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FQ

First Quadrant Portfolio holdings

AUM $18M
1-Year Est. Return 24.2%
This Fund
S&P 500
This Quarter Est. Return
+7.56%
1 Year Est. Return
+24.2%
3 Year Est. Return
+90.61%
5 Year Est. Return
+144.35%
10 Year Est. Return
–
AUM
$3.95B
AUM Growth
+$207M
Cap. Flow
-$18.8M
Cap. Flow %
-0.48%
Top 10 Hldgs %
14.74%
Holding
860
New
60
Increased
146
Reduced
222
Closed
71

Top Buys

Rank Stock Value
1
BA icon
Boeing
BA
+$23M
2
VIAB
Viacom Inc. Class B
VIAB
+$22.8M
3
BAC icon
Bank of America
BAC
+$20.6M
4
C icon
Citigroup
C
+$19.6M
5
DHR icon
Danaher
DHR
+$17.7M

Top Sells

Rank Stock Value
1
CSE
CAPITALSOURCE INC
CSE
+$27M
2
UPS icon
United Parcel Service
UPS
+$21.4M
3
PARA
Paramount Global Class B
PARA
+$18.1M
4
BAX icon
Baxter International
BAX
+$15.9M
5
CA
CA, Inc.
CA
+$14.2M

Sector Composition

Rank Sector Weight
1 Financials 16.13%
2 Technology 15.77%
3 Healthcare 13.64%
4 Industrials 12.21%
5 Energy 10.31%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ARCB icon
601
ArcBest
ARCB
$3.16B
$100K ﹤0.01%
3,900
– –
NUTR
602
DELISTED
Nutraceutical International Co
NUTR
$100K ﹤0.01%
4,200
– –
HBNC icon
603
Horizon Bancorp
HBNC
$1.06B
$99K ﹤0.01%
9,563
– –
MCRI icon
604
Monarch Casino & Resort
MCRI
$2.2B
$99K ﹤0.01%
5,200
– –
MRTN icon
605
Marten Transport
MRTN
$1.22B
$98K ﹤0.01%
14,250
– –
ODC icon
606
Oil-Dri
ODC
$1.43B
$98K ﹤0.01%
+5,800
New +$90.4K
NTCT icon
607
NETSCOUT
NTCT
$2.83B
$97K ﹤0.01%
+3,800
New +$98.1K
CMO
608
DELISTED
Capstead Mortgage Corp.
CMO
$97K ﹤0.01%
8,200
-16,800
-67% -$199K
BSET icon
609
Bassett Furniture
BSET
$169M
$96K ﹤0.01%
5,900
-3,000
-34% -$47.7K
GRA
610
DELISTED
W.R. Grace & Co.
GRA
$96K ﹤0.01%
1,100
– –
WTBA icon
611
West Bancorporation
WTBA
$477M
$95K ﹤0.01%
6,900
– –
ISBC
612
DELISTED
Investors Bancorp, Inc.
ISBC
$95K ﹤0.01%
11,007
– –
SMRT
613
DELISTED
Stein Mart Inc
SMRT
$95K ﹤0.01%
6,900
– –
SRGA
614
DELISTED
Surgalign Holdings, Inc. Common Stock
SRGA
$93K ﹤0.01%
830
– –
WIBC
615
DELISTED
WILSHIRE BANCORP INC
WIBC
$93K ﹤0.01%
11,400
– –
GYRO icon
616
Gyrodyne
GYRO
$12.1M
$90K ﹤0.01%
108
-54
-33% -$43K
NRG icon
617
NRG Energy
NRG
$26.2B
$90K ﹤0.01%
3,300
– –
CMS icon
618
CMS Energy
CMS
$23.3B
$89K ﹤0.01%
3,400
– –
SHLM
619
DELISTED
Schulman (A.) Inc
SHLM
$88K ﹤0.01%
3,000
– –
DELL
620
DELISTED
DELL INC
DELL
$88K ﹤0.01%
6,400
-16,700
-72% -$226K
CVO
621
DELISTED
Cenevo, Inc.
CVO
$87K ﹤0.01%
3,675
– –
BKYF
622
DELISTED
BK KY FINL CORP
BKYF
$85K ﹤0.01%
3,100
– –
SAIA icon
623
Saia
SAIA
$10.5B
$84K ﹤0.01%
2,700
– –
SIX
624
DELISTED
Six Flags Entertainment Corp.
SIX
$84K ﹤0.01%
2,500
-37,100
-94% -$1.31M
PTRY
625
DELISTED
PANTRY INC (THE)
PTRY
$84K ﹤0.01%
7,600
-9,400
-55% -$113K
23 24
25
26 27

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BC
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SCM
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CFG
Claremont Financial Group Claremont, California $23.4M AUM
AG
Aravt Global New York $11.3M AUM 3.78% 1-Year Est. Return
YEPV
Yorktown Energy Partners V New York $5.41M AUM
WIA
Wealthstreet Investment Advisors Dallas, Texas $3.71M AUM 13.1% 1-Year Est. Return
LSM
Light Sky Macro New York $1.34M AUM
FFIM
Founders Fund IV Management San Francisco, California $1.21M AUM

First Quadrant's Q3 2013 Portfolio in Review

As of Q3 2013, First Quadrant held 860 positions worth $3.95B, up 5.5% from $3.74B the previous quarter. Its ten largest holdings account for 15% of the portfolio.

First Quadrant's Q3 2013 filing shows 60 new, 146 increased, 222 reduced and 71 closed positions. Its largest new stake was MRC Global: 216,194 shares worth $5.79M. The largest sale was CAPITALSOURCE INC, an estimated $27M.

By sector, the portfolio is most concentrated in Financials at 16% of assets, up from 16% a quarter earlier, followed by Technology and Healthcare.

  • First Quadrant's largest Q3 2013 buy was MRC Global: 216,194 shares worth $5.79M.
  • First Quadrant added most to Boeing in Q3 2013, an estimated $23M increase.
  • First Quadrant's biggest Q3 2013 reduction was CAPITALSOURCE INC, cutting an estimated $27M.
  • First Quadrant fully exited NEWS CORPORATION CL-A in Q3 2013, selling an estimated $11.9M.
  • First Quadrant's ten largest holdings make up 15% of its $3.95B portfolio in Q3 2013.
  • First Quadrant opened 60 new positions and closed 71 in Q3 2013.
  • First Quadrant's portfolio value rose 5.5% quarter-over-quarter to $3.95B.

Based on First Quadrant's 13F filing for Q3 2013, filed 28 Oct 2013.