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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
+2.9%
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
$2.18B
AUM Growth
-$262M
Cap. Flow
-$307M
Cap. Flow %
-14.1%
Top 10 Hldgs %
22.31%
Holding
1,616
New
546
Increased
209
Reduced
189
Closed
640

Top Buys

Rank Stock Value
1
TRW
TRW AUTOMOTIVE HOLDINGS CORP
TRW
+$49.9M
2
CNQR
CONCUR TECHNOLOGIES INC
CNQR
+$23.8M
3
DTV
DIRECTV COM STK (DE)
DTV
+$23.4M
4
PL
PROTECTIVE LIFE CORP
PL
+$23.3M
5
TWC
TIME WARNER CABLE INC NEW COM STK
TWC
+$20.9M

Top Sells

Rank Stock Value
1
FRX
FOREST LABORATORIES INC
FRX
+$36.4M
2
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$28.2M
3
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$26.8M
4
HSH
HILLSHIRE BRANDS CO
HSH
+$23.9M
5
UNS
UNS ENERGY CORP COM
UNS
+$18.4M

Sector Composition

Rank Sector Weight
1 Technology 11.16%
2 Healthcare 9.72%
3 Consumer Discretionary 8.84%
4 Financials 7.26%
5 Industrials 6.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WNEB icon
1301
Western New England Bancorp
WNEB
$290M
– –
-68,824
Closed -$513K
WSM icon
1302
Williams-Sonoma
WSM
$27.6B
– –
-16,698
Closed -$599K
WST icon
1303
West Pharmaceutical
WST
$23.3B
– –
-23,238
Closed -$980K
XEL icon
1304
Xcel Energy
XEL
$50.4B
– –
-14,807
Closed -$477K
XLB icon
1305
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
– –
-120,000
Closed -$2.98M
XLF icon
1306
CALL
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
– –
-232,955
Closed -$4.65M
XLI icon
1307
State Street Industrial Select Sector SPDR ETF
XLI
$33.4B
– –
-496,500
Closed -$26.8M
XLU icon
1308
State Street Utilities Select Sector SPDR ETF
XLU
$23.5B
– –
-300,000
Closed -$6.64M
XRT icon
1309
PUT
State Street SPDR S&P Retail ETF
XRT
$448M
– –
-16,000
Closed -$694K
YUM icon
1310
Yum! Brands
YUM
$40.7B
– –
-11,824
Closed -$690K
ZG icon
1311
Zillow
ZG
$7.32B
– –
-125,778
Closed -$5.99M
TRAW icon
1312
Traws Pharma
TRAW
$7.92M
– –
0
– -$138K
NPKI
1313
NPK International
NPKI
$1.19B
– –
-15,168
Closed -$189K
SGI
1314
Somnigroup International
SGI
$15.3B
– –
-17,908
Closed -$267K
CUTR
1315
DELISTED
Cutera, Inc.
CUTR
– –
-63,196
Closed -$657K
INFN
1316
DELISTED
Infinera Corporation Common Stock
INFN
– –
-12,488
Closed -$115K
CDMO
1317
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
– –
-2,542
Closed -$33K
SAVE
1318
DELISTED
Spirit Airlines, Inc.
SAVE
– –
-138,167
Closed -$8.74M
EGRX
1319
DELISTED
Eagle Pharmaceuticals, Inc.
EGRX
– –
-14,363
Closed -$206K
TUP
1320
DELISTED
Tupperware Brands Corporation
TUP
– –
-5,351
Closed -$448K
SPWR
1321
DELISTED
SunPower Corporation Common Stock
SPWR
– –
-162,809
Closed -$4.37M
TRVN
1322
DELISTED
Trevena, Inc.
TRVN
– –
-51
Closed -$179K
EIGR
1323
DELISTED
Eiger BioPharmaceuticals, Inc.
EIGR
– –
-60
Closed -$434K
CPE
1324
DELISTED
Callon Petroleum Company
CPE
– –
-5,634
Closed -$656K
BKCC
1325
DELISTED
BlackRock Capital Investment Corporation
BKCC
– –
-319,093
Closed -$2.91M
51 52
53
54 55

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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
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CTAF
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Paloma Partners's Q3 2014 Portfolio in Review

As of Q3 2014, Paloma Partners held 1,616 positions worth $2.18B, down 11% from $2.44B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Paloma Partners withdrew a net $307M in Q3 2014, closing 640 positions and reducing 189 holdings. Its most notable exit was FOREST LABORATORIES INC, an estimated $36.4M position sold in full.

By sector, the portfolio is most concentrated in Technology at 11% of assets, up from 7.4% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Paloma Partners opened a new position in TRW AUTOMOTIVE HOLDINGS CORP worth $50.5M.

  • Paloma Partners's largest Q3 2014 buy was TRW AUTOMOTIVE HOLDINGS CORP: 498,850 shares worth $50.5M.
  • Paloma Partners added most to DIRECTV COM STK (DE) in Q3 2014, an estimated $23.4M increase.
  • Paloma Partners's biggest Q3 2014 reduction was State Street Technology Select Sector SPDR ETF, cutting an estimated $28.2M.
  • Paloma Partners fully exited FOREST LABORATORIES INC in Q3 2014, selling an estimated $36.4M.
  • Paloma Partners's ten largest holdings make up 22% of its $2.18B portfolio in Q3 2014.
  • Paloma Partners opened 546 new positions and closed 640 in Q3 2014.
  • Paloma Partners's portfolio value fell 11% quarter-over-quarter to $2.18B.

Based on Paloma Partners's 13F filing for Q3 2014, filed 14 Nov 2014.