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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
+6.78%
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
$2.53B
AUM Growth
+$737M
Cap. Flow
+$530M
Cap. Flow %
20.93%
Top 10 Hldgs %
42.7%
Holding
1,485
New
368
Increased
255
Reduced
231
Closed
590

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$30.6M
2
ONXX
ONYX PHARMACEUTICALS INC
ONXX
+$24.2M
3
ELN
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
+$16.2M
4
FIRE
SOURCEFIRE INC COM STK
FIRE
+$12.9M
5
NYX
NYSE EURONEXT INC
NYX
+$11.9M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$44.4M
2
LUFK
LUFKIN IND INC
LUFK
+$29.4M
3
BMC
BMC SOFTWARE, INC
BMC
+$15.2M
4
XLB icon
State Street Materials Select Sector SPDR ETF
XLB
+$12.9M
5
PCYC
PHARMACYCLICS INC
PCYC
+$12.2M

Sector Composition

Rank Sector Weight
1 Financials 7.68%
2 Technology 6.55%
3 Industrials 6.01%
4 Consumer Discretionary 4.25%
5 Healthcare 3.94%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VGR
726
DELISTED
Vector Group Ltd.
VGR
$191K 0.01%
+22,419
New +$188K
AEC
727
DELISTED
ASSOCIATED ESTATES REALTY CORP
AEC
$191K 0.01%
+12,800
New +$195K
SSNI
728
DELISTED
Silver Spring Networks, Inc.
SSNI
$187K 0.01%
+10,823
New +$246K
FLEX icon
729
Flex
FLEX
$39B
$186K 0.01%
+27,193
New +$179K
NPTN
730
DELISTED
NEOPHOTONICS CORP
NPTN
$185K 0.01%
+25,000
New +$195K
PDLI
731
DELISTED
PDL BioPharma, Inc.
PDLI
$183K 0.01%
22,900
-1,296
-5% -$10.4K
DHX icon
732
DHI Group
DHX
$177M
$181K 0.01%
+21,300
New +$188K
ON icon
733
ON Semiconductor
ON
$31.7B
$181K 0.01%
+24,733
New +$190K
SFY
734
DELISTED
SWIFT ENERGY CO (HOLDING COMPANY)
SFY
$181K 0.01%
15,800
-29,200
-65% -$350K
MWA icon
735
Mueller Water Products
MWA
$3.97B
$178K 0.01%
+22,284
New +$172K
AUMN
736
DELISTED
Golden Minerals Company
AUMN
$168K 0.01%
7,092
+1,698
+31% +$54K
EGHT icon
737
8x8 Inc
EGHT
$268M
$167K 0.01%
+16,600
New +$155K
ARUN
738
DELISTED
ARUBA NETWORKS, INC.
ARUN
$167K 0.01%
10,025
-289,975
-97% -$5.06M
CTIC
739
DELISTED
CTI BioPharma Corp. (DE) Common Stock
CTIC
$164K 0.01%
+10,000
New +$116K
MHR
740
DELISTED
MAGNUM HUNTER RESOURCES CORP (DEL)
MHR
$164K 0.01%
+26,600
New +$121K
NYT icon
741
New York Times
NYT
$12.4B
$163K 0.01%
12,968
-8,789
-40% -$104K
ASTX
742
DELISTED
ASTEX PHARMACEUTICALS, INC COM
ASTX
$160K 0.01%
+18,854
New +$119K
TC
743
DELISTED
Thompson Creek Metals Company Inc. Ordinary Shares (Canada)
TC
$158K 0.01%
+44,100
New +$148K
FMNB icon
744
Farmers National Banc Corp
FMNB
$944M
$154K 0.01%
24,358
-57,431
-70% -$360K
TA
745
DELISTED
TravelCenters of America LLC
TA
$152K 0.01%
+3,860
New +$177K
LEO
746
BNY Mellon Strategic Municipals
LEO
$387M
$148K 0.01%
18,500
-1,000
-5% -$7.85K
MFL
747
DELISTED
BLACKROCK MUNIHOLDINGS INVESTMENT QUALITY FUND
MFL
$148K 0.01%
11,252
-1,348
-11% -$17.2K
AFB
748
AllianceBernstein National Municipal Income Fund
AFB
$315M
$147K 0.01%
+11,400
New +$143K
MYI icon
749
BlackRock MuniYield Quality Fund III
MYI
$717M
$147K 0.01%
11,200
-1,300
-10% -$16.8K
EIM
750
Eaton Vance Municipal Bond Fund
EIM
$496M
$146K 0.01%
12,600
-1,700
-12% -$19K
28 29
30
31 32

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PWMG
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NIEF
Nalanda India Equity Fund Mauritius $510M AUM 23.61% 1-Year Est. Return
HIM
HughesLittle Investment Management Vancouver $511M AUM 24.72% 1-Year Est. Return
MCA
Magnolia Capital Advisors Jackson, Mississippi $509M AUM 18.99% 1-Year Est. Return
OA
Oasis Advisors Forest City, Iowa $509M AUM
MC
Machina Capital Paris, France $508M AUM 9.91% 1-Year Est. Return
CTAF
Call To Action Foundation Salt Lake City, Utah $511M AUM 16.28% 1-Year Est. Return
MWAM
Manhattan West Asset Management Los Angeles, California $511M AUM 18.81% 1-Year Est. Return

Paloma Partners's Q3 2013 Portfolio in Review

As of Q3 2013, Paloma Partners held 1,485 positions worth $2.53B, up 41% from $1.79B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Paloma Partners deployed $530M of net new capital in Q3 2013, opening 368 new positions and adding to 255 existing holdings. Its largest new stake was iShares Russell 2000 ETF: 295,882 shares worth $31.5M.

By sector, the portfolio is most concentrated in Financials at 7.7% of assets, down from 7.9% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $44.4M trimmed.

  • Paloma Partners's largest Q3 2013 buy was iShares Russell 2000 ETF: 295,882 shares worth $31.5M.
  • Paloma Partners added most to ONYX PHARMACEUTICALS INC in Q3 2013, an estimated $24.2M increase.
  • Paloma Partners's biggest Q3 2013 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $44.4M.
  • Paloma Partners fully exited LUFKIN IND INC in Q3 2013, selling an estimated $29.4M.
  • Paloma Partners's ten largest holdings make up 43% of its $2.53B portfolio in Q3 2013.
  • Paloma Partners opened 368 new positions and closed 590 in Q3 2013.
  • Paloma Partners's portfolio value rose 41% quarter-over-quarter to $2.53B.

Based on Paloma Partners's 13F filing for Q3 2013, filed 14 Nov 2013.