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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
GPL
1226
DELISTED
Great Panther Mining Limited
GPL
– –
-3,838
Closed -$29K
WMC
1227
DELISTED
Western Asset Mortgage Capital Corporation
WMC
– –
-1,140
Closed -$199K
NEV
1228
DELISTED
NUVEEN ENHANCED MUNICIPAL VALUE FUND
NEV
– –
-11,000
Closed -$161K
FOE
1229
DELISTED
Ferro Corporation
FOE
– –
-37,382
Closed -$260K
CONE
1230
DELISTED
CyrusOne Inc Common Stock
CONE
– –
-10,000
Closed -$207K
VCRA
1231
DELISTED
VOCERA COMMUNICATIONS, INC.
VCRA
– –
-11,200
Closed -$165K
XLNX
1232
DELISTED
Xilinx Inc
XLNX
– –
-5,241
Closed -$208K
MGLN
1233
DELISTED
Magellan Health Services, Inc.
MGLN
– –
-3,980
Closed -$223K
PCI
1234
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
– –
-12,300
Closed -$282K
XONE
1235
DELISTED
The ExOne Company
XONE
– –
-3,602
Closed -$222K
VTA
1236
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
– –
-14,700
Closed -$192K
RPAI
1237
DELISTED
RETAIL PROPERTIES OF AMERICA, INC.
RPAI
– –
-33,116
Closed -$473K
PMBC
1238
DELISTED
Pacific Mercantile Bancorp
PMBC
– –
-46,367
Closed -$267K
LMNX
1239
DELISTED
Luminex Corp
LMNX
– –
-12,039
Closed -$248K
CTB
1240
DELISTED
Cooper Tire & Rubber Co.
CTB
– –
-109,001
Closed -$3.62M
CTB
1241
PUT
DELISTED
Cooper Tire & Rubber Co.
CTB
– –
-50,000
Closed -$1.66M
WDR
1242
DELISTED
Waddell & Reed Financial, Inc.
WDR
– –
-11,077
Closed -$482K
SYNC
1243
DELISTED
Synacor, Inc.
SYNC
– –
-29,090
Closed -$90K
RLH
1244
DELISTED
Red Lions Hotel Corporation
RLH
– –
-59,926
Closed -$366K
EV
1245
DELISTED
Eaton Vance Corp.
EV
– –
-9,471
Closed -$356K
CLCT
1246
DELISTED
Collectors Universe
CLCT
– –
-23,024
Closed -$305K
DNKN
1247
DELISTED
Dunkin' Brands Group, Inc.
DNKN
– –
-6,371
Closed -$273K
BSTC
1248
DELISTED
BioSpecifics Technologies Corp.
BSTC
– –
-21,365
Closed -$333K
WMGI
1249
DELISTED
Wright Medical Group Inc
WMGI
– –
-14,607
Closed -$383K
APEX
1250
DELISTED
Apex Global Brands Inc. Common Stock
APEX
– –
-1,206
Closed -$462K
48 49
50
51 52

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NIEF
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HIM
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MCA
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MC
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CTAF
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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.