FIA

FNY Investment Advisers Portfolio holdings

AUM $235M
1-Year Return 45.4%
This Quarter Return
+26.07%
1 Year Return
+45.4%
3 Year Return
+178.61%
5 Year Return
+302.44%
10 Year Return
–
AUM
$364M
AUM Growth
+$128M
Cap. Flow
+$97.4M
Cap. Flow %
26.74%
Top 10 Hldgs %
29.88%
Holding
1,002
New
496
Increased
101
Reduced
100
Closed
222

Top Buys

1
KNSL icon
Kinsale Capital Group
KNSL
$16.8M
2
XLNX
Xilinx Inc
XLNX
$13.6M
3
BABA icon
Alibaba
BABA
$11.7M
4
RYAAY icon
Ryanair
RYAAY
$9.57M
5
BP icon
BP
BP
$8.91M

Top Sells

1
GRUB
Just Eat Takeaway.com N.V. American Depositary Shares
GRUB
$19.9M
2
QVCGP
QVC Group, Inc. 8.0% Fixed Rate Cumulative Redeemable Preferred Stock
QVCGP
$6.93M
3
PAYA
Paya Holdings Inc. Class A Common Stock
PAYA
$5.88M
4
LAZR icon
Luminar Technologies
LAZR
$4.88M
5
LYG icon
Lloyds Banking Group
LYG
$4.7M

Sector Composition

1 Financials 14.96%
2 Healthcare 13.96%
3 Consumer Discretionary 12.94%
4 Industrials 11.72%
5 Energy 10.53%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
HYACU
801
DELISTED
Haymaker Acquisition Corp. II Unit
HYACU
– –
-100
Closed -$1K
TRNE.U
802
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
– –
-1,970
Closed -$23K
GMHIU
803
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
– –
-100
Closed -$1K
NTRP
804
DELISTED
Neurotrope, Inc. Common
NTRP
– –
-25,000
Closed -$27K
ARYBU
805
DELISTED
ARYA Sciences Acquisition Corp II Unit
ARYBU
– –
-94,300
Closed -$1.04M
CPAAU
806
DELISTED
Conyers Park II Acquisition Corp. Unit
CPAAU
– –
-100
Closed -$1K
IMMU
807
DELISTED
Immunomedics Inc
IMMU
– –
-44,908
Closed -$3.82M
FTACU
808
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
– –
-800
Closed -$8K
AIMT
809
DELISTED
Aimmune Therapeutics, Inc.
AIMT
– –
-900
Closed -$31K
ONDK
810
DELISTED
On Deck Capital, Inc.
ONDK
– –
-14,000
Closed -$22K
AKCA
811
DELISTED
Akcea Therapeutics, Inc. Common Stock
AKCA
– –
-5
Closed –
CCXX.WS
812
DELISTED
Churchill Capital Corp III Warrants, each exercisable for one share of Class A common stock at an ex
CCXX.WS
– –
-5,282
Closed -$10K
MNTA
813
DELISTED
Momenta Pharmaceuticals, Inc.
MNTA
– –
0
– –
JE
814
DELISTED
Just Energy Group Inc
JE
– –
-100
Closed –
TTP
815
DELISTED
TORTOISE PIPELINE & ENERGY FUND, INC.
TTP
$0 ﹤0.01%
1
– –
DMTKW
816
DELISTED
DermTech, Inc. Warrant
DMTKW
– –
-2,500
Closed -$1K
GTYH
817
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
$0 ﹤0.01%
100
– –
FNBC
818
DELISTED
First NBC Bank Holding Company
FNBC
$0 ﹤0.01%
8,519
– –
ZGNX
819
DELISTED
Zogenix, Inc.
ZGNX
– –
-13,500
Closed -$242K
FNM
820
DELISTED
FANNIE MAE
FNM
– –
-200
Closed –
FNM.PRH
821
DELISTED
FANNIE MAE 5.81% PFD SER H
FNM.PRH
– –
-600
Closed -$8K
FRE
822
DELISTED
FREDDIE MAC D/B/A VOTING
FRE
$0 ﹤0.01%
+100
New –
INPC
823
DELISTED
INPHONIC INC
INPC
$0 ﹤0.01%
14,472
– –
BAY
824
DELISTED
BAYER AG SPONS ADR
BAY
– –
-35,000
Closed -$523K
LVOXU
825
DELISTED
LiveVox Holding, Inc. Unit
LVOXU
– –
-100
Closed -$1K
31 32
33
34 35