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HA

Havens Advisors Portfolio holdings

AUM $39.3M
1-Year Est. Return 80.07%
This Fund
S&P 500
This Quarter Est. Return
+15.09%
1 Year Est. Return
+80.07%
3 Year Est. Return
+460.15%
5 Year Est. Return
+1,430.14%
10 Year Est. Return
–
AUM
$126M
AUM Growth
-$53.5M
Cap. Flow
-$67.8M
Cap. Flow %
-53.84%
Top 10 Hldgs %
49.77%
Holding
67
New
16
Increased
2
Reduced
9
Closed
31

Top Buys

Rank Stock Value
1
BPO
BROOKFIELD OFFICE PROPERTIES. INC
BPO
+$5.95M
2
HMA
HEALTH MGMT ASSOC INC CL-A
HMA
+$5.69M
3
RDA
RDA MICROELECTRONICS INC SPONSORED ADR
RDA
+$4.8M
4
JOSB
JOS A BANK CLOTHIERS INC
JOSB
+$4.66M
5
MW
THE MENS WAREHOUSE INC
MW
+$4.64M

Top Sells

Rank Stock Value
1
ONXX
ONYX PHARMACEUTICALS INC
ONXX
+$17.2M
2
ELN
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
+$10.5M
3
NYX
NYSE EURONEXT INC
NYX
+$9.57M
4
SPRD
SPREADTRUM COMMUNICATIONS INC ADS (CAYMAN ISLANDS)
SPRD
+$7.49M
5
DELL
DELL INC
DELL
+$6.88M

Sector Composition

Rank Sector Weight
1 Real Estate 11.53%
2 Financials 11.04%
3 Industrials 7.42%
4 Healthcare 7.35%
5 Consumer Discretionary 6.56%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFE icon
26
Pfizer
PFE
$143B
$2.05M 1.63%
70,451
– –
MW
27
PUT
DELISTED
THE MENS WAREHOUSE INC
MW
$2.04M 1.62%
+40,000
New +$1.86M
JNPR
28
DELISTED
Juniper Networks
JNPR
$1.9M 1.51%
84,190
– –
LIFE
29
CALL
DELISTED
LIFE TECHNOLOGIES CORP COM STK (DE)
LIFE
$1.9M 1.5%
25,000
-1,100
-4% -$83K
JEF icon
30
Jefferies Financial Group
JEF
$12.6B
$1.6M 1.27%
63,044
-72,948
-54% -$1.85M
YHOO
31
DELISTED
Yahoo Inc
YHOO
$1.31M 1.04%
32,520
– –
AMGN icon
32
Amgen
AMGN
$208B
$1.29M 1.02%
11,276
– –
AAL icon
33
PUT
American Airlines Group
AAL
$10.1B
$480K 0.38%
+19,000
New +$489K
LPNT
34
DELISTED
LifePoint Health, Inc.
LPNT
$162K 0.13%
3,070
– –
GCVRZ
35
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$148K 0.12%
435,000
-490,000
-53% -$592K
BB icon
36
BlackBerry
BB
$4.98B
– –
-75,000
Closed -$596K
BB icon
37
PUT
BlackBerry
BB
$4.98B
– –
-75,000
Closed -$596K
CYH icon
38
Community Health Systems
CYH
$393M
– –
-18,380
Closed -$630K
FNF icon
39
PUT
Fidelity National Financial
FNF
$13.9B
– –
-176,204
Closed -$2.68M
ODP
40
DELISTED
ODP
ODP
– –
-53,800
Closed -$2.6M
HTSI
41
DELISTED
HARRIS TEETER SUPERMARKETS INC COM STK (NC)
HTSI
– –
-50,000
Closed -$2.46M
SPRD
42
DELISTED
SPREADTRUM COMMUNICATIONS INC ADS (CAYMAN ISLANDS)
SPRD
– –
-246,000
Closed -$7.49M
BLC
43
DELISTED
BELO CORP SER A
BLC
– –
-299,000
Closed -$4.1M
ELN
44
DELISTED
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
– –
-675,000
Closed -$10.5M
ELN
45
PUT
DELISTED
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
– –
-100,000
Closed -$1.56M
LCC
46
DELISTED
US AIRWAYS GROUP INC.
LCC
– –
-43,000
Closed -$815K
LCC
47
PUT
DELISTED
US AIRWAYS GROUP INC.
LCC
– –
-62,000
Closed -$1.18M
TLAB
48
DELISTED
TELLABS INC
TLAB
– –
-40,966
Closed -$93K
NTSC
49
DELISTED
NATL TECHNICAL SYS INC
NTSC
– –
-175,397
Closed -$4.01M
ROCM
50
DELISTED
ROCHESTER MEDICAL CORP
ROCM
– –
-303,146
Closed -$6.05M
1
2
3

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JI
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BGP
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NRC
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EOCM
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LN
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ACM
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CL
Chubb Ltd Zurich, Switzerland $29.9M AUM 48.89% 1-Year Est. Return
ECM
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Havens Advisors's Q4 2013 Portfolio in Review

As of Q4 2013, Havens Advisors held 67 positions worth $126M, down 30% from $180M the previous quarter. Its ten largest holdings account for 50% of the portfolio.

Havens Advisors withdrew a net $67.8M in Q4 2013, closing 31 positions and reducing 9 holdings. Its most notable exit was ONYX PHARMACEUTICALS INC, an estimated $17.2M position sold in full.

By sector, the portfolio is most concentrated in Real Estate at 12% of assets, up from 0% a quarter earlier, followed by Financials and Industrials.

Against the trend, Havens Advisors opened a new position in BROOKFIELD OFFICE PROPERTIES. INC worth $6.01M.

  • Havens Advisors's largest Q4 2013 buy was BROOKFIELD OFFICE PROPERTIES. INC: 312,000 shares worth $6.01M.
  • Havens Advisors added most to HUDSON CITY BANCORP INC in Q4 2013, an estimated $2.56M increase.
  • Havens Advisors's biggest Q4 2013 reduction was CAPITALSOURCE INC, cutting an estimated $2.06M.
  • Havens Advisors fully exited ONYX PHARMACEUTICALS INC in Q4 2013, selling an estimated $17.2M.
  • Havens Advisors's ten largest holdings make up 50% of its $126M portfolio in Q4 2013.
  • Havens Advisors opened 16 new positions and closed 31 in Q4 2013.
  • Havens Advisors's portfolio value fell 30% quarter-over-quarter to $126M.

Based on Havens Advisors's 13F filing for Q4 2013, filed 29 Jan 2014.