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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
TRQ
1226
DELISTED
Turquoise Hill Resources Ltd
TRQ
– –
-1,403
Closed -$48K
AMTD
1227
DELISTED
TD Ameritrade Holding Corp
AMTD
– –
-15,932
Closed -$417K
JE
1228
DELISTED
Just Energy Group Inc
JE
– –
-635
Closed -$133K
TUES
1229
DELISTED
Tuesday Morning Corp
TUES
– –
-66,600
Closed -$1.02M
SSI
1230
DELISTED
Stage Stores Inc
SSI
– –
-14,200
Closed -$273K
AGN
1231
DELISTED
Allergan plc
AGN
– –
-2,100
Closed -$302K
AKS
1232
DELISTED
AK Steel Holding Corp
AKS
– –
-17,300
Closed -$65K
PIR
1233
DELISTED
Pier 1 Imports, Inc.
PIR
– –
-840
Closed -$328K
PKD
1234
DELISTED
Parker Drilling Company
PKD
– –
-740
Closed -$63K
ARQL
1235
DELISTED
Arqule Inc
ARQL
– –
-12,300
Closed -$29K
CRZO
1236
DELISTED
Carrizo Oil & Gas Inc
CRZO
– –
-7,000
Closed -$261K
RDC
1237
DELISTED
Rowan Companies Plc
RDC
– –
-9,900
Closed -$363K
IDTI
1238
DELISTED
Integrated Device Technology I
IDTI
– –
-11,245
Closed -$106K
AHL
1239
DELISTED
ASPEN Insurance Holding Limited
AHL
– –
-23,834
Closed -$865K
LKM
1240
DELISTED
Link Motion Inc.
LKM
– –
-112,000
Closed -$2.44M
RSYS
1241
DELISTED
Radisys Corp
RSYS
– –
-64,500
Closed -$207K
SYNT
1242
DELISTED
Syntel Inc
SYNT
– –
-9,000
Closed -$360K
PAY
1243
DELISTED
Verifone Systems Inc
PAY
– –
-202,124
Closed -$4.62M
MSCC
1244
DELISTED
Microsemi Corp
MSCC
– –
-10,243
Closed -$248K
IPXL
1245
DELISTED
Impax Laboratories, Inc.
IPXL
– –
-17,300
Closed -$355K
WG
1246
DELISTED
Willbros Group
WG
– –
-11,600
Closed -$106K
LVNTA
1247
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
– –
-21,945
Closed -$476K
CPN
1248
DELISTED
Calpine Corporation
CPN
– –
-35,800
Closed -$696K
GNCMA
1249
DELISTED
GCI Liberty, Inc. Class A-1 Common Stock
GNCMA
– –
-22,100
Closed -$210K
SSNI
1250
DELISTED
Silver Spring Networks, Inc.
SSNI
– –
-10,823
Closed -$187K
48 49
50
51 52

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NIEF
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HIM
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MCA
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OA
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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.