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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
RFMD
1376
DELISTED
RF MICRO DEVICES INC
RFMD
– –
-55,700
Closed -$298K
CPWR
1377
DELISTED
COMPUWARE CORP
CPWR
– –
-14,472
Closed -$143K
LPDX
1378
DELISTED
LIPOSCIENCE INC COM
LPDX
– –
-24,160
Closed -$169K
BNNY
1379
DELISTED
ANNIES INC COMMON STOCK (DE)
BNNY
– –
-4,800
Closed -$205K
MNTG
1380
DELISTED
M T R GAMING GROUP INC
MNTG
– –
-97,428
Closed -$326K
TXI
1381
DELISTED
TEXAS INDUSTRIES INC
TXI
– –
-3,716
Closed -$242K
JOSB
1382
DELISTED
JOS A BANK CLOTHIERS INC
JOSB
– –
-7,647
Closed -$316K
LSI
1383
DELISTED
LSI CORPORATION
LSI
– –
-29,216
Closed -$209K
CWTR
1384
DELISTED
COLDWATER CREEK INC COM STK NEW (DE)
CWTR
– –
-33,009
Closed -$83K
BRE
1385
DELISTED
BRE PROPERTIES INC CL A
BRE
– –
-37,571
Closed -$1.88M
BRD
1386
DELISTED
BRIGUS GOLD CORP COM STK
BRD
– –
-69,577
Closed -$35K
ANEN
1387
DELISTED
ANAREN INC
ANEN
– –
-13,965
Closed -$320K
DM
1388
DELISTED
DOLAN COMPANY COMMON STOCK
DM
– –
-133,001
Closed -$217K
VPHM
1389
DELISTED
VIROPHARMA INC
VPHM
– –
-7,295
Closed -$209K
OCZ
1390
DELISTED
OCZ TECHNOLOGY GROUP INC COM STK NEW (DE)
OCZ
– –
-292,872
Closed -$425K
BLC
1391
DELISTED
BELO CORP SER A
BLC
– –
-125,000
Closed -$1.74M
LCC
1392
CALL
DELISTED
US AIRWAYS GROUP INC.
LCC
– –
-73,700
Closed -$1.21M
ARK
1393
DELISTED
BLACKROCK SR HIGH INCM FD INC
ARK
– –
-14,300
Closed -$59K
TLAB
1394
DELISTED
TELLABS INC
TLAB
– –
-39,997
Closed -$79K
BERK
1395
DELISTED
BERKSHIRE BANCORP INC
BERK
– –
-18,596
Closed -$148K
DOLE
1396
DELISTED
DOLE FOOD CO INC NEW CMN STK (DE)
DOLE
– –
-85,000
Closed -$1.08M
WCRX
1397
DELISTED
WARNER CHILCOTT PLC ORD SHS CL A (IRL)
WCRX
– –
-50,000
Closed -$994K
ARB
1398
DELISTED
ARBITRON INC (NEW)
ARB
– –
-10,835
Closed -$503K
SFD
1399
DELISTED
SMITHFIELD FOODS,INC
SFD
– –
-71,400
Closed -$2.34M
BMC
1400
DELISTED
BMC SOFTWARE, INC
BMC
– –
-336,254
Closed -$15.2M
54 55
56
57 58

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NIEF
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HIM
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MCA
Magnolia Capital Advisors Jackson, Mississippi $509M AUM 18.99% 1-Year Est. Return
OA
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MC
Machina Capital Paris, France $508M AUM 9.91% 1-Year Est. Return
CTAF
Call To Action Foundation Salt Lake City, Utah $511M AUM 16.28% 1-Year Est. Return

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.