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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
IVAC
1201
DELISTED
Intevac Inc
IVAC
– –
-101,194
Closed -$573K
MUI
1202
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
– –
-11,600
Closed -$170K
BCOV
1203
DELISTED
Brightcove, Inc.
BCOV
– –
-11,200
Closed -$98K
SAVE
1204
DELISTED
Spirit Airlines, Inc.
SAVE
– –
-11,545
Closed -$367K
CHUY
1205
DELISTED
Chuy's Holdings, Inc. Common Stock
CHUY
– –
-5,273
Closed -$202K
BIG
1206
DELISTED
Big Lots, Inc.
BIG
– –
-17,438
Closed -$550K
DLA
1207
DELISTED
Delta Apparel Inc.
DLA
– –
-30,689
Closed -$433K
SIX
1208
DELISTED
Six Flags Entertainment Corp.
SIX
– –
-139,237
Closed -$4.9M
LBAI
1209
DELISTED
Lakeland Bancorp Inc
LBAI
– –
-12,314
Closed -$122K
SPLK
1210
DELISTED
Splunk Inc
SPLK
– –
-4,600
Closed -$213K
EXPR
1211
DELISTED
Express, Inc.
EXPR
– –
-940
Closed -$394K
SRC
1212
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
– –
-4,885
Closed -$204K
SGEN
1213
DELISTED
Seagen Inc. Common Stock
SGEN
– –
-223,222
Closed -$7.02M
VMW
1214
DELISTED
VMware, Inc
VMW
– –
-19,290
Closed -$1.29M
JPS
1215
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
– –
-18,900
Closed -$165K
FRGI
1216
DELISTED
Fiesta Restaurant Group, Inc.
FRGI
– –
-6,000
Closed -$206K
PRTK
1217
DELISTED
Paratek Pharmaceuticals, Inc.
PRTK
– –
-4,564
Closed -$165K
AMRS
1218
DELISTED
Amyris Inc.
AMRS
– –
-746
Closed -$32K
BBBY
1219
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-4,442
Closed -$315K
RFP
1220
DELISTED
Resolute Forest Products Inc.
RFP
– –
-27,658
Closed -$364K
HIL
1221
DELISTED
Hill International, Inc. Common Stock
HIL
– –
-98,192
Closed -$269K
TEN
1222
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
– –
-12,346
Closed -$559K
Y
1223
DELISTED
Alleghany Corp
Y
– –
-1,054
Closed -$404K
AXU
1224
DELISTED
Alexco Resource Corp
AXU
– –
-25,987
Closed -$29K
ACC
1225
DELISTED
American Campus Communities, Inc.
ACC
– –
-5,082
Closed -$207K
47 48
49
50 51

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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.