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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
-6.62%
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
$4.32B
AUM Growth
-$874M
Cap. Flow
-$483M
Cap. Flow %
-11.17%
Top 10 Hldgs %
33.23%
Holding
2,321
New
564
Increased
448
Reduced
519
Closed
747

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$59.6M
2
REGN icon
Regeneron Pharmaceuticals
REGN
+$48.6M
3
JPM icon
JPMorgan Chase
JPM
+$37.6M
4
TRAK
DEALERTRACK TECHNOLOGIES, INC. COM STK
TRAK
+$31.2M
5
KIM icon
Kimco Realty
KIM
+$24.5M

Top Sells

Rank Stock Value
1
DRC
DRESSER-RAND GROUP INC
DRC
+$86.5M
2
DTV
DIRECTV COM STK (DE)
DTV
+$46.6M
3
PFE icon
Pfizer
PFE
+$41.7M
4
KRFT
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
+$38.7M
5
RKT
ROCK-TENN COMPANY CL-A
RKT
+$26.9M

Sector Composition

Rank Sector Weight
1 Healthcare 5.85%
2 Financials 5.81%
3 Industrials 5.1%
4 Consumer Discretionary 3.72%
5 Technology 3.1%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XHB icon
1951
CALL
State Street SPDR S&P Homebuilders ETF
XHB
$1.68B
– –
-36,500
Closed -$1.34M
XLF icon
1952
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
– –
-35,314
Closed -$748K
XLP icon
1953
CALL
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.3B
– –
-200,000
Closed -$9.52M
XPO icon
1954
XPO
XPO
$24.4B
– –
-159,605
Closed -$2.49M
XRX icon
1955
CALL
Xerox
XRX
$357M
– –
-39,772
Closed -$1.11M
XRX icon
1956
PUT
Xerox
XRX
$357M
– –
-39,772
Closed -$1.11M
XXII
1957
22nd Century Group
XXII
$1.43M
– –
0
– -$65K
PRKS icon
1958
United Parks & Resorts
PRKS
$2.12B
– –
-13,700
Closed -$253K
TXNM
1959
TXNM Energy Inc
TXNM
$6.44B
– –
-14,900
Closed -$367K
INVX
1960
Innovex International
INVX
$1.85B
– –
-16,767
Closed -$1.26M
OMCC
1961
DELISTED
Old Market Capital Corp
OMCC
– –
-11,513
Closed -$146K
PHLT
1962
DELISTED
Performant Healthcare Inc
PHLT
– –
-45,900
Closed -$149K
NPKI
1963
NPK International
NPKI
$1.19B
– –
-72,337
Closed -$588K
TBCH
1964
Turtle Beach Corp
TBCH
$245M
– –
-2,700
Closed -$25K
FFNW
1965
DELISTED
First Financial Northwest, Inc
FFNW
– –
-21,200
Closed -$264K
ENZ
1966
DELISTED
Enzo Biochem, Inc.
ENZ
– –
-55,350
Closed -$168K
IVAC
1967
DELISTED
Intevac Inc
IVAC
– –
-36,850
Closed -$216K
INFN
1968
DELISTED
Infinera Corporation Common Stock
INFN
– –
-15,000
Closed -$315K
CDMO
1969
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
– –
-3,457
Closed -$32K
VIRX
1970
DELISTED
Viracta Therapeutics, Inc. Common Stock
VIRX
– –
-440
Closed -$278K
B
1971
DELISTED
Barnes Group Inc.
B
– –
-22,016
Closed -$858K
USAP
1972
DELISTED
Universal Stainless & Alloy
USAP
– –
-10,900
Closed -$214K
PFIE
1973
DELISTED
Profire Energy, Inc
PFIE
– –
-22,550
Closed -$25K
SRCL
1974
DELISTED
Stericycle Inc
SRCL
– –
-4,482
Closed -$600K
VTNR
1975
DELISTED
Vertex Energy, Inc
VTNR
– –
-20,200
Closed -$48K
77 78
79
80 81

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NIEF
Nalanda India Equity Fund Mauritius $510M AUM 23.61% 1-Year Est. Return
HIM
HughesLittle Investment Management Vancouver $511M AUM 24.72% 1-Year Est. Return
MCA
Magnolia Capital Advisors Jackson, Mississippi $509M AUM 18.99% 1-Year Est. Return
OA
Oasis Advisors Forest City, Iowa $509M AUM
MC
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CTAF
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Paloma Partners's Q3 2015 Portfolio in Review

As of Q3 2015, Paloma Partners held 2,321 positions worth $4.32B, down 17% from $5.19B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Paloma Partners withdrew a net $483M in Q3 2015, closing 747 positions and reducing 519 holdings. Its most notable exit was DRESSER-RAND GROUP INC, an estimated $86.5M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 5.8% of assets, down from 7.1% a quarter earlier, followed by Financials and Industrials.

Against the trend, Paloma Partners opened a new position in DEALERTRACK TECHNOLOGIES, INC. COM STK worth $31.6M.

  • Paloma Partners's largest Q3 2015 buy was DEALERTRACK TECHNOLOGIES, INC. COM STK: 500,000 shares worth $31.6M.
  • Paloma Partners added most to State Street SPDR S&P 500 ETF Trust in Q3 2015, an estimated $59.6M increase.
  • Paloma Partners's biggest Q3 2015 reduction was Pfizer, cutting an estimated $41.7M.
  • Paloma Partners fully exited DRESSER-RAND GROUP INC in Q3 2015, selling an estimated $86.5M.
  • Paloma Partners's ten largest holdings make up 33% of its $4.32B portfolio in Q3 2015.
  • Paloma Partners opened 564 new positions and closed 747 in Q3 2015.
  • Paloma Partners's portfolio value fell 17% quarter-over-quarter to $4.32B.

Based on Paloma Partners's 13F filing for Q3 2015, filed 16 Nov 2015.