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Prelude Capital Management Portfolio holdings

AUM $1.31B
1-Year Est. Return 62.02%
This Fund
S&P 500
This Quarter Est. Return
+0.5%
1 Year Est. Return
+62.02%
3 Year Est. Return
+164.16%
5 Year Est. Return
+274.13%
10 Year Est. Return
+2,470.2%
AUM
$710M
AUM Growth
-$45.7M
Cap. Flow
-$39.7M
Cap. Flow %
-5.59%
Top 10 Hldgs %
9.53%
Holding
2,469
New
584
Increased
596
Reduced
458
Closed
638

Top Buys

Rank Stock Value
1
COV
COVIDIEN PLC COM SHS NEW (IRELAND)
COV
+$6.42M
2
CNQR
CONCUR TECHNOLOGIES INC
CNQR
+$5.12M
3
DTV
DIRECTV COM STK (DE)
DTV
+$4.61M
4
TWC
TIME WARNER CABLE INC NEW COM STK
TWC
+$4.59M
5
TRW
TRW AUTOMOTIVE HOLDINGS CORP
TRW
+$4.56M

Top Sells

Rank Stock Value
1
FRX
FOREST LABORATORIES INC
FRX
+$5.64M
2
LVNTA
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
+$4.48M
3
DS
Drive Shack Inc.
DS
+$4.28M
4
HAWK
Blackhawk Network Holdings, Inc. Common Stock
HAWK
+$3.81M
5
SCCO icon
Southern Copper
SCCO
+$3.7M

Sector Composition

Rank Sector Weight
1 Technology 11.11%
2 Energy 9.76%
3 Consumer Discretionary 8.51%
4 Industrials 8.43%
5 Healthcare 7.74%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BIG
2176
CALL
DELISTED
Big Lots, Inc.
BIG
– –
-16,600
Closed -$759K
DLA
2177
DELISTED
Delta Apparel Inc.
DLA
– –
-300
Closed -$4K
MODN
2178
DELISTED
MODEL N, INC.
MODN
– –
-11,000
Closed -$122K
TARO
2179
DELISTED
Taro Pharmaceutical Industries Ltd.
TARO
– –
-594
Closed -$83K
NBSE
2180
PUT
DELISTED
NeuBase Therapeutics, Inc. Common Stock
NBSE
– –
-26
Closed -$97K
AEL
2181
DELISTED
American Equity Investment Life Holding Company
AEL
– –
-2,800
Closed -$69K
SPLK
2182
PUT
DELISTED
Splunk Inc
SPLK
– –
-5,300
Closed -$293K
NEPT
2183
CALL
DELISTED
Neptune Wellness Solutions Inc. Ordinary Shares
NEPT
– –
-1
Closed -$6K
RPT
2184
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
– –
-2,200
Closed -$37K
RPT.PRD
2185
DELISTED
RPT Realty 7.25% Series D Cumulative Convertible Perpetual Preferred Shares of Beneficial Interest
RPT.PRD
– –
-20,000
Closed -$1.24M
NETI
2186
DELISTED
Eneti Inc.
NETI
– –
-2,134
Closed -$1.89M
PCTI
2187
DELISTED
PCTEL, Inc. Common Stock
PCTI
– –
-500
Closed -$4K
CORR
2188
DELISTED
CorEnergy Infrastructure Trust, Inc.
CORR
– –
-13,298
Closed -$493K
HT
2189
DELISTED
Hersha Hospitality Trust Priority Class A Common Shares of Beneficial Interest
HT
– –
-12,500
Closed -$336K
VMW
2190
DELISTED
VMware, Inc
VMW
– –
-1,800
Closed -$174K
SCU
2191
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
– –
-1,200
Closed -$166K
SVVC
2192
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
– –
-25,223
Closed -$536K
RAD
2193
DELISTED
Rite Aid Corporation
RAD
– –
-1,300
Closed -$186K
MTEM
2194
DELISTED
Molecular Templates, Inc.
MTEM
– –
-58
Closed -$38K
AJRD
2195
CALL
DELISTED
Aerojet Rocketdyne Holdings
AJRD
– –
-67,900
Closed -$1.3M
TESS
2196
DELISTED
Tessco Technologies Inc
TESS
– –
-700
Closed -$22K
ISEE
2197
DELISTED
IVERIC bio, Inc. Common Stock
ISEE
– –
-1,860
Closed -$79K
NYMX
2198
DELISTED
Nymox Pharmaceutical Corp
NYMX
– –
-2,560
Closed -$13K
NYMX
2199
PUT
DELISTED
Nymox Pharmaceutical Corp
NYMX
– –
-6,400
Closed -$32K
DBD
2200
DELISTED
Diebold Nixdorf Incorporated
DBD
– –
-400
Closed -$16K
86 87
88
89 90

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Prelude Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Prelude Capital Management held 2,469 positions worth $710M, down 6% from $756M the previous quarter. Its ten largest holdings account for 9.5% of the portfolio.

Prelude Capital Management withdrew a net $39.7M in Q3 2014, closing 638 positions and reducing 458 holdings. Its most notable exit was FOREST LABORATORIES INC, an estimated $5.64M position sold in full.

By sector, the portfolio is most concentrated in Technology at 11% of assets, up from 9.1% a quarter earlier, followed by Energy and Consumer Discretionary.

Against the trend, Prelude Capital Management opened a new position in CONCUR TECHNOLOGIES INC worth $6.4M.

  • Prelude Capital Management's largest Q3 2014 buy was CONCUR TECHNOLOGIES INC: 50,447 shares worth $6.4M.
  • Prelude Capital Management added most to COVIDIEN PLC COM SHS NEW (IRELAND) in Q3 2014, an estimated $6.42M increase.
  • Prelude Capital Management's biggest Q3 2014 reduction was Liberty Interactive Corporation Series A Liberty Ventures, cutting an estimated $4.48M.
  • Prelude Capital Management fully exited FOREST LABORATORIES INC in Q3 2014, selling an estimated $5.64M.
  • Prelude Capital Management's ten largest holdings make up 9.5% of its $710M portfolio in Q3 2014.
  • Prelude Capital Management opened 584 new positions and closed 638 in Q3 2014.
  • Prelude Capital Management's portfolio value fell 6% quarter-over-quarter to $710M.

Based on Prelude Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.