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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
EFII
1576
DELISTED
Electronics for Imaging
EFII
– –
-4,473
Closed -$202K
MTGE
1577
DELISTED
MTGE Investment Corp. Common Stock
MTGE
– –
-21,879
Closed -$439K
ARGS
1578
DELISTED
Argos Therapeutics, Inc.
ARGS
– –
-897
Closed -$144K
DCM
1579
DELISTED
NTT DOCOMO, Inc.
DCM
– –
-18,372
Closed -$314K
FCH
1580
DELISTED
Felcor Lodging Trust
FCH
– –
-15,946
Closed -$168K
NTT
1581
DELISTED
Nippon Telegraph & Telephone
NTT
– –
-9,801
Closed -$306K
ACAS
1582
DELISTED
American Capital Ltd
ACAS
– –
-501,139
Closed -$7.66M
KBIO
1583
DELISTED
KALOBIOS PHARMACEUTICALS INC COM STK NEW (DE)
KBIO
– –
-6,378
Closed -$116K
GAS
1584
DELISTED
AGL Resources Inc
GAS
– –
-7,100
Closed -$391K
DO
1585
DELISTED
Diamond Offshore Drilling
DO
– –
-12,207
Closed -$605K
RHT
1586
DELISTED
Red Hat Inc
RHT
– –
-13,200
Closed -$729K
NIHD
1587
DELISTED
NII HOLDINGS INC CL B
NIHD
– –
-740,780
Closed -$407K
VXX
1588
CALL
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
– –
-1,000
Closed -$458K
VXX
1589
PUT
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
– –
-781
Closed -$358K
STL
1590
DELISTED
Sterling Bancorp
STL
– –
-10,229
Closed -$123K
GMAN
1591
DELISTED
Gordmans Stores, Inc.
GMAN
– –
-38,170
Closed -$164K
FSGI
1592
DELISTED
FIRST SECURITY GROUP, INC.
FSGI
– –
-286,016
Closed -$621K
AZPN
1593
DELISTED
ASPEN TECHNOLOGY INC
AZPN
– –
-16,360
Closed -$759K
KEG
1594
DELISTED
KEY ENERGY SERVICES INC
KEG
– –
-107,419
Closed -$982K
HR
1595
DELISTED
Healthcare Realty Trust Incorporated
HR
– –
-8,085
Closed -$206K
60 61 62 63
64

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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.