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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
MUA icon
1101
BlackRock MuniAssets Fund
MUA
$518M
– –
-12,119
Closed -$144K
MUE
1102
DELISTED
BlackRock MuniHoldings Quality Fund II
MUE
– –
-11,000
Closed -$139K
MVF
1103
DELISTED
BlackRock MuniVest Fund
MVF
– –
-15,200
Closed -$142K
MWA icon
1104
Mueller Water Products
MWA
$4.04B
– –
-22,284
Closed -$178K
MX icon
1105
Magnachip Semiconductor
MX
$118M
– –
-50,000
Closed -$1.08M
MYD
1106
DELISTED
BlackRock MuniYield Fund
MYD
– –
-10,399
Closed -$139K
MYE icon
1107
Myers Industries
MYE
$1.26B
– –
-13,900
Closed -$280K
MYI icon
1108
BlackRock MuniYield Quality Fund III
MYI
$715M
– –
-11,200
Closed -$147K
MYN icon
1109
BlackRock MuniYield New York Quality Fund
MYN
$378M
– –
-10,700
Closed -$133K
NAD icon
1110
Nuveen Quality Municipal Income Fund
NAD
$2.73B
– –
-11,000
Closed -$143K
NBR icon
1111
Nabors Industries
NBR
$1.12B
– –
-2,344
Closed -$1.88M
NCMI icon
1112
National CineMedia
NCMI
$373M
– –
-1,210
Closed -$228K
NDSN icon
1113
Nordson
NDSN
$16.8B
– –
-12,041
Closed -$887K
NEA icon
1114
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.37B
– –
-11,400
Closed -$142K
NG icon
1115
NovaGold Resources
NG
$2.54B
– –
-47,900
Closed -$109K
NKTR icon
1116
Nektar Therapeutics
NKTR
$2.37B
– –
-667
Closed -$105K
NKX icon
1117
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$654M
– –
-11,300
Closed -$139K
NMZ icon
1118
Nuveen Municipal High Income Opportunity Fund
NMZ
$2.2B
– –
-12,500
Closed -$146K
NRK icon
1119
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$901M
– –
-11,595
Closed -$142K
NUV icon
1120
Nuveen Municipal Value Fund
NUV
$1.9B
– –
-15,600
Closed -$142K
NVDA icon
1121
NVIDIA
NVDA
$4.77T
– –
-1,287,400
Closed -$501K
NVG icon
1122
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.67B
– –
-11,300
Closed -$143K
NYT icon
1123
New York Times
NYT
$12.2B
– –
-12,968
Closed -$163K
NZF icon
1124
Nuveen Municipal Credit Income Fund
NZF
$2.43B
– –
-11,400
Closed -$145K
OIA icon
1125
Invesco Municipal Income Opportunities Trust
OIA
$293M
– –
-16,500
Closed -$104K
43 44
45
46 47

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NIEF
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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 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.