
– –
-16,800
Closed -$1.64M
NUVA
1310
DELISTED
NuVasive, Inc.
NUVA
– –
-40,500
Closed -$1.97M
NUVA
1311
PUT
DELISTED
NuVasive, Inc.
NUVA
– –
-56,000
Closed -$2.72M
IDEX
1312
CALL
DELISTED
Ideanomics, Inc. Common Stock
IDEX
– –
-1,437
Closed -$162K
BBBY
1313
PUT
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-150,000
Closed -$2.25M
AIMC
1314
CALL
DELISTED
Altra Industrial Motion Corp
AIMC
– –
-50,000
Closed -$1.85M
AIMC
1315
PUT
DELISTED
Altra Industrial Motion Corp
AIMC
– –
-50,000
Closed -$1.85M
ALBO
1316
CALL
DELISTED
Albireo Pharma Inc
ALBO
– –
-80,800
Closed -$2.7M
ALBO
1317
PUT
DELISTED
Albireo Pharma Inc
ALBO
– –
-584,000
Closed -$19.5M
LHCG
1318
DELISTED
LHC Group LLC
LHCG
– –
-59,000
Closed -$12.5M
LHCG
1319
PUT
DELISTED
LHC Group LLC
LHCG
– –
-9,300
Closed -$1.98M
AVYA
1320
CALL
DELISTED
Avaya Holdings Corp. Common Stock
AVYA
– –
-65,000
Closed -$987K
ATNX
1321
CALL
DELISTED
Athenex, Inc. Common Stock
ATNX
– –
-2,500
Closed -$607K
PRTY
1322
PUT
DELISTED
Party City Holdco Inc.
PRTY
– –
-150,000
Closed -$391K
OTIC
1323
CALL
DELISTED
Otonomy, Inc.
OTIC
– –
-343,200
Closed -$1.39M
CLVS
1324
CALL
DELISTED
Clovis Oncology, Inc.
CLVS
– –
-50,000
Closed -$291K
PBFX
1325
CALL
DELISTED
PBF LOGISTICS LP
PBFX
– –
-62,300
Closed -$507K
51 52
53
54 55

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Caption Management's Q4 2020 Portfolio in Review

As of Q4 2020, Caption Management held 1,400 positions worth $4.39B, up 2.6% from $4.28B the previous quarter. Its ten largest holdings account for 14% of the portfolio.

Caption Management withdrew a net $575M in Q4 2020, closing 465 positions and reducing 199 holdings. Its most notable exit was Adobe, an estimated $15M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 3.2% of assets, up from 2.8% a quarter earlier, followed by Consumer Discretionary and Technology.

Against the trend, Caption Management opened a new position in GE Aerospace worth $14.3M.

  • Caption Management's largest Q4 2020 buy was GE Aerospace: 264,797 shares worth $14.3M.
  • Caption Management added most to Teck Resources in Q4 2020, an estimated $13.2M increase.
  • Caption Management's biggest Q4 2020 reduction was Amazon, cutting an estimated $24M.
  • Caption Management fully exited Adobe in Q4 2020, selling an estimated $15M.
  • Caption Management's ten largest holdings make up 14% of its $4.39B portfolio in Q4 2020.
  • Caption Management opened 403 new positions and closed 465 in Q4 2020.
  • Caption Management's portfolio value rose 2.6% quarter-over-quarter to $4.39B.

Based on Caption Management's 13F filing for Q4 2020, filed 16 Feb 2021.