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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
+7.19%
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
$5.5B
AUM Growth
+$30.3M
Cap. Flow
-$451M
Cap. Flow %
-8.2%
Top 10 Hldgs %
29.36%
Holding
2,186
New
612
Increased
418
Reduced
398
Closed
715

Top Buys

Rank Stock Value
1
ANDV
Andeavor
ANDV
+$345M
2
AAPL icon
Apple
AAPL
+$51.7M
3
BA icon
Boeing
BA
+$49.8M
4
UNP icon
Union Pacific
UNP
+$49M
5
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$47.5M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$50.9M
2
WMB icon
Williams Companies
WMB
+$48.8M
3
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$39.6M
4
IBB icon
iShares Biotechnology ETF
IBB
+$38.1M
5
QQQ icon
Invesco QQQ Trust
QQQ
+$32.4M

Sector Composition

Rank Sector Weight
1 Energy 9.63%
2 Technology 8.34%
3 Financials 8.01%
4 Industrials 6.71%
5 Communication Services 5.69%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HOLI
2001
DELISTED
Hollsys Automation Technologies INTERNATIONAL, LTD. COMMON (British Virgin Island)
HOLI
– –
-13,281
Closed -$294K
TARO
2002
DELISTED
Taro Pharmaceutical Industries Ltd.
TARO
– –
-4,251
Closed -$492K
CAMP
2003
DELISTED
CalAmp Corp.
CAMP
– –
-935
Closed -$504K
TAST
2004
DELISTED
Carrols Restaurant Group, Inc.
TAST
– –
-16,397
Closed -$243K
TRVN
2005
DELISTED
Trevena, Inc.
TRVN
– –
-456
Closed -$411K
KAMN
2006
DELISTED
Kaman Corp
KAMN
– –
-5,904
Closed -$411K
ARAV
2007
DELISTED
Aravive, Inc. Common Stock
ARAV
– –
-26,733
Closed -$325K
SRC
2008
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
– –
-28,139
Closed -$1.13M
SALM
2009
DELISTED
Salem Media Group, Inc. Class A Common Stock
SALM
– –
-56,599
Closed -$291K
SRT
2010
DELISTED
Startek Inc.
SRT
– –
-50,200
Closed -$316K
CHS
2011
DELISTED
Chicos FAS, Inc.
CHS
– –
-49,664
Closed -$404K
RPT
2012
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
– –
-20,232
Closed -$267K
VRTV
2013
DELISTED
VERITIV CORPORATION
VRTV
– –
-8,429
Closed -$336K
VMW
2014
DELISTED
VMware, Inc
VMW
– –
-7,247
Closed -$1.06M
TWNK
2015
DELISTED
Hostess Brands, Inc. Class A Common Stock
TWNK
– –
-14,402
Closed -$196K
AVID
2016
DELISTED
Avid Technology Inc
AVID
– –
-25,900
Closed -$135K
ZYNE
2017
DELISTED
Zynerba Pharmaceuticals, Inc
ZYNE
– –
-50,599
Closed -$493K
FRBK
2018
DELISTED
Republic First Bancorp Inc
FRBK
– –
-20,700
Closed -$162K
LSI
2019
DELISTED
Life Storage, Inc.
LSI
– –
-25,929
Closed -$1.68M
MAXR
2020
DELISTED
Maxar Technologies Inc. Common Stock
MAXR
– –
-6,009
Closed -$302K
FRC
2021
DELISTED
First Republic Bank
FRC
– –
-3,220
Closed -$311K
SIOX
2022
DELISTED
Sio Gene Therapies Inc. Common Stock
SIOX
– –
-19,700
Closed -$356K
UMPQ
2023
DELISTED
Umpqua Holdings Corp
UMPQ
– –
-649,261
Closed -$14.7M
RFP
2024
DELISTED
Resolute Forest Products Inc.
RFP
– –
-12,531
Closed -$130K
AVYA
2025
DELISTED
Avaya Holdings Corp. Common Stock
AVYA
– –
-34,400
Closed -$691K
79 80
81
82 83

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Paloma Partners's Q3 2018 Portfolio in Review

As of Q3 2018, Paloma Partners held 2,186 positions worth $5.5B, up 0.55% from $5.47B the previous quarter. Its ten largest holdings account for 29% of the portfolio.

Paloma Partners withdrew a net $451M in Q3 2018, closing 715 positions and reducing 398 holdings. Its most notable exit was iShares Biotechnology ETF, an estimated $38.1M position sold in full.

By sector, the portfolio is most concentrated in Energy at 9.6% of assets, up from 4.5% a quarter earlier, followed by Technology and Financials.

Against the trend, Paloma Partners opened a new position in Alphabet (Google) Class A worth $47.3M.

  • Paloma Partners's largest Q3 2018 buy was Alphabet (Google) Class A: 784,000 shares worth $47.3M.
  • Paloma Partners added most to Andeavor in Q3 2018, an estimated $345M increase.
  • Paloma Partners's biggest Q3 2018 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $50.9M.
  • Paloma Partners fully exited iShares Biotechnology ETF in Q3 2018, selling an estimated $38.1M.
  • Paloma Partners's ten largest holdings make up 29% of its $5.5B portfolio in Q3 2018.
  • Paloma Partners opened 612 new positions and closed 715 in Q3 2018.
  • Paloma Partners's portfolio value rose 0.55% quarter-over-quarter to $5.5B.

Based on Paloma Partners's 13F filing for Q3 2018, filed 14 Nov 2018.