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Linden Advisors Portfolio holdings

AUM $17.9B
1-Year Est. Return 1.72%
This Fund
S&P 500
This Quarter Est. Return
+4.13%
1 Year Est. Return
+1.72%
3 Year Est. Return
+2.79%
5 Year Est. Return
+3.4%
10 Year Est. Return
+25.58%
AUM
$601M
AUM Growth
-$169M
Cap. Flow
-$341M
Cap. Flow %
-56.76%
Top 10 Hldgs %
67.65%
Holding
61
New
11
Increased
2
Reduced
5
Closed
8

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$19.4M
2
GM.PRB
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
+$12.5M
3
ALJ
Alon USA Energy Inc
ALJ
+$3.07M
4
GM.WS.C
GENERAL MTRS CO WTS EXP 12/31/15 (DE)
GM.WS.C
+$2.99M
5
INTC icon
Intel
INTC
+$2.06M

Top Sells

Rank Stock Value
1
ALR.PRB
Alere Inc
ALR.PRB
+$14.9M
2
CSOD
Cornerstone OnDemand, Inc.
CSOD
+$4.88M
3
MCP
MOLYCORP INC COM STK
MCP
+$3.39M
4
NFLX icon
Netflix
NFLX
+$2.11M
5
ON icon
ON Semiconductor
ON
+$533K

Sector Composition

Rank Sector Weight
1 Materials 0.56%
2 Technology 0.29%
3 Industrials 0.05%
4 Financials 0.05%
5 Communication Services 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$789B
$99.2M 16.5%
614,400
+314,400
+105% +$52.7M
ALR.PRB
2
DELISTED
Alere Inc
ALR.PRB
$81.6M 13.58%
342,793
-56,996
-14% -$14.9M
DELL
3
CALL
DELISTED
DELL INC
DELL
$42M 6.98%
3,064,300
-372,538
-11% -$5.05M
SPY icon
4
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$789B
$33.3M 5.54%
200,000
-100,000
-33% -$16.8M
SPY icon
5
State Street SPDR S&P 500 ETF Trust
SPY
$789B
$19.3M 3.21%
+115,895
New +$19.4M
GM.PRB
6
DELISTED
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
$9.91M 1.65%
+250,000
New +$12.5M
VXX
7
PUT
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
$7.28M 1.21%
7,813
+6,250
+400% +$6.26M
GM.WS.B
8
DELISTED
General Motors Company
GM.WS.B
$7.17M 1.19%
406,013
– –
EWZ icon
9
iShares MSCI Brazil ETF
EWZ
$9.18B
$7.16M 1.19%
150,000
– –
EWZ icon
10
PUT
iShares MSCI Brazil ETF
EWZ
$9.18B
$7.16M 1.19%
150,000
– –
MU icon
11
CALL
Micron Technology
MU
$1.1T
$6.69M 1.11%
384,000
-277,000
-42% -$4.02M
XHB icon
12
CALL
State Street SPDR S&P Homebuilders ETF
XHB
$1.71B
$6.05M 1.01%
+200,000
New +$5.98M
MS icon
13
CALL
Morgan Stanley
MS
$344B
$5.38M 0.89%
200,000
– –
C icon
14
CALL
Citigroup
C
$224B
$4.84M 0.8%
100,000
– –
USO icon
15
PUT
United States Oil Fund
USO
$2.35B
$3.67M 0.61%
+12,563
New +$3.79M
MCP
16
DELISTED
MOLYCORP INC COM STK
MCP
$3.39M 0.56%
516,100
-504,733
-49% -$3.39M
GM.WS.C
17
DELISTED
GENERAL MTRS CO WTS EXP 12/31/15 (DE)
GM.WS.C
$2.55M 0.42%
+750,000
New +$2.99M
BAC icon
18
CALL
Bank of America
BAC
$434B
$2.08M 0.35%
151,300
– –
ALJ
19
DELISTED
Alon USA Energy Inc
ALJ
$2.03M 0.34%
+248,500
New +$3.07M
INTC icon
20
Intel
INTC
$526B
$1.71M 0.29%
+89,300
New +$2.06M
DELL
21
DELISTED
DELL INC
DELL
$1.31M 0.22%
+96,000
New +$1.3M
WY.PRA
22
DELISTED
WEYERHAEUSER COMP PREF CONV SER A (WA)
WY.PRA
$1.04M 0.17%
+25,000
New +$1.32M
GNK
23
PUT
DELISTED
GENCO SHIPPING & TRADING LTD
GNK
$779K 0.13%
+200,000
New +$540K
DRYS
24
DELISTED
DryShips Inc. Common Stock
DRYS
– –
0
– –
ORIG
25
DELISTED
Ocean Rig UDW Inc. Class A Common Shares
ORIG
$303K 0.05%
+2
New +$329K
1
2

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HNB
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CWP
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FCM
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TAF
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BBA
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FAF
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NC
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Linden Advisors's Q3 2013 Portfolio in Review

As of Q3 2013, Linden Advisors held 61 positions worth $601M, down 22% from $770M the previous quarter. Its ten largest holdings account for 68% of the portfolio.

Linden Advisors withdrew a net $341M in Q3 2013, closing 8 positions and reducing 5 holdings. Its most notable exit was Cornerstone OnDemand, Inc., an estimated $4.88M position sold in full.

By sector, the portfolio is most concentrated in Materials at 0.56% of assets, down from 0.82% a quarter earlier, followed by Technology and Industrials.

Against the trend, Linden Advisors opened a new position in State Street SPDR S&P 500 ETF Trust worth $19.3M.

  • Linden Advisors's largest Q3 2013 buy was State Street SPDR S&P 500 ETF Trust: 115,895 shares worth $19.3M.
  • Linden Advisors's biggest Q3 2013 reduction was Alere Inc, cutting an estimated $14.9M.
  • Linden Advisors fully exited Cornerstone OnDemand, Inc. in Q3 2013, selling an estimated $4.88M.
  • Linden Advisors's ten largest holdings make up 68% of its $601M portfolio in Q3 2013.
  • Linden Advisors opened 11 new positions and closed 8 in Q3 2013.
  • Linden Advisors's portfolio value fell 22% quarter-over-quarter to $601M.

Based on Linden Advisors's 13F filing for Q3 2013, filed 14 Nov 2013.