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Lau Associates Portfolio holdings

AUM $201M
1-Year Est. Return 26.29%
This Fund
S&P 500
This Quarter Est. Return
+7.61%
1 Year Est. Return
+26.29%
3 Year Est. Return
+44.49%
5 Year Est. Return
+59.98%
10 Year Est. Return
–
AUM
$113M
AUM Growth
-$7.61M
Cap. Flow
-$14.4M
Cap. Flow %
-12.76%
Top 10 Hldgs %
53.8%
Holding
68
New
3
Increased
8
Reduced
20
Closed
2

Top Buys

Rank Stock Value
1
PRU icon
Prudential Financial
PRU
+$341K
2
ALK icon
Alaska Air
ALK
+$213K
3
QCOM icon
Qualcomm
QCOM
+$212K
4
SNDK
SANDISK CORP
SNDK
+$202K
5
ESRX
Express Scripts Holding Company
ESRX
+$196K

Top Sells

Rank Stock Value
1
SGOL icon
abrdn Physical Gold Shares ETF
SGOL
+$8.21M
2
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$4.01M
3
CBSH icon
Commerce Bancshares
CBSH
+$693K
4
PHYS icon
Sprott Physical Gold
PHYS
+$427K
5
GILD icon
Gilead Sciences
GILD
+$313K

Sector Composition

Rank Sector Weight
1 Technology 20.12%
2 Energy 15.91%
3 Healthcare 14.19%
4 Consumer Staples 10.66%
5 Industrials 6.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SYY icon
26
Sysco
SYY
$41.4B
$1.09M 0.97%
30,249
-6,488
-18% -$219K
IWF icon
27
iShares Russell 1000 Growth ETF
IWF
$118B
$1.06M 0.94%
49,512
– –
VOD icon
28
Vodafone
VOD
$37.5B
$1.04M 0.92%
26,002
– –
AXP icon
29
American Express
AXP
$226B
$1.02M 0.91%
11,300
– –
QCOM icon
30
Qualcomm
QCOM
$176B
$862K 0.77%
11,607
+3,000
+35% +$212K
RTX icon
31
RTX Corp
RTX
$298B
$797K 0.71%
11,129
– –
T icon
32
AT&T
T
$172B
$786K 0.7%
29,590
-6,620
-18% -$174K
UPS icon
33
United Parcel Service
UPS
$91.7B
$738K 0.65%
7,024
– –
LNC icon
34
Lincoln National
LNC
$7.98B
$645K 0.57%
12,500
– –
BMY icon
35
Bristol-Myers Squibb
BMY
$132B
$634K 0.56%
11,932
– –
IWD icon
36
iShares Russell 1000 Value ETF
IWD
$82.4B
$634K 0.56%
6,730
– –
CBSH icon
37
Commerce Bancshares
CBSH
$8.58B
$632K 0.56%
25,287
-28,286
-53% -$693K
ALK icon
38
Alaska Air
ALK
$5.3B
$602K 0.53%
16,400
+6,000
+58% +$213K
MO icon
39
Altria Group
MO
$128B
$589K 0.52%
15,350
– –
SNDK
40
DELISTED
SANDISK CORP
SNDK
$571K 0.51%
8,100
+3,000
+59% +$202K
RDS.A
41
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$527K 0.47%
7,388
– –
EMC
42
DELISTED
EMC CORPORATION
EMC
$506K 0.45%
20,100
+8,000
+66% +$194K
JPM icon
43
JPMorgan Chase
JPM
$947B
$491K 0.44%
8,400
– –
APA icon
44
APA Corp
APA
$12.4B
$490K 0.43%
5,700
+2,000
+54% +$178K
NKE icon
45
Nike
NKE
$63.8B
$488K 0.43%
12,400
– –
PM icon
46
Philip Morris
PM
$323B
$463K 0.41%
5,311
– –
ABBV icon
47
AbbVie
ABBV
$469B
$432K 0.38%
8,173
– –
SYK icon
48
Stryker
SYK
$134B
$417K 0.37%
5,550
– –
VZ icon
49
Verizon
VZ
$204B
$384K 0.34%
7,808
– –
EAT icon
50
Brinker International
EAT
$8.46B
$371K 0.33%
8,000
– –
1
2
3

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AEPI
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TWM
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Lau Associates's Q4 2013 Portfolio in Review

As of Q4 2013, Lau Associates held 68 positions worth $113M, down 6.3% from $120M the previous quarter. Its ten largest holdings account for 54% of the portfolio.

Lau Associates withdrew a net $14.4M in Q4 2013, closing 2 positions and reducing 20 holdings. Its most notable exit was Sprott Physical Gold and Silver Trust, an estimated $4.01M position sold in full.

By sector, the portfolio is most concentrated in Technology at 20% of assets, up from 17% a quarter earlier, followed by Energy and Healthcare.

Against the trend, Lau Associates opened a new position in Prudential Financial worth $369K.

  • Lau Associates's largest Q4 2013 buy was Prudential Financial: 4,000 shares worth $369K.
  • Lau Associates added most to Alaska Air in Q4 2013, an estimated $213K increase.
  • Lau Associates's biggest Q4 2013 reduction was abrdn Physical Gold Shares ETF, cutting an estimated $8.21M.
  • Lau Associates fully exited Sprott Physical Gold and Silver Trust in Q4 2013, selling an estimated $4.01M.
  • Lau Associates's ten largest holdings make up 54% of its $113M portfolio in Q4 2013.
  • Lau Associates opened 3 new positions and closed 2 in Q4 2013.
  • Lau Associates's portfolio value fell 6.3% quarter-over-quarter to $113M.

Based on Lau Associates's 13F filing for Q4 2013, filed 15 Jan 2014.