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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
-1.47%
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
$4.08B
AUM Growth
-$1.45B
Cap. Flow
-$2.4B
Cap. Flow %
-58.65%
Top 10 Hldgs %
49.4%
Holding
2,184
New
458
Increased
260
Reduced
212
Closed
1,185

Top Buys

Rank Stock Value
1
OTIS icon
Otis Worldwide
OTIS
+$15M
2
STNE icon
StoneCo
STNE
+$15M
3
LH icon
Labcorp
LH
+$14.9M
4
CSCO icon
Cisco
CSCO
+$14.6M
5
T icon
AT&T
T
+$13.7M

Top Sells

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$34.9M
2
CL icon
Colgate-Palmolive
CL
+$24.4M
3
AMZN icon
Amazon
AMZN
+$23.9M
4
NSC icon
Norfolk Southern
NSC
+$20.3M
5
LVS icon
Las Vegas Sands
LVS
+$20.3M

Sector Composition

Rank Sector Weight
1 Technology 5.62%
2 Financials 4.72%
3 Healthcare 3.25%
4 Industrials 2.68%
5 Communication Services 2.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GAMCU
2001
DELISTED
Golden Arrow Merger Corp. Unit
GAMCU
– –
-30,000
Closed -$298K
WIRE
2002
DELISTED
Encore Wire Corp
WIRE
– –
-4,045
Closed -$307K
MODN
2003
DELISTED
MODEL N, INC.
MODN
– –
-11,702
Closed -$401K
ERF
2004
DELISTED
Enerplus Corporation
ERF
– –
-59,771
Closed -$430K
DOOR
2005
DELISTED
MASONITE INTERNATIONAL CORP
DOOR
– –
-2,493
Closed -$278K
PXD
2006
CALL
DELISTED
Pioneer Natural Resource Co.
PXD
– –
-2,800
Closed -$455K
PXD
2007
DELISTED
Pioneer Natural Resource Co.
PXD
– –
-48,974
Closed -$7.96M
NGMS
2008
DELISTED
NeoGames S.A. Ordinary Shares
NGMS
– –
-3,582
Closed -$220K
MDC
2009
DELISTED
M.D.C. Holdings, Inc.
MDC
– –
-15,825
Closed -$800K
DSKE
2010
DELISTED
Daseke, Inc. Common Stock
DSKE
– –
-16,071
Closed -$104K
SOLO
2011
DELISTED
Electrameccanica Vehicles Corp. Ltd.
SOLO
– –
-142,834
Closed -$610K
AYX
2012
DELISTED
Alteryx Inc
AYX
– –
-2,991
Closed -$257K
SPLK
2013
CALL
DELISTED
Splunk Inc
SPLK
– –
-3,200
Closed -$462K
SPLK
2014
DELISTED
Splunk Inc
SPLK
– –
-4,860
Closed -$703K
BKCC
2015
DELISTED
BlackRock Capital Investment Corporation
BKCC
– –
-13,389
Closed -$53K
EXPR
2016
DELISTED
Express, Inc.
EXPR
– –
-740
Closed -$96K
MDRX
2017
DELISTED
Veradigm Inc. Common Stock
MDRX
– –
-17,766
Closed -$329K
LCAHU
2018
DELISTED
Landcadia Holdings IV, Inc. Units
LCAHU
– –
-43,000
Closed -$428K
MRTX
2019
DELISTED
Mirati Therapeutics, Inc. Common Stock
MRTX
– –
-4,830
Closed -$780K
NMRD
2020
DELISTED
Nemaura Medical, Inc. Common Stock
NMRD
– –
-15,877
Closed -$164K
RPT
2021
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
– –
-23,174
Closed -$301K
SGEN
2022
DELISTED
Seagen Inc. Common Stock
SGEN
– –
-7,307
Closed -$1.14M
KVSA
2023
DELISTED
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
– –
-86,000
Closed -$851K
VRTV
2024
DELISTED
VERITIV CORPORATION
VRTV
– –
-10,661
Closed -$655K
VMW
2025
CALL
DELISTED
VMware, Inc
VMW
– –
-1,600
Closed -$256K
79 80
81
82 83

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HIM
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MCA
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Paloma Partners's Q3 2021 Portfolio in Review

As of Q3 2021, Paloma Partners held 2,184 positions worth $4.08B, down 26% from $5.54B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Paloma Partners withdrew a net $2.4B in Q3 2021, closing 1,185 positions and reducing 212 holdings. Its most notable exit was iShares iBoxx $ Investment Grade Corporate Bond ETF, an estimated $34.9M position sold in full.

By sector, the portfolio is most concentrated in Technology at 5.6% of assets, down from 7.1% a quarter earlier, followed by Financials and Healthcare.

Against the trend, Paloma Partners opened a new position in Otis Worldwide worth $14M.

  • Paloma Partners's largest Q3 2021 buy was Otis Worldwide: 170,426 shares worth $14M.
  • Paloma Partners added most to StoneCo in Q3 2021, an estimated $15M increase.
  • Paloma Partners's biggest Q3 2021 reduction was Monster Beverage, cutting an estimated $19.4M.
  • Paloma Partners fully exited iShares iBoxx $ Investment Grade Corporate Bond ETF in Q3 2021, selling an estimated $34.9M.
  • Paloma Partners's ten largest holdings make up 49% of its $4.08B portfolio in Q3 2021.
  • Paloma Partners opened 458 new positions and closed 1,185 in Q3 2021.
  • Paloma Partners's portfolio value fell 26% quarter-over-quarter to $4.08B.

Based on Paloma Partners's 13F filing for Q3 2021, filed 15 Nov 2021.