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Paloma Partners Portfolio holdings

AUM $510M
1-Year Est. Return 286.05%
This Fund
S&P 500
This Quarter Est. Return
+3.74%
1 Year Est. Return
+286.05%
3 Year Est. Return
+321.92%
5 Year Est. Return
+284.54%
10 Year Est. Return
+855.7%
AUM
$7.27B
AUM Growth
-$1.17B
Cap. Flow
-$1.7B
Cap. Flow %
-23.39%
Top 10 Hldgs %
25.72%
Holding
2,745
New
632
Increased
565
Reduced
769
Closed
686

Top Buys

Rank Stock Value
1
ALR
Alere Inc
ALR
+$36.1M
2
PRXL
Parexel International Corp
PRXL
+$24.3M
3
XRT icon
State Street SPDR S&P Retail ETF
XRT
+$14.8M
4
EQT icon
EQT Corp
EQT
+$13.7M
5
PBA icon
Pembina Pipeline
PBA
+$12.7M

Top Sells

Rank Stock Value
1
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$59M
2
IBB icon
iShares Biotechnology ETF
IBB
+$41M
3
XOP icon
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
+$30.5M
4
AAPL icon
Apple
AAPL
+$24.4M
5
TRI icon
Thomson Reuters
TRI
+$20.6M

Sector Composition

Rank Sector Weight
1 Financials 4.49%
2 Industrials 4.34%
3 Technology 3.92%
4 Consumer Discretionary 3.71%
5 Healthcare 3.41%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TUP
2501
DELISTED
Tupperware Brands Corporation
TUP
– –
-6,163
Closed -$433K
KA
2502
DELISTED
Kineta, Inc. Common Stock
KA
– –
-209
Closed -$137K
ASXC
2503
DELISTED
Asensus Surgical, Inc.
ASXC
– –
-19,831
Closed -$183K
TPHS
2504
DELISTED
Trinity Place Holdings Inc.com
TPHS
– –
-13,600
Closed -$97K
AVGR
2505
DELISTED
Avinger, Inc. Common Stock
AVGR
– –
0
– -$22K
CAMP
2506
DELISTED
CalAmp Corp.
CAMP
– –
-634
Closed -$296K
SP
2507
DELISTED
SP Plus Corporation
SP
– –
-7,800
Closed -$238K
TTOO
2508
DELISTED
T2 Biosystems, Inc
TTOO
– –
-11
Closed -$177K
PXD
2509
DELISTED
Pioneer Natural Resource Co.
PXD
– –
-18,728
Closed -$2.69M
EIGR
2510
DELISTED
Eiger BioPharmaceuticals, Inc.
EIGR
– –
-520
Closed -$123K
BPTH
2511
DELISTED
Bio-Path Holdings Inc
BPTH
– –
-81
Closed -$125K
NVTA
2512
DELISTED
Invitae Corporation
NVTA
– –
-17,300
Closed -$165K
MRTX
2513
DELISTED
Mirati Therapeutics, Inc. Common Stock
MRTX
– –
-56,650
Closed -$207K
SGEN
2514
DELISTED
Seagen Inc. Common Stock
SGEN
– –
-32,991
Closed -$1.71M
ARGO
2515
DELISTED
Argo Group International Holdings, Ltd.
ARGO
– –
-13,304
Closed -$700K
UFAB
2516
DELISTED
Unique Fabricating, Inc.
UFAB
– –
-24,900
Closed -$237K
ICPT
2517
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
– –
-5,600
Closed -$678K
RAD
2518
CALL
DELISTED
Rite Aid Corporation
RAD
– –
-5,000
Closed -$295K
NATI
2519
DELISTED
National Instruments Corp
NATI
– –
-39,710
Closed -$1.6M
INFI
2520
DELISTED
Infinity Pharmaceuticals, Inc.
INFI
– –
-183,000
Closed -$287K
NOVN
2521
DELISTED
Novan, Inc. Common Stock
NOVN
– –
-1,810
Closed -$73K
LSI
2522
DELISTED
Life Storage, Inc.
LSI
– –
-16,650
Closed -$823K
ISEE
2523
DELISTED
IVERIC bio, Inc. Common Stock
ISEE
– –
-112,300
Closed -$287K
DCP
2524
DELISTED
DCP Midstream, LP
DCP
– –
-14,971
Closed -$506K
FRC
2525
DELISTED
First Republic Bank
FRC
– –
-5,515
Closed -$552K
99 100
101
102 103

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MCA
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Paloma Partners's Q3 2017 Portfolio in Review

As of Q3 2017, Paloma Partners held 2,745 positions worth $7.27B, down 14% from $8.45B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Paloma Partners withdrew a net $1.7B in Q3 2017, closing 686 positions and reducing 769 holdings. Its most notable exit was Intel, an estimated $15.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 4.5% of assets, down from 5.5% a quarter earlier, followed by Industrials and Technology.

Against the trend, Paloma Partners opened a new position in State Street SPDR S&P Retail ETF worth $15.4M.

  • Paloma Partners's largest Q3 2017 buy was State Street SPDR S&P Retail ETF: 368,909 shares worth $15.4M.
  • Paloma Partners added most to Alere Inc in Q3 2017, an estimated $36.1M increase.
  • Paloma Partners's biggest Q3 2017 reduction was State Street Technology Select Sector SPDR ETF, cutting an estimated $59M.
  • Paloma Partners fully exited Intel in Q3 2017, selling an estimated $15.7M.
  • Paloma Partners's ten largest holdings make up 26% of its $7.27B portfolio in Q3 2017.
  • Paloma Partners opened 632 new positions and closed 686 in Q3 2017.
  • Paloma Partners's portfolio value fell 14% quarter-over-quarter to $7.27B.

Based on Paloma Partners's 13F filing for Q3 2017, filed 14 Nov 2017.