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Oppenheimer & Co Portfolio holdings

AUM $9.37B
1-Year Est. Return 36.4%
This Fund
S&P 500
This Quarter Est. Return
+8.78%
1 Year Est. Return
+36.4%
3 Year Est. Return
+114.29%
5 Year Est. Return
+137.63%
10 Year Est. Return
+535.77%
AUM
$3.13B
AUM Growth
+$281M
Cap. Flow
+$61.6M
Cap. Flow %
1.97%
Top 10 Hldgs %
12.2%
Holding
1,543
New
228
Increased
546
Reduced
510
Closed
166

Top Buys

Rank Stock Value
1
TLOG
TetraLogic Pharmaceuticals Corporation
TLOG
+$8.36M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$8.14M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.91M
4
KMB icon
Kimberly-Clark
KMB
+$5.03M
5
EWU icon
iShares MSCI United Kingdom ETF
EWU
+$3.89M

Top Sells

Rank Stock Value
1
ELD icon
WisdomTree Emerging Markets Local Debt Fund
ELD
+$5.52M
2
BKLN icon
Invesco Senior Loan ETF
BKLN
+$5.39M
3
IXG icon
iShares Global Financials ETF
IXG
+$5.36M
4
CVE icon
Cenovus Energy
CVE
+$5.09M
5
EPP icon
iShares MSCI Pacific ex Japan ETF
EPP
+$4.89M

Sector Composition

Rank Sector Weight
1 Energy 12.37%
2 Healthcare 10.59%
3 Industrials 9.5%
4 Financials 9.49%
5 Technology 9.47%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FU
1351
DELISTED
FAB UNIVERSAL CORP COM
FU
$46K ﹤0.01%
+42,000
New +$240K
DCA
1352
DELISTED
Virtus Total Return Fund
DCA
$42K ﹤0.01%
10,741
-8,000
-43% -$32K
IO
1353
DELISTED
ION Geophysical Corporation
IO
$40K ﹤0.01%
+800
New +$48.5K
HYF
1354
DELISTED
MANAGED HIGH YLD PLUS FD INC
HYF
$38K ﹤0.01%
18,655
-37,007
-66% -$75.3K
CTLP
1355
DELISTED
Cantaloupe
CTLP
$37K ﹤0.01%
+20,498
New +$35.5K
DVAX
1356
DELISTED
Dynavax Technologies
DVAX
$34K ﹤0.01%
1,690
-8,810
-84% -$129K
VCEL icon
1357
Vericel Corp
VCEL
$2.31B
$34K ﹤0.01%
10,600
+7,600
+253% +$29.7K
CGRN
1358
DELISTED
Capstone Green Energy Corporation Common Stock
CGRN
$33K ﹤0.01%
127
-174
-58% -$43K
PALI icon
1359
Palisade Bio
PALI
$367M
– –
0
– –
CRIS icon
1360
Curis
CRIS
$7.83M
$28K ﹤0.01%
+5
New +$34.3K
COSI
1361
DELISTED
COSI INC NEW COM STK (DE)
COSI
$25K ﹤0.01%
15,000
– –
PAL
1362
DELISTED
NORTH AMERICAN PALLADIUM LTD
PAL
$25K ﹤0.01%
38,000
-13,000
-25% -$9.15K
ERN
1363
DELISTED
Erin Energy Corp
ERN
$24K ﹤0.01%
6,694
+1,826
+38% +$5K
MUX icon
1364
McEwen Inc
MUX
$1.18B
$22K ﹤0.01%
+1,100
New +$22.5K
PLG
1365
Platinum Group Metals
PLG
$193M
$17K ﹤0.01%
+145
New +$17K
ONCT
1366
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
$17K ﹤0.01%
7
– –
PLM
1367
DELISTED
PolyMet Mining Corp.
PLM
$14K ﹤0.01%
1,500
-270
-15% -$2.35K
GMO
1368
DELISTED
General Moly, Inc.
GMO
$13K ﹤0.01%
10,000
– –
STSI
1369
DELISTED
STAR SCIENTIFIC INC
STSI
$13K ﹤0.01%
11,000
-10,000
-48% -$15.9K
VGZ icon
1370
Vista Gold
VGZ
$308M
$11K ﹤0.01%
30,000
– –
GCVRZ
1371
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$10K ﹤0.01%
29,819
+3,838
+15% +$4.64K
EGI
1372
DELISTED
Entre Resources Ltd. Common Shares
EGI
$3K ﹤0.01%
10,000
– –
DCTH
1373
DELISTED
Delcath Systems Inc
DCTH
$3K ﹤0.01%
41
+2
+5% +$169
ACAD icon
1374
Acadia Pharmaceuticals
ACAD
$5.03B
– –
-15,001
Closed -$412K
ADI icon
1375
Analog Devices
ADI
$190B
– –
-6,368
Closed -$300K
53 54
55
56 57

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Oppenheimer & Co's Q4 2013 Portfolio in Review

As of Q4 2013, Oppenheimer & Co held 1,543 positions worth $3.13B, up 9.9% from $2.84B the previous quarter. Its ten largest holdings account for 12% of the portfolio.

Oppenheimer & Co's Q4 2013 filing shows 228 new, 546 increased, 510 reduced and 166 closed positions. Its largest new stake was TetraLogic Pharmaceuticals Corporation: 1,072,115 shares worth $10.2M. The largest sale was WisdomTree Emerging Markets Local Debt Fund, an estimated $5.52M.

By sector, the portfolio is most concentrated in Energy at 12% of assets, down from 13% a quarter earlier, followed by Healthcare and Industrials.

  • Oppenheimer & Co's largest Q4 2013 buy was TetraLogic Pharmaceuticals Corporation: 1,072,115 shares worth $10.2M.
  • Oppenheimer & Co added most to Invesco FTSE RAFI US 1000 ETF in Q4 2013, an estimated $8.14M increase.
  • Oppenheimer & Co's biggest Q4 2013 reduction was WisdomTree Emerging Markets Local Debt Fund, cutting an estimated $5.52M.
  • Oppenheimer & Co fully exited iShares Global Financials ETF in Q4 2013, selling an estimated $5.36M.
  • Oppenheimer & Co's ten largest holdings make up 12% of its $3.13B portfolio in Q4 2013.
  • Oppenheimer & Co opened 228 new positions and closed 166 in Q4 2013.
  • Oppenheimer & Co's portfolio value rose 9.9% quarter-over-quarter to $3.13B.

Based on Oppenheimer & Co's 13F filing for Q4 2013, filed 12 Feb 2014.