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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
+11.47%
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
$73.3B
AUM Growth
+$10.6B
Cap. Flow
+$3.59B
Cap. Flow %
4.9%
Top 10 Hldgs %
13%
Holding
4,972
New
721
Increased
1,786
Reduced
1,518
Closed
549

Top Buys

Rank Stock Value
1
BAC icon
Bank of America
BAC
+$327M
2
NFLX icon
Netflix
NFLX
+$275M
3
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$219M
4
C icon
Citigroup
C
+$211M
5
MRK icon
Merck
MRK
+$201M

Top Sells

Rank Stock Value
1
DELL
DELL INC
DELL
+$558M
2
ONXX
ONYX PHARMACEUTICALS INC
ONXX
+$259M
3
META icon
Meta Platforms (Facebook)
META
+$252M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$252M
5
IBM icon
IBM
IBM
+$184M

Sector Composition

Rank Sector Weight
1 Financials 7.49%
2 Technology 7.17%
3 Consumer Discretionary 7.02%
4 Healthcare 6.66%
5 Communication Services 6.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RDS.A
4751
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
– –
-110,682
Closed -$6.95M
KSU
4752
CALL
DELISTED
Kansas City Southern
KSU
– –
-20,000
Closed -$2.19M
MDP
4753
CALL
DELISTED
Meredith Corporation
MDP
– –
-10,000
Closed -$476K
CORE
4754
CALL
DELISTED
Core Mark Holding Co., Inc.
CORE
– –
-80,000
Closed -$1.33M
PFPT
4755
PUT
DELISTED
Proofpoint, Inc.
PFPT
– –
-12,500
Closed -$401K
WRI
4756
CALL
DELISTED
Weingarten Realty Investors
WRI
– –
-14,000
Closed -$411K
ALXN
4757
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-83,653
Closed -$10M
FFG
4758
CALL
DELISTED
FBL Financial Group
FFG
– –
-8,000
Closed -$359K
AEGN
4759
DELISTED
Aegion Corp
AEGN
– –
-42,211
Closed -$1M
QEP
4760
PUT
DELISTED
QEP RESOURCES, INC.
QEP
– –
-20,000
Closed -$554K
EV
4761
CALL
DELISTED
Eaton Vance Corp.
EV
– –
-52,300
Closed -$2.03M
EV
4762
PUT
DELISTED
Eaton Vance Corp.
EV
– –
-20,000
Closed -$777K
CEL
4763
DELISTED
Cellcom Israel, Ltd.
CEL
– –
-20,710
Closed -$229K
TCO
4764
CALL
DELISTED
Taubman Centers Inc.
TCO
– –
-36,500
Closed -$2.46M
TCO
4765
PUT
DELISTED
Taubman Centers Inc.
TCO
– –
-39,500
Closed -$2.66M
HDS
4766
DELISTED
HD Supply Holdings, Inc.
HDS
– –
-143,457
Closed -$3.15M
APEX
4767
DELISTED
Apex Global Brands Inc. Common Stock
APEX
– –
-506
Closed -$198K
ETFC
4768
DELISTED
E*Trade Financial Corporation
ETFC
– –
-19,773
Closed -$351K
BGG
4769
CALL
DELISTED
Briggs & Stratton Corp.
BGG
– –
-10,000
Closed -$201K
PTLA
4770
DELISTED
Portola Pharmaceuticals, Inc.
PTLA
– –
-221,000
Closed -$5.91M
MINI
4771
CALL
DELISTED
Mobile Mini Inc
MINI
– –
-7,800
Closed -$266K
MINI
4772
PUT
DELISTED
Mobile Mini Inc
MINI
– –
-28,600
Closed -$974K
IBKC
4773
CALL
DELISTED
IBERIABANK Corp
IBKC
– –
-7,000
Closed -$363K
IBKC
4774
PUT
DELISTED
IBERIABANK Corp
IBKC
– –
-9,000
Closed -$467K
LTM
4775
DELISTED
LATAM Airlines Group S.A American Depositary Shares (Each representing 1 Common Share)
LTM
– –
-39,479
Closed -$595K
189 190
191
192 193

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David Shaw's Q4 2013 Portfolio in Review

As of Q4 2013, David Shaw held 4,972 positions worth $73.3B, up 17% from $62.7B the previous quarter. Its ten largest holdings account for 13% of the portfolio.

David Shaw deployed $3.59B of net new capital in Q4 2013, opening 721 new positions and adding to 1,786 existing holdings. Its largest new stake was Allegion: 2,233,249 shares worth $98.7M.

By sector, the portfolio is most concentrated in Financials at 7.5% of assets, up from 7% a quarter earlier, followed by Technology and Consumer Discretionary.

On the sell side, the largest reduction was Meta Platforms (Facebook), an estimated $252M trimmed.

  • David Shaw's largest Q4 2013 buy was Allegion: 2,233,249 shares worth $98.7M.
  • David Shaw added most to Bank of America in Q4 2013, an estimated $327M increase.
  • David Shaw's biggest Q4 2013 reduction was Meta Platforms (Facebook), cutting an estimated $252M.
  • David Shaw fully exited DELL INC in Q4 2013, selling an estimated $558M.
  • David Shaw's ten largest holdings make up 13% of its $73.3B portfolio in Q4 2013.
  • David Shaw opened 721 new positions and closed 549 in Q4 2013.
  • David Shaw's portfolio value rose 17% quarter-over-quarter to $73.3B.

Based on D.E. Shaw & Co's 13F filing for Q4 2013, filed 14 Feb 2014.