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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
MAXY
1401
DELISTED
MAXYGEN INC
MAXY
– –
-120,743
Closed -$299K
BKI
1402
DELISTED
BUCKEYE TECHNOLOGY INC
BKI
– –
-163,719
Closed -$6.06M
KEYN
1403
DELISTED
KEYNOTE SYSTEMS INC
KEYN
– –
-26,372
Closed -$521K
ASCA
1404
DELISTED
AMERISTAR CASINOS INC
ASCA
– –
-70,000
Closed -$1.84M
AM
1405
DELISTED
AMERICAN GREETINGS CORP CL A
AM
– –
-251,325
Closed -$4.58M
FSCI
1406
DELISTED
FISHER COMMUNICATIONS INC
FSCI
– –
-38,318
Closed -$1.57M
GDI
1407
DELISTED
GARDNER DENVER,INC
GDI
– –
-160,000
Closed -$12M
ET
1408
DELISTED
EXACTTARGET INC COM STK (DE)
ET
– –
-180,900
Closed -$6.1M
LUFK
1409
DELISTED
LUFKIN IND INC
LUFK
– –
-332,400
Closed -$29.4M
NFP
1410
DELISTED
NATIONAL FINANCIAL PARTNERS CORP
NFP
– –
-211,685
Closed -$5.36M
CMCSK
1411
DELISTED
COMCAST CORP SPL A (NEW)
CMCSK
– –
-16,169
Closed -$641K
BGZ
1412
CALL
DELISTED
DIREXION DAILY LARGE CAP BEAR
BGZ
– –
-35,000
Closed -$383K
AWH
1413
DELISTED
Allied World Assurance Co Hld Lt
AWH
– –
-19,809
Closed -$605K
TYC
1414
DELISTED
TYCO INTL PLC COM SHS (IRL)
TYC
– –
-318,301
Closed -$11M
STEC
1415
DELISTED
STEC INC COM STK
STEC
– –
-130,437
Closed -$877K
HIBB
1416
DELISTED
Hibbett, Inc. Common Stock
HIBB
– –
-13,937
Closed -$774K
CYE
1417
DELISTED
BLACKROCK CORP HG YLD FD III, INC.
CYE
– –
-10,300
Closed -$76K
HOT
1418
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
– –
-14,676
Closed -$927K
CA
1419
DELISTED
CA, Inc.
CA
– –
-32,003
Closed -$916K
SIVB
1420
DELISTED
SVB Financial Group
SIVB
– –
-2,762
Closed -$230K
JRO
1421
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
– –
-12,600
Closed -$167K
PEI
1422
DELISTED
Pennsylvania Real Estate Investment Trust
PEI
– –
-993
Closed -$281K
REGI
1423
DELISTED
Renewable Energy Group, Inc.
REGI
– –
-12,400
Closed -$176K
MBT
1424
DELISTED
Mobile TeleSystems Public Joint Stock Company American Depositary Shares (Each representing 2 Shares
MBT
– –
-26,103
Closed -$494K
MTL
1425
DELISTED
Mechel PAO American Depository Shares, each representing two ordinary shares (ADSs)
MTL
– –
-37,200
Closed -$214K
55 56
57
58 59

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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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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.