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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
BRK.B icon
1
Berkshire Hathaway Class B
BRK.B
$1.1T
$68.4M 20.35%
577,050
+16,700
+3% +$1.93M
AIG icon
2
American International
AIG
$41.7B
$64.8M 19.27%
1,269,400
+200
+0% +$9.97K
MU icon
3
Micron Technology
MU
$930B
$43.5M 12.94%
2,000,000
– –
C icon
4
Citigroup
C
$222B
$37M 11.02%
710,835
+3,200
+0.5% +$162K
NBG.PRA
5
DELISTED
NATIONAL BANK OF GREECE SA SPON ADR PFD REPSTG SER A
NBG.PRA
$21.8M 6.48%
1,530,000
– –
QQQ icon
6
PUT
Invesco QQQ Trust
QQQ
$453B
$18M 5.36%
+205,000
New +$17.1M
TRQ
7
DELISTED
Turquoise Hill Resources Ltd
TRQ
$17.8M 5.3%
539,863
+278,352
+106% +$9.37M
MS icon
8
Morgan Stanley
MS
$331B
$14.1M 4.18%
448,600
-15,200
-3% -$452K
BAC icon
9
Bank of America
BAC
$435B
$10.7M 3.17%
685,466
– –
TRQ.RT
10
DELISTED
TURQUOISE HILL RES LTD RTS EXP 01/07/2014 (DE)
TRQ.RT
$4.5M 1.34%
+4,683,634
New +$4.1M
AIG.WS
11
DELISTED
American International Group, Inc.
AIG.WS
$3.91M 1.16%
193,062
– –
BRK.A icon
12
Berkshire Hathaway Class A
BRK.A
$1.1T
$3.74M 1.11%
21
– –
VEU icon
13
Vanguard FTSE All-World ex-US ETF
VEU
$66.6B
$3.73M 1.11%
73,537
+3,888
+6% +$193K
VTI icon
14
Vanguard Morningstar Total Stock Market ETF
VTI
$660B
$3.29M 0.98%
34,279
+4,307
+14% +$396K
RBS.PRR
15
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
$2.53M 0.75%
126,910
– –
PHX
16
DELISTED
PHX Minerals
PHX
$2.25M 0.67%
134,400
– –
JPM.WS
17
DELISTED
JPMorgan Chase
JPM.WS
$1.76M 0.52%
90,710
– –
VV icon
18
Vanguard Morningstar Large-Cap ETF
VV
$52.4B
$1.6M 0.48%
18,878
-1,394
-7% -$113K
JGBD
19
DELISTED
DB 3X INVERSE JAPANESE GOVT BD FUT NT 11/30/2021
JGBD
$1.46M 0.43%
83,000
– –
L icon
20
Loews
L
$23.9B
$965K 0.29%
20,000
– –
RFP
21
DELISTED
Resolute Forest Products Inc.
RFP
$961K 0.29%
60,000
– –
FCTY
22
DELISTED
1st Century Bancshares
FCTY
$773K 0.23%
108,100
+3,100
+3% +$22K
ECF
23
Ellsworth Growth & Income Fund
ECF
$166M
$732K 0.22%
89,348
-1,630
-2% -$13.1K
JEF icon
24
Jefferies Financial Group
JEF
$12.6B
$713K 0.21%
28,102
+174
+0.6% +$4.4K
CRBQ
25
DELISTED
Alps Etf Tr Global Commodity Equity ETF (DE)
CRBQ
$568K 0.17%
12,943
-131
-1% -$5.62K
1
2 3

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RI
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ABLA
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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.