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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
KMI.WS
851
DELISTED
Kinder Morgan Inc
KMI.WS
$49K ﹤0.01%
10,000
– –
PQUE
852
DELISTED
PETROQUEST ENERGY INC (DE)
PQUE
$49K ﹤0.01%
+12,200
New +$49K
TRQ
853
DELISTED
Turquoise Hill Resources Ltd
TRQ
$48K ﹤0.01%
+1,403
New +$55.2K
SWSH
854
DELISTED
SWISHER HYGIENE INC COM STK NEW (DE)
SWSH
$45K ﹤0.01%
+7,400
New +$62.8K
HK
855
DELISTED
Halcon Resources Corporation
HK
$44K ﹤0.01%
+58
New +$52.9K
ENZN
856
DELISTED
ENZON PHARMACEUTICALS INC
ENZN
$43K ﹤0.01%
+25,800
New +$47.7K
ANV
857
DELISTED
Allied Nevada Gold Corp
ANV
$43K ﹤0.01%
+10,300
New +$53.7K
NES
858
DELISTED
NUVERRA ENVIRONMENTAL INC NEW COM STK (DE)
NES
$40K ﹤0.01%
+1,730
New +$48.8K
ADGE
859
DELISTED
American Dg Energy Inc
ADGE
$33K ﹤0.01%
21,064
-95,641
-82% -$152K
PRDO icon
860
Perdoceo Education
PRDO
$2.06B
$31K ﹤0.01%
+11,274
New +$34.7K
ARQL
861
DELISTED
Arqule Inc
ARQL
$29K ﹤0.01%
+12,300
New +$30.9K
VTG
862
DELISTED
VANTAGE DRILLING COMPANY ORD SHS (KY)
VTG
$26K ﹤0.01%
+15,200
New +$27.3K
AMBT
863
DELISTED
Ambient Corp
AMBT
$23K ﹤0.01%
10,200
-1,463
-13% -$4.1K
VIRC icon
864
Virco
VIRC
$94.7M
$21K ﹤0.01%
+10,100
New +$23K
RBY
865
DELISTED
RUBICON MENERALS CORP (F)
RBY
$15K ﹤0.01%
11,684
-19,416
-62% -$27.5K
AAP icon
866
Advance Auto Parts
AAP
$3.54B
– –
-6,233
Closed -$506K
ACTG icon
867
Acacia Research
ACTG
$447M
– –
-27,286
Closed -$610K
AFL icon
868
Aflac
AFL
$65.9B
– –
-9,490
Closed -$276K
AGEN
869
Agenus
AGEN
$275M
– –
-5,392
Closed -$401K
AIG icon
870
American International
AIG
$42.9B
– –
-4,659
Closed -$208K
ALKS icon
871
Alkermes
ALKS
$8.42B
– –
-292,920
Closed -$8.4M
AMAT icon
872
Applied Materials
AMAT
$378B
– –
-29,517
Closed -$440K
AMBA icon
873
Ambarella
AMBA
$3.03B
– –
-12,100
Closed -$204K
OSG
874
Octave Specialty Group
OSG
$261M
– –
-9,000
Closed -$214K
AME icon
875
Ametek
AME
$55.3B
– –
-6,556
Closed -$277K
33 34
35
36 37

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HIM
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MCA
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OA
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MC
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CTAF
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MWAM
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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.