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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
-2%
1 Year Est. Return
+70.99%
3 Year Est. Return
+176.06%
5 Year Est. Return
+263.89%
10 Year Est. Return
–
AUM
$8.75B
AUM Growth
+$1.09B
Cap. Flow
+$1.62B
Cap. Flow %
18.52%
Top 10 Hldgs %
11.21%
Holding
1,949
New
703
Increased
293
Reduced
258
Closed
492

Top Buys

Rank Stock Value
1
PBR icon
Petrobras
PBR
+$43.8M
2
CHTR icon
Charter Communications
CHTR
+$30.5M
3
X
US Steel
X
+$28.3M
4
STMP
Stamps.com, Inc.
STMP
+$22.8M
5
INOV
Inovalon Holdings, Inc. Class A Common Stock
INOV
+$19.1M

Top Sells

Rank Stock Value
1
DRI icon
Darden Restaurants
DRI
+$71.1M
2
W icon
Wayfair
W
+$40.2M
3
INFL icon
Horizon Kinetics Inflation Beneficiaries ETF
INFL
+$20.8M
4
RAPT
RAPT Therapeutics
RAPT
+$13.9M
5
VYX icon
NCR Voyix
VYX
+$10.7M

Sector Composition

Rank Sector Weight
1 Healthcare 3.49%
2 Consumer Discretionary 2.52%
3 Materials 1.97%
4 Energy 1.87%
5 Technology 1.65%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CTEV
1851
CALL
Claritev Corp
CTEV
$411M
– –
-1,563
Closed -$595K
TVRD
1852
Tvardi Therapeutics
TVRD
$19.5M
– –
-197
Closed -$98.8K
TVRD
1853
PUT
Tvardi Therapeutics
TVRD
$19.5M
– –
-1,389
Closed -$713K
LGF.B
1854
CALL
DELISTED
Lions Gate Entertainment Corp. Class B Non-Voting Shares
LGF.B
– –
-21,200
Closed -$388K
LGF.B
1855
DELISTED
Lions Gate Entertainment Corp. Class B Non-Voting Shares
LGF.B
– –
-24,778
Closed -$454K
INFN
1856
DELISTED
Infinera Corporation Common Stock
INFN
– –
-60,000
Closed -$612K
NKLA
1857
DELISTED
Nikola Corporation Common Stock
NKLA
– –
-1,167
Closed -$409K
ENLC
1858
CALL
DELISTED
ENLINK MIDSTREAM, LLC
ENLC
– –
-6,800
Closed -$44K
SMAR
1859
DELISTED
Smartsheet Inc.
SMAR
– –
-40,000
Closed -$2.89M
PSTX
1860
CALL
DELISTED
Poseida Therapeutics, Inc. Common Stock
PSTX
– –
-324,800
Closed -$3.25M
CTLT
1861
DELISTED
CATALENT, INC.
CTLT
– –
-23,300
Closed -$2.52M
CTLT
1862
PUT
DELISTED
CATALENT, INC.
CTLT
– –
-33,500
Closed -$3.62M
DNMR
1863
DELISTED
Danimer Scientific, Inc.
DNMR
– –
-513
Closed -$514K
DNMR
1864
PUT
DELISTED
Danimer Scientific, Inc.
DNMR
– –
-2,500
Closed -$2.5M
EGIO
1865
PUT
DELISTED
Edgio, Inc. Common Stock
EGIO
– –
-625
Closed -$79K
ETRN
1866
DELISTED
Equitrans Midstream Corporation Common Stock
ETRN
– –
-266
Closed -$3K
ETRN
1867
PUT
DELISTED
Equitrans Midstream Corporation Common Stock
ETRN
– –
-15,200
Closed -$129K
DMTK
1868
DELISTED
DermTech, Inc. Common Stock
DMTK
– –
-3,537
Closed -$124K
DCPH
1869
PUT
DELISTED
Deciphera Pharmaceuticals, Inc. Common Stock
DCPH
– –
-25,000
Closed -$915K
SWAV
1870
DELISTED
Shockwave Medical, Inc. Common Stock
SWAV
– –
-4,000
Closed -$759K
SWAV
1871
PUT
DELISTED
Shockwave Medical, Inc. Common Stock
SWAV
– –
-38,800
Closed -$7.36M
NS
1872
DELISTED
NuStar Energy L.P.
NS
– –
-29,931
Closed -$540K
VIEW
1873
CALL
DELISTED
View, Inc. Class A Common Stock
VIEW
– –
-833
Closed -$423K
BCEL
1874
PUT
DELISTED
Atreca, Inc. Class A Common Stock
BCEL
– –
-160,000
Closed -$1.36M
SPLK
1875
PUT
DELISTED
Splunk Inc
SPLK
– –
-40,000
Closed -$5.78M
73 74
75
76 77

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VMPIC
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BCIM
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BBA
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Macquarie Group
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FCM
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AIMCA
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Caption Management's Q3 2021 Portfolio in Review

As of Q3 2021, Caption Management held 1,949 positions worth $8.75B, up 14% from $7.66B the previous quarter. Its ten largest holdings account for 11% of the portfolio.

Caption Management deployed $1.62B of net new capital in Q3 2021, opening 703 new positions and adding to 293 existing holdings. Its largest new stake was Petrobras: 4,114,400 shares worth $42.5M.

By sector, the portfolio is most concentrated in Healthcare at 3.5% of assets, up from 3.5% a quarter earlier, followed by Consumer Discretionary and Materials.

On the sell side, the largest reduction was Wayfair, an estimated $40.2M trimmed.

  • Caption Management's largest Q3 2021 buy was Petrobras: 4,114,400 shares worth $42.5M.
  • Caption Management added most to Stamps.com, Inc. in Q3 2021, an estimated $22.8M increase.
  • Caption Management's biggest Q3 2021 reduction was Wayfair, cutting an estimated $40.2M.
  • Caption Management fully exited Darden Restaurants in Q3 2021, selling an estimated $71.1M.
  • Caption Management's ten largest holdings make up 11% of its $8.75B portfolio in Q3 2021.
  • Caption Management opened 703 new positions and closed 492 in Q3 2021.
  • Caption Management's portfolio value rose 14% quarter-over-quarter to $8.75B.

Based on Caption Management's 13F filing for Q3 2021, filed 12 Nov 2021.