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National Planning Corporation Portfolio holdings

AUM $726K
1-Year Est. Return 14.28%
This Fund
S&P 500
This Quarter Est. Return
+6.26%
1 Year Est. Return
+14.28%
3 Year Est. Return
+24.8%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$1.12B
AUM Growth
+$91.7M
Cap. Flow
+$40M
Cap. Flow %
3.57%
Top 10 Hldgs %
19.74%
Holding
742
New
78
Increased
308
Reduced
285
Closed
37

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$12M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$7.77M
3
IJK icon
iShares S&P Mid-Cap 400 Growth ETF
IJK
+$7.37M
4
EFA icon
iShares MSCI EAFE ETF
EFA
+$5.77M
5
IYM icon
iShares US Basic Materials ETF
IYM
+$5.02M

Top Sells

Rank Stock Value
1
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$8.79M
2
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$6.69M
3
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$6.01M
4
IVE icon
iShares S&P 500 Value ETF
IVE
+$5.96M
5
IJS icon
iShares S&P Small-Cap 600 Value ETF
IJS
+$5.57M

Sector Composition

Rank Sector Weight
1 Energy 7.95%
2 Consumer Staples 4.49%
3 Technology 3.62%
4 Healthcare 3.57%
5 Industrials 3.53%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CMU
676
DELISTED
MFS High Yield Municipal Trust
CMU
$92K 0.01%
22,608
+248
+1% +$1.02K
NG icon
677
NovaGold Resources
NG
$3.33B
$90K 0.01%
36,300
-19,453
-35% -$44.2K
AUY
678
DELISTED
Yamana Gold, Inc.
AUY
$90K 0.01%
10,442
-11,815
-53% -$109K
MMT
679
Aberdeen Multi-Market Income Fund
MMT
$243M
$82K 0.01%
12,417
+31
+0.3% +$202
TSI
680
TCW Strategic Income Fund
TSI
$213M
$82K 0.01%
15,192
+500
+3% +$2.71K
ELNK
681
DELISTED
EarthLink Holdings Corp.
ELNK
$80K 0.01%
+15,175
New +$77.5K
FTR
682
DELISTED
Frontier Communications Corp.
FTR
$80K 0.01%
1,247
+83
+7% +$5.68K
GNSS icon
683
Genasys
GNSS
$79.2M
$79K 0.01%
+40,062
New +$67.4K
MIN
684
Aberdeen Intermediate Income Fund
MIN
$278M
$79K 0.01%
15,103
-450
-3% -$2.34K
FBP icon
685
First Bancorp
FBP
$4.38B
$76K 0.01%
12,249
– –
MUX icon
686
McEwen Inc
MUX
$1.18B
$76K 0.01%
3,857
-1,031
-21% -$21K
QUIK icon
687
QuickLogic
QUIK
$257M
$75K 0.01%
1,336
-357
-21% -$16.8K
MDW
688
DELISTED
MIDWAY GOLD CORP (CANADA)
MDW
$72K 0.01%
89,300
– –
EVF
689
Eaton Vance Senior Income Trust
EVF
$90.5M
$68K 0.01%
10,000
– –
VVR icon
690
Invesco Senior Income Trust
VVR
$454M
$68K 0.01%
13,375
-6,500
-33% -$33.8K
MCP
691
DELISTED
MOLYCORP INC COM STK
MCP
$68K 0.01%
12,634
+950
+8% +$5.01K
AOD
692
abrdn Total Dynamic Dividend Fund
AOD
$1.12B
$66K 0.01%
7,916
-250
-3% -$2.06K
ECTE
693
DELISTED
ECHO THERAPEUTICS, INC. NEW COMMON STOCK (DE)
ECTE
$66K 0.01%
21,025
-50
-0.2% -$139
TWER
694
DELISTED
Towerstream Corporation Common Stock
TWER
$58K 0.01%
975
-150
-13% -$7.56K
QMM
695
DELISTED
QUATERRA RESOURCES INC LTD
QMM
$56K 0.01%
616,625
-250,000
-29% -$24.4K
AMD icon
696
Advanced Micro Devices
AMD
$789B
$46K ﹤0.01%
+11,850
New +$42.5K
SURG
697
DELISTED
SYNERGETICS USA, INC.
SURG
$42K ﹤0.01%
11,475
– –
PCO
698
DELISTED
Pendrell Corporation - Class A
PCO
$41K ﹤0.01%
20
– –
GAU
699
Galiano Gold
GAU
$538M
$26K ﹤0.01%
18,449
-5,532
-23% -$11.7K
CGRN
700
DELISTED
Capstone Green Energy Corporation Common Stock
CGRN
$21K ﹤0.01%
82
– –
26 27
28
29 30

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MIM
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DI
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LM
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RO
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GHA
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FPCM
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National Planning Corporation's Q4 2013 Portfolio in Review

As of Q4 2013, National Planning Corporation held 742 positions worth $1.12B, up 8.9% from $1.03B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

National Planning Corporation deployed $40M of net new capital in Q4 2013, opening 78 new positions and adding to 308 existing holdings. Its largest new stake was VanEck IG Floating Rate ETF: 91,507 shares worth $2.28M.

By sector, the portfolio is most concentrated in Energy at 8% of assets, up from 7.9% a quarter earlier, followed by Consumer Staples and Technology.

On the sell side, the largest reduction was iShares 7-10 Year Treasury Bond ETF, an estimated $8.79M trimmed.

  • National Planning Corporation's largest Q4 2013 buy was VanEck IG Floating Rate ETF: 91,507 shares worth $2.28M.
  • National Planning Corporation added most to iShares Russell 2000 ETF in Q4 2013, an estimated $12M increase.
  • National Planning Corporation's biggest Q4 2013 reduction was iShares 7-10 Year Treasury Bond ETF, cutting an estimated $8.79M.
  • National Planning Corporation fully exited PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund in Q4 2013, selling an estimated $2.44M.
  • National Planning Corporation's ten largest holdings make up 20% of its $1.12B portfolio in Q4 2013.
  • National Planning Corporation opened 78 new positions and closed 37 in Q4 2013.
  • National Planning Corporation's portfolio value rose 8.9% quarter-over-quarter to $1.12B.

Based on National Planning Corporation's 13F filing for Q4 2013, filed 13 Jan 2014.