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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
SYT
1251
DELISTED
Syngenta Ag
SYT
– –
-9,180
Closed -$746K
POT
1252
DELISTED
Potash Corp Of Saskatchewan
POT
– –
-50,000
Closed -$1.56M
RIC
1253
DELISTED
Richmont Mines Inc.
RIC
– –
-162,400
Closed -$232K
PWE
1254
DELISTED
Penn West Energy Petroleum Ltd
PWE
– –
-12,400
Closed -$137K
CST
1255
DELISTED
CST Brands, Inc.
CST
– –
-21,600
Closed -$644K
CIE
1256
DELISTED
Cobalt International Energy, Inc
CIE
– –
-5,000
Closed -$1.86M
VAL
1257
DELISTED
Valspar
VAL
– –
-20,600
Closed -$1.31M
JNS
1258
DELISTED
Janus Capital Group Inc
JNS
– –
-253,855
Closed -$2.16M
ADGE
1259
DELISTED
American Dg Energy Inc
ADGE
– –
-21,064
Closed -$33K
JOY
1260
DELISTED
Joy Global Inc
JOY
– –
-5,800
Closed -$296K
ELNK
1261
DELISTED
EarthLink Holdings Corp.
ELNK
– –
-13,500
Closed -$67K
ARIA
1262
DELISTED
Ariad Pharmaceuticals Inc
ARIA
– –
-20,000
Closed -$368K
APOL
1263
DELISTED
Apollo Education Group Inc Class A
APOL
– –
-9,986
Closed -$208K
IL
1264
DELISTED
IntraLinks Holdings Inc.
IL
– –
-13,000
Closed -$114K
LGF
1265
DELISTED
Lions Gate Entertainment
LGF
– –
-16,096
Closed -$564K
LGF
1266
PUT
DELISTED
Lions Gate Entertainment
LGF
– –
-51,700
Closed -$1.81M
PPS
1267
DELISTED
Post Properties
PPS
– –
-52,821
Closed -$2.38M
N
1268
DELISTED
Netsuite Inc
N
– –
-4,056
Closed -$438K
HNR
1269
DELISTED
Harvest Natural Resources
HNR
– –
-6,100
Closed -$131K
STR
1270
DELISTED
QUESTAR CORP
STR
– –
-142,064
Closed -$3.19M
NQM
1271
DELISTED
NUVEEN INVESTMENT QLTY MUNI FD
NQM
– –
-10,394
Closed -$143K
NPM
1272
DELISTED
NUVEEN PREMIUM INCM MUNI FD II
NPM
– –
-11,100
Closed -$145K
NPI
1273
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
– –
-11,187
Closed -$143K
NPP
1274
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
– –
-10,561
Closed -$143K
DWA
1275
DELISTED
DREAMWORKS ANIMATION SKG INC CL-A
DWA
– –
-8,904
Closed -$253K
49 50
51
52 53

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NIEF
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HIM
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MCA
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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.