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CC
Caspian Capital Portfolio holdings
AUM
$103M
This Fund
S&P 500
This Quarter
Est. Return
+12.49%
1 Year Est. Return
–
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$286M
AUM Growth
+$81.5M
(+40%)
Cap. Flow
+$16.2M
Cap. Flow
% of AUM
5.65%
Top 10 Holdings %
Top 10 Hldgs %
92.69%
Holding
18
New
2
Increased
7
Reduced
2
Closed
4
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
General Motors
GM
|
+$19.3M |
| 2 |
Dine Brands
DIN
|
+$6.06M |
| 3 |
OSG
Octave Specialty Group
OSG
|
+$5.9M |
| 4 |
DYN
Dynegy, Inc.
DYN
|
+$4.52M |
| 5 |
DGIT
DIGITAL GENERATION INC COM STK (DE)
DGIT
|
+$2.45M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
SXCP
SunCoke Energy Partners, L.P.
SXCP
|
+$20M |
| 2 |
GM.PRB
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
|
+$18.6M |
| 3 |
Iron Mountain
IRM
|
+$5.54M |
| 4 |
Assured Guaranty
AGO
|
+$4.35M |
| 5 |
Lloyds Banking Group
LYG
|
+$2.81M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Consumer Discretionary | 12.43% |
| 2 | Financials | 9.09% |
| 3 | Real Estate | 5.59% |
| 4 | Industrials | 3.62% |
| 5 | Consumer Staples | 0.09% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
DYN
1
DELISTED
Dynegy, Inc.
DYN
| $62.9M | 21.98% |
2,921,738
+221,951
| +8% | +$4.52M |
|
|
2
CALL
General Motors
GM
$68.6B
| $61.3M | 21.43% |
+1,500,000
| New | +$56.7M |
|
|
3
General Motors
GM
$68.6B
| $20.9M | 7.29% |
+510,160
| New | +$19.3M |
|
|
4
Iron Mountain
IRM
$36.8B
| $16M | 5.59% |
569,847
-216,400
| -28% | -$5.54M |
|
|
5
Dine Brands
DIN
$456M
| $14.7M | 5.14% |
176,125
+76,900
| +78% | +$6.06M |
|
|
6
Assured Guaranty
AGO
$3.76B
| $13.6M | 4.76% |
577,120
-200,000
| -26% | -$4.35M |
|
|
OSG
7
Octave Specialty Group
OSG
$275M
| $12.4M | 4.33% |
504,120
+281,718
| +127% | +$5.9M |
|
8
PUT
AngloGold Ashanti
AU
$38.8B
| $11.3M | 3.93% |
960,000
| – | – |
|
|
HRG
9
DELISTED
HRG Group, Inc.
HRG
| $10.4M | 3.62% |
874,322
+14,310
| +2% | +$158K |
|
|
AMBC.WS
10
DELISTED
Ambac Financial Group
AMBC.WS
| $9.94M | 3.47% |
665,000
+150,000
| +29% | +$1.9M |
|
|
DGIT
11
DELISTED
DIGITAL GENERATION INC COM STK (DE)
DGIT
| $8.87M | 3.1% |
696,097
+198,933
| +40% | +$2.45M |
|
|
GTIV
12
DELISTED
GENTIVA HEALTH SERVICES INC
GTIV
| $1.86M | 0.65% |
150,000
+50,000
| +50% | +$602K |
|
13
Stride
LRN
$3.71B
| $254K | 0.09% |
11,667
| – | – |
|
|
14
Lloyds Banking Group
LYG
$86.6B
| – | – |
-584,848
| Closed | -$2.81M |
|
|
SXCP
15
DELISTED
SunCoke Energy Partners, L.P.
SXCP
| – | – |
-839,447
| Closed | -$20M |
|
|
GM.PRB
16
DELISTED
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
| – | – |
-371,405
| Closed | -$18.6M |
|
|
NIHD
17
DELISTED
NII HOLDINGS INC CL B
NIHD
| – | – |
-44,800
| Closed | -$272K |
|
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Caspian Capital's Q4 2013 Portfolio in Review
As of Q4 2013, Caspian Capital held 18 positions worth $286M, up 40% from $205M the previous quarter. Its ten largest holdings account for 93% of the portfolio.
Caspian Capital deployed $16.2M of net new capital in Q4 2013, opening 2 new positions and adding to 7 existing holdings. Its largest new stake was General Motors: 510,160 shares worth $20.9M.
By sector, the portfolio is most concentrated in Consumer Discretionary at 12% of assets, up from 3.3% a quarter earlier, followed by Financials and Real Estate.
On the sell side, the largest reduction was Iron Mountain, an estimated $5.54M trimmed.
- Caspian Capital's largest Q4 2013 buy was General Motors: 510,160 shares worth $20.9M.
- Caspian Capital added most to Dine Brands in Q4 2013, an estimated $6.06M increase.
- Caspian Capital's biggest Q4 2013 reduction was Iron Mountain, cutting an estimated $5.54M.
- Caspian Capital fully exited SunCoke Energy Partners, L.P. in Q4 2013, selling an estimated $20M.
- Caspian Capital's ten largest holdings make up 93% of its $286M portfolio in Q4 2013.
- Caspian Capital opened 2 new positions and closed 4 in Q4 2013.
- Caspian Capital's portfolio value rose 40% quarter-over-quarter to $286M.
Based on Caspian Capital's 13F filing for Q4 2013, filed 14 Feb 2014.