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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
CHS
1326
DELISTED
Chicos FAS, Inc.
CHS
– –
-24,616
Closed -$417K
ONCT
1327
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
– –
-80
Closed -$155K
FRTX
1328
DELISTED
Fresh Tracks Therapeutics, Inc. Common Stock
FRTX
– –
-103
Closed -$396K
PCTI
1329
DELISTED
PCTEL, Inc. Common Stock
PCTI
– –
-79,280
Closed -$641K
GHL
1330
DELISTED
Greenhill & Co., Inc.
GHL
– –
-21,591
Closed -$1.06M
PACW
1331
DELISTED
PacWest Bancorp
PACW
– –
-213,830
Closed -$9.23M
HT
1332
DELISTED
Hersha Hospitality Trust Priority Class A Common Shares of Beneficial Interest
HT
– –
-8,631
Closed -$232K
VMW
1333
DELISTED
VMware, Inc
VMW
– –
-4,031
Closed -$390K
ARGO
1334
DELISTED
Argo Group International Holdings, Ltd.
ARGO
– –
-10,538
Closed -$387K
SVVC
1335
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
– –
-39,067
Closed -$830K
RAD
1336
DELISTED
Rite Aid Corporation
RAD
– –
-79,639
Closed -$11.4M
LOV
1337
DELISTED
Spark Networks SE American Depositary Shares
LOV
– –
-75,390
Closed -$427K
LSI
1338
DELISTED
Life Storage, Inc.
LSI
– –
-5,112
Closed -$263K
ISEE
1339
DELISTED
IVERIC bio, Inc. Common Stock
ISEE
– –
-30,000
Closed -$1.27M
INDT
1340
DELISTED
INDUS Realty Trust, Inc. (MD) Common Stock
INDT
– –
-11,309
Closed -$334K
KSPN
1341
DELISTED
Kaspien Holdings Inc. Common Stock
KSPN
– –
-2,272
Closed -$173K
DBD
1342
DELISTED
Diebold Nixdorf Incorporated
DBD
– –
-8,734
Closed -$351K
BBBY
1343
CALL
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-8,400
Closed -$482K
BBBY
1344
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-53,780
Closed -$3.09M
BBBY
1345
PUT
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-9,500
Closed -$545K
FCRD
1346
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
– –
-146,007
Closed -$2.04M
CNCE
1347
DELISTED
Concert Pharmaceuticals, Inc.
CNCE
– –
-28,512
Closed -$288K
UMPQ
1348
DELISTED
Umpqua Holdings Corp
UMPQ
– –
-30,963
Closed -$555K
RFP
1349
DELISTED
Resolute Forest Products Inc.
RFP
– –
-28,267
Closed -$474K
CLVS
1350
DELISTED
Clovis Oncology, Inc.
CLVS
– –
-35,000
Closed -$1.45M
52 53
54
55 56

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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.