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Dalton Investments Portfolio holdings

AUM $103M
1-Year Est. Return 3.77%
This Fund
S&P 500
This Quarter Est. Return
+9.18%
1 Year Est. Return
-3.77%
3 Year Est. Return
+94.71%
5 Year Est. Return
+120.24%
10 Year Est. Return
+496.89%
AUM
$336M
AUM Growth
-$17.5M
Cap. Flow
-$43.6M
Cap. Flow %
-12.98%
Top 10 Hldgs %
89.41%
Holding
72
New
8
Increased
16
Reduced
9
Closed
20

Top Buys

Rank Stock Value
1
TRQ
Turquoise Hill Resources Ltd
TRQ
+$9.37M
2
TRQ.RT
TURQUOISE HILL RES LTD RTS EXP 01/07/2014 (DE)
TRQ.RT
+$4.1M
3
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$1.93M
4
VTI icon
Vanguard Morningstar Total Stock Market ETF
VTI
+$396K
5
EOT
Eaton Vance National Municipal Opportunities Trust
EOT
+$367K

Top Sells

Rank Stock Value
1
GCVRZ
Sanofi Contingent Value Rights
GCVRZ
+$34M
2
HIMX
Himax Technologies
HIMX
+$28.8M
3
EWJ icon
iShares MSCI Japan ETF
EWJ
+$7.78M
4
RWM icon
ProShares Short Russell2000
RWM
+$1.66M
5
CHK
Chesapeake Energy Corporation
CHK
+$647K

Sector Composition

Rank Sector Weight
1 Financials 59.7%
2 Technology 12.97%
3 Materials 5.3%
4 Energy 0.81%
5 Industrials 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MHF
51
Western Asset Municipal High Income Fund
MHF
$152M
$75K 0.02%
+11,101
New +$74.7K
KID
52
DELISTED
KID BRANDS,INC COMMON STOCK
KID
$23K 0.01%
23,000
– –
ADEA icon
53
Adeia
ADEA
$3.07B
– –
-83,160
Closed -$425K
AON icon
54
Aon
AON
$75.9B
– –
-3,000
Closed -$223K
EWJ icon
55
iShares MSCI Japan ETF
EWJ
$22B
– –
-163,261
Closed -$7.78M
F icon
56
Ford
F
$57.5B
– –
-20,000
Closed -$337K
FOF icon
57
Cohen & Steers Closed End Opportunity Fund
FOF
$377M
– –
-32,608
Closed -$402K
GE icon
58
GE Aerospace
GE
$383B
– –
-3,805
Closed -$436K
GS icon
59
Goldman Sachs
GS
$303B
– –
-2,400
Closed -$380K
HIMX
60
Himax Technologies
HIMX
$2.23B
– –
-2,882,502
Closed -$28.8M
HON icon
61
Honeywell
HON
$78.2B
– –
-2,782
Closed -$208K
HYG icon
62
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.6B
– –
-2,618
Closed -$240K
LUV icon
63
Southwest Airlines
LUV
$23B
– –
-10,000
Closed -$146K
QQQ icon
64
Invesco QQQ Trust
QQQ
$469B
– –
-5,000
Closed -$417K
RWM icon
65
ProShares Short Russell2000
RWM
$132M
– –
-22,409
Closed -$1.66M
SNT
66
Senstar Technologies
SNT
$43.6M
– –
-29,613
Closed -$103K
THC icon
67
Tenet Healthcare
THC
$20.1B
– –
-9,000
Closed -$371K
TRC icon
68
Tejon Ranch
TRC
$455M
– –
-9,270
Closed -$278K
UUP icon
69
Invesco DB US Dollar Index Bullish Fund
UUP
$424M
– –
-22,000
Closed -$476K
CHK
70
DELISTED
Chesapeake Energy Corporation
CHK
– –
-132
Closed -$647K
DD
71
DELISTED
Du Pont De Nemours E I
DD
– –
-4,212
Closed -$234K
GCVRZ
72
DELISTED
Sanofi Contingent Value Rights
GCVRZ
– –
-16,825,566
Closed -$34M
1 2
3

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MWM
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TFP
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SAM
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RI
Ruggiero Investments West Palm Beach, Florida $103M AUM
ABLA
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RFPS
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GWL
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SGM
Scalar Gauge Management Dallas, Texas $104M AUM 74.68% 1-Year Est. Return

Dalton Investments's Q4 2013 Portfolio in Review

As of Q4 2013, Dalton Investments held 72 positions worth $336M, down 5% from $354M the previous quarter. Its ten largest holdings account for 89% of the portfolio.

Dalton Investments withdrew a net $43.6M in Q4 2013, closing 20 positions and reducing 9 holdings. Its most notable exit was Sanofi Contingent Value Rights, an estimated $34M position sold in full.

By sector, the portfolio is most concentrated in Financials at 60% of assets, up from 53% a quarter earlier, followed by Technology and Materials.

Against the trend, Dalton Investments opened a new position in TURQUOISE HILL RES LTD RTS EXP 01/07/2014 (DE) worth $4.5M.

  • Dalton Investments's largest Q4 2013 buy was TURQUOISE HILL RES LTD RTS EXP 01/07/2014 (DE): 4,683,634 shares worth $4.5M.
  • Dalton Investments added most to Turquoise Hill Resources Ltd in Q4 2013, an estimated $9.37M increase.
  • Dalton Investments's biggest Q4 2013 reduction was Morgan Stanley, cutting an estimated $452K.
  • Dalton Investments fully exited Sanofi Contingent Value Rights in Q4 2013, selling an estimated $34M.
  • Dalton Investments's ten largest holdings make up 89% of its $336M portfolio in Q4 2013.
  • Dalton Investments opened 8 new positions and closed 20 in Q4 2013.
  • Dalton Investments's portfolio value fell 5% quarter-over-quarter to $336M.

Based on Dalton Investments's 13F filing for Q4 2013, filed 14 Feb 2014.