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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
+7.76%
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
$2B
AUM Growth
-$532M
Cap. Flow
-$697M
Cap. Flow %
-34.84%
Top 10 Hldgs %
21.69%
Holding
1,395
New
507
Increased
230
Reduced
207
Closed
416

Top Buys

Rank Stock Value
1
XLP icon
State Street Consumer Staples Select Sector SPDR ETF
XLP
+$46M
2
LNCO
LINNCO LLC COM SHS REPSTG LTD LIABILITY
LNCO
+$16.8M
3
PBCT
People's United Financial Inc
PBCT
+$15M
4
LO
LORILLARD INC COM STK
LO
+$14.6M
5
CB icon
Chubb
CB
+$11.9M

Top Sells

Rank Stock Value
1
NYX
NYSE EURONEXT INC
NYX
+$44M
2
NVE
NV ENERGY, INC
NVE
+$29.7M
3
ONXX
ONYX PHARMACEUTICALS INC
ONXX
+$24.9M
4
ELN
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
+$16.7M
5
LPS
LENDER PROCESSING SERVICES INC
LPS
+$15M

Sector Composition

Rank Sector Weight
1 Financials 10.25%
2 Technology 8.97%
3 Industrials 8.87%
4 Consumer Discretionary 7.77%
5 Healthcare 5.94%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ETO
826
Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund
ETO
$494M
$251K 0.01%
+10,247
New +$244K
ULTI
827
DELISTED
Ultimate Software Group Inc
ULTI
$251K 0.01%
+1,638
New +$248K
HTGC icon
828
Hercules Capital
HTGC
$3.04B
$250K 0.01%
+15,250
New +$246K
TUMI
829
DELISTED
TUMI HLDGS INC COM
TUMI
$249K 0.01%
11,054
-179
-2% -$3.93K
XLS
830
DELISTED
EXELIS INC COM STK
XLS
$249K 0.01%
+14,029
New +$223K
PVTB
831
DELISTED
PrivateBancorp Inc
PVTB
$248K 0.01%
+8,574
New +$221K
MDU icon
832
MDU Resources
MDU
$4.31B
$247K 0.01%
+21,336
New +$240K
GM.WS.A
833
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
$247K 0.01%
+7,915
New +$223K
NLY icon
834
Annaly Capital Management
NLY
$17.4B
$246K 0.01%
+6,179
New +$268K
EPAC icon
835
Enerpac Tool Group
EPAC
$1.9B
$245K 0.01%
+6,695
New +$255K
WCC
836
WESCO International
WCC
$16.1B
$245K 0.01%
2,699
-4,389
-62% -$366K
HPQ icon
837
HP
HPQ
$25.9B
$243K 0.01%
19,166
-1,000,074
-98% -$11.5M
FOE
838
DELISTED
Ferro Corporation
FOE
$243K 0.01%
+18,958
New +$230K
TUP
839
DELISTED
Tupperware Brands Corporation
TUP
$241K 0.01%
2,555
-3,409
-57% -$309K
AIF
840
DELISTED
Apollo Tactical Income Fund Inc.
AIF
$239K 0.01%
+13,270
New +$229K
CVSA
841
Covista Inc
CVSA
$4.3B
$238K 0.01%
+6,715
New +$232K
FICO icon
842
Fair Isaac
FICO
$31B
$238K 0.01%
+3,793
New +$219K
FRAN
843
DELISTED
Francesca's Holdings Corporation
FRAN
$236K 0.01%
1,069
+27
+3% +$5.89K
VVC
844
DELISTED
Vectren Corporation
VVC
$236K 0.01%
6,667
-2,233
-25% -$77.1K
STZ icon
845
Constellation Brands
STZ
$22.5B
$235K 0.01%
+3,348
New +$224K
SFG
846
DELISTED
STANCORP FINL GRP
SFG
$234K 0.01%
+3,523
New +$217K
ANEN
847
DELISTED
ANAREN INC
ANEN
$234K 0.01%
+8,371
New +$226K
UBSI icon
848
United Bankshares
UBSI
$6.71B
$233K 0.01%
+7,414
New +$227K
DRIV
849
DELISTED
DIGITAL RIVER INC.
DRIV
$233K 0.01%
12,604
-896
-7% -$16K
LXP icon
850
LXP Industrial Trust
LXP
$3.53B
$232K 0.01%
4,552
-8,441
-65% -$460K
32 33
34
35 36

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HIM
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MCA
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CTAF
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MWAM
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Paloma Partners's Q4 2013 Portfolio in Review

As of Q4 2013, Paloma Partners held 1,395 positions worth $2B, down 21% from $2.53B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Paloma Partners withdrew a net $697M in Q4 2013, closing 416 positions and reducing 207 holdings. Its most notable exit was NYSE EURONEXT INC, an estimated $44M position sold in full.

By sector, the portfolio is most concentrated in Financials at 10% of assets, up from 7.7% a quarter earlier, followed by Technology and Industrials.

Against the trend, Paloma Partners opened a new position in State Street Consumer Staples Select Sector SPDR ETF worth $46.9M.

  • Paloma Partners's largest Q4 2013 buy was State Street Consumer Staples Select Sector SPDR ETF: 1,090,200 shares worth $46.9M.
  • Paloma Partners added most to LORILLARD INC COM STK in Q4 2013, an estimated $14.6M increase.
  • Paloma Partners's biggest Q4 2013 reduction was Apple, cutting an estimated $11.7M.
  • Paloma Partners fully exited NYSE EURONEXT INC in Q4 2013, selling an estimated $44M.
  • Paloma Partners's ten largest holdings make up 22% of its $2B portfolio in Q4 2013.
  • Paloma Partners opened 507 new positions and closed 416 in Q4 2013.
  • Paloma Partners's portfolio value fell 21% quarter-over-quarter to $2B.

Based on Paloma Partners's 13F filing for Q4 2013, filed 14 Feb 2014.