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DS

David Shaw D.E. Shaw & Co

AUM $210B
1-Year Est. Return 57.28%
 

David Shaw founded D. E. Shaw & Co., a pioneering quantitative investment firm that helped define systematic trading at scale. With a background in computer science, Shaw built teams that applied advanced computation to markets across equities, derivatives, and other assets. The firm remains one of the most important quant platforms in global finance, even as Shaw’s own public role has shifted over time.

This Fund
S&P 500
This Quarter Est. Return
+4.48%
1 Year Est. Return
+57.28%
3 Year Est. Return
+174.65%
5 Year Est. Return
+213.13%
10 Year Est. Return
+910.08%
AUM
$58.9B
AUM Growth
+$2.19B
Cap. Flow
-$230M
Cap. Flow %
-0.39%
Top 10 Hldgs %
8.76%
Holding
3,804
New
462
Increased
1,382
Reduced
1,255
Closed
397

Top Buys

Rank Stock Value
1
NFLX icon
Netflix
NFLX
+$408M
2
MDT icon
Medtronic
MDT
+$271M
3
NXPI icon
NXP Semiconductors
NXPI
+$270M
4
GILD icon
Gilead Sciences
GILD
+$253M
5
HPE icon
Hewlett Packard
HPE
+$211M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$424M
2
CVS icon
CVS Health
CVS
+$391M
3
LNKD
LinkedIn Corporation
LNKD
+$323M
4
WFC icon
Wells Fargo
WFC
+$280M
5
VMW
VMware, Inc
VMW
+$264M

Sector Composition

Rank Sector Weight
1 Technology 11.19%
2 Healthcare 10.41%
3 Financials 9.12%
4 Communication Services 8.45%
5 Consumer Discretionary 8.4%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ODP
3351
DELISTED
ODP
ODP
$54K ﹤0.01%
1,194
-15,275
-93% -$632K
PAACW
3352
DELISTED
Pacific Special Acquisition Corp. Warrants
PAACW
$54K ﹤0.01%
191,900
– –
ANDAW
3353
DELISTED
Andina Acquisition Corp. II Warrant
ANDAW
$53K ﹤0.01%
194,900
– –
KNDI
3354
Kandi Technologies Group
KNDI
$64M
$52K ﹤0.01%
10,604
-4,322
-29% -$21.4K
MACQW
3355
DELISTED
M I Acquisitions, Inc. Warrant
MACQW
$51K ﹤0.01%
+205,000
New +$43.3K
NOK icon
3356
Nokia
NOK
$57B
$49K ﹤0.01%
10,100
-22,941
-69% -$108K
EFOI icon
3357
Energy Focus
EFOI
$18.6M
$48K ﹤0.01%
+325
New +$51.5K
TVIA
3358
DELISTED
TerraVia Holdings, Inc. Common Stock
TVIA
$47K ﹤0.01%
40,831
+2,819
+7% +$5.12K
MACK
3359
DELISTED
Merrimack Pharmaceuticals, Inc.
MACK
$46K ﹤0.01%
1,426
-1,701
-54% -$72.5K
GLBL
3360
DELISTED
TerraForm Global, Inc. Class A Common Stock
GLBL
$45K ﹤0.01%
11,275
– –
FUEL
3361
DELISTED
Rocket Fuel Inc.
FUEL
$45K ﹤0.01%
26,107
-127,063
-83% -$266K
GRPN icon
3362
CALL
Groupon
GRPN
$797M
$44K ﹤0.01%
+660
New +$55.5K
STLRW
3363
DELISTED
Stellar Acquisition III Inc. Warrants
STLRW
$41K ﹤0.01%
+205,000
New +$41.6K
CRDF icon
3364
Cardiff Oncology
CRDF
$68.5M
$38K ﹤0.01%
+250
New +$58.4K
LPCN icon
3365
Lipocine
LPCN
$17.2M
$38K ﹤0.01%
+605
New +$38.3K
PTX
3366
DELISTED
Pernix Therapeutics Holdings, Inc.
PTX
$37K ﹤0.01%
+18,914
New +$68.4K
DRNA
3367
DELISTED
Dicerna Pharmaceuticals, Inc.
DRNA
$35K ﹤0.01%
12,257
-40,083
-77% -$142K
PXLW icon
3368
Pixelworks
PXLW
$41.4M
$31K ﹤0.01%
+912
New +$30.9K
YGE
3369
DELISTED
Yingli Green Energy Holding Comp
YGE
$26K ﹤0.01%
+10,020
New +$34.5K
MNKD icon
3370
CALL
MannKind Corp
MNKD
$1.33B
$16K ﹤0.01%
5,000
– –
MNKD icon
3371
PUT
MannKind Corp
MNKD
$1.33B
$16K ﹤0.01%
5,000
– –
CPRX
3372
DELISTED
Catalyst Pharmaceutical
CPRX
$13K ﹤0.01%
+12,651
New +$14.5K
KMI.WS
3373
DELISTED
Kinder Morgan Inc
KMI.WS
$11K ﹤0.01%
1,949,600
– –
CTIC
3374
DELISTED
CTI BioPharma Corp. (DE) Common Stock
CTIC
$9K ﹤0.01%
2,326
-930
-29% -$3.86K
TPLM
3375
DELISTED
Triangle Petroleum Corporation
TPLM
$8K ﹤0.01%
32,966
-87,292
-73% -$23.8K
133 134
135
136 137

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David Shaw's Q4 2016 Portfolio in Review

As of Q4 2016, David Shaw held 3,804 positions worth $58.9B, up 3.9% from $56.7B the previous quarter. Its ten largest holdings account for 8.8% of the portfolio.

David Shaw's Q4 2016 filing shows 462 new, 1,382 increased, 1,255 reduced and 397 closed positions. Its largest new stake was Deere & Co: 1,429,259 shares worth $147M. The largest sale was Amazon, an estimated $424M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 12% a quarter earlier, followed by Healthcare and Financials.

  • David Shaw's largest Q4 2016 buy was Deere & Co: 1,429,259 shares worth $147M.
  • David Shaw added most to Netflix in Q4 2016, an estimated $408M increase.
  • David Shaw's biggest Q4 2016 reduction was Amazon, cutting an estimated $424M.
  • David Shaw fully exited LinkedIn Corporation in Q4 2016, selling an estimated $323M.
  • David Shaw's ten largest holdings make up 8.8% of its $58.9B portfolio in Q4 2016.
  • David Shaw opened 462 new positions and closed 397 in Q4 2016.
  • David Shaw's portfolio value rose 3.9% quarter-over-quarter to $58.9B.

Based on D.E. Shaw & Co's 13F filing for Q4 2016, filed 14 Feb 2017.