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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
NPKI
1201
NPK International
NPKI
$1.12B
– –
-10,000
Closed -$127K
INFN
1202
DELISTED
Infinera Corporation Common Stock
INFN
– –
-85,000
Closed -$961K
AUMN
1203
DELISTED
Golden Minerals Company
AUMN
– –
-7,092
Closed -$168K
PRMW
1204
DELISTED
Primo Water Corporation
PRMW
– –
-373,800
Closed -$2.87M
SRCL
1205
DELISTED
Stericycle Inc
SRCL
– –
-5,152
Closed -$595K
MDRX
1206
DELISTED
Veradigm Inc. Common Stock
MDRX
– –
-40,561
Closed -$603K
AVID
1207
DELISTED
Avid Technology Inc
AVID
– –
-17,100
Closed -$103K
RAD
1208
DELISTED
Rite Aid Corporation
RAD
– –
-985
Closed -$94K
TA
1209
DELISTED
TravelCenters of America LLC
TA
– –
-3,860
Closed -$152K
DS
1210
DELISTED
Drive Shack Inc.
DS
– –
-99,514
Closed -$506K
EPZM
1211
DELISTED
Epizyme, Inc
EPZM
– –
-11,000
Closed -$441K
NPTN
1212
DELISTED
NEOPHOTONICS CORP
NPTN
– –
-25,000
Closed -$185K
MCA
1213
DELISTED
BLACKROCK MUNIYIELD CALIFORNIA QUALITY FUND, INC
MCA
– –
-10,400
Closed -$144K
MFL
1214
DELISTED
BLACKROCK MUNIHOLDINGS INVESTMENT QUALITY FUND
MFL
– –
-11,252
Closed -$148K
PVG
1215
DELISTED
PRETIUM RESOURCES INC.
PVG
– –
-37,000
Closed -$255K
KSU
1216
DELISTED
Kansas City Southern
KSU
– –
-2,753
Closed -$301K
CSOD
1217
DELISTED
Cornerstone OnDemand, Inc.
CSOD
– –
-4,091
Closed -$210K
NAV
1218
DELISTED
Navistar International
NAV
– –
-9,828
Closed -$358K
AEGN
1219
DELISTED
Aegion Corp
AEGN
– –
-22,300
Closed -$529K
MEN
1220
DELISTED
Blackrock Muni Enhanced Fund, Inc.
MEN
– –
-13,100
Closed -$139K
SINA
1221
DELISTED
Sina Corp
SINA
– –
-5,949
Closed -$483K
TIF
1222
DELISTED
Tiffany & Co.
TIF
– –
-47,515
Closed -$3.64M
VER
1223
DELISTED
VEREIT, Inc.
VER
– –
-16,753
Closed -$1.02M
GPOR
1224
DELISTED
Gulfport Energy Corp.
GPOR
– –
-4,957
Closed -$320K
CBL
1225
DELISTED
CBL& Associates Properties, Inc.
CBL
– –
-24,691
Closed -$472K
47 48
49
50 51

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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
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MC
Machina Capital Paris, France $508M AUM 9.91% 1-Year Est. Return
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.