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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
+4.04%
1 Year Est. Return
+24.2%
3 Year Est. Return
+90.61%
5 Year Est. Return
+144.35%
10 Year Est. Return
–
AUM
$4.72B
AUM Growth
+$190M
Cap. Flow
+$63.1M
Cap. Flow %
1.34%
Top 10 Hldgs %
13.44%
Holding
963
New
145
Increased
195
Reduced
238
Closed
94

Top Buys

Rank Stock Value
1
PEP icon
PepsiCo
PEP
+$35.4M
2
BAX icon
Baxter International
BAX
+$30.7M
3
UPS icon
United Parcel Service
UPS
+$27M
4
AEP icon
American Electric Power
AEP
+$22.9M
5
DRI icon
Darden Restaurants
DRI
+$22.3M

Top Sells

Rank Stock Value
1
GE icon
GE Aerospace
GE
+$40.3M
2
VZ icon
Verizon
VZ
+$38.9M
3
SLB icon
SLB Ltd
SLB
+$33.9M
4
JNJ icon
Johnson & Johnson
JNJ
+$30.3M
5
INTU icon
Intuit
INTU
+$25.9M

Sector Composition

Rank Sector Weight
1 Technology 16.15%
2 Healthcare 14.15%
3 Financials 13.11%
4 Consumer Discretionary 11.73%
5 Industrials 11.62%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ESV
951
DELISTED
Ensco Rowan plc
ESV
– –
-5,675
Closed -$220K
IFC
952
DELISTED
IRWIN FINANCIAL CORP
IFC
$0 ﹤0.01%
5,800
– –
TYC
953
DELISTED
TYCO INTL PLC COM SHS (IRL)
TYC
– –
-2,769
Closed -$124K
CA
954
DELISTED
CA, Inc.
CA
– –
-329,200
Closed -$10.8M
CKH
955
DELISTED
Seacor Holdings Inc.
CKH
– –
-2,688
Closed -$151K
BAS
956
DELISTED
Basis Energy Services, Inc.
BAS
– –
-76
Closed -$73K
TSS
957
DELISTED
Total System Services, Inc.
TSS
– –
-121
Closed -$6K
DST
958
DELISTED
DST Systems Inc.
DST
– –
-43,800
Closed -$2.55M
NADL
959
DELISTED
North Atlantic Drilling Ltd
NADL
– –
-3,700
Closed -$25K
WNR
960
DELISTED
Western Refining Inc
WNR
– –
-5,900
Closed -$122K
KKD
961
DELISTED
KRISPY KREME DOUGHNUTS INC
KKD
– –
-57,838
Closed -$1.21M
HAWK
962
DELISTED
Blackhawk Network Holdings, Inc. Common Stock
HAWK
– –
-1
Closed –
CZR
963
DELISTED
Caesars Entertainment Corporation
CZR
– –
-2,700
Closed -$21K
35 36 37 38
39

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First Quadrant's Q3 2016 Portfolio in Review

As of Q3 2016, First Quadrant held 963 positions worth $4.72B, up 4.2% from $4.53B the previous quarter. Its ten largest holdings account for 13% of the portfolio.

First Quadrant's Q3 2016 filing shows 145 new, 195 increased, 238 reduced and 94 closed positions. Its largest new stake was Baxter International: 651,414 shares worth $31M. The largest sale was GE Aerospace, an estimated $40.3M.

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

  • First Quadrant's largest Q3 2016 buy was Baxter International: 651,414 shares worth $31M.
  • First Quadrant added most to PepsiCo in Q3 2016, an estimated $35.4M increase.
  • First Quadrant's biggest Q3 2016 reduction was GE Aerospace, cutting an estimated $40.3M.
  • First Quadrant fully exited ResMed in Q3 2016, selling an estimated $24.7M.
  • First Quadrant's ten largest holdings make up 13% of its $4.72B portfolio in Q3 2016.
  • First Quadrant opened 145 new positions and closed 94 in Q3 2016.
  • First Quadrant's portfolio value rose 4.2% quarter-over-quarter to $4.72B.

Based on First Quadrant's 13F filing for Q3 2016, filed 19 Oct 2016.