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Silverback Asset Management Portfolio holdings

AUM $925M
1-Year Est. Return 74.97%
This Fund
S&P 500
This Quarter Est. Return
-5.15%
1 Year Est. Return
+74.97%
3 Year Est. Return
+92.15%
5 Year Est. Return
+87.42%
10 Year Est. Return
+103.26%
AUM
$1.42B
AUM Growth
+$243M
Cap. Flow
-$475M
Cap. Flow %
-33.36%
Top 10 Hldgs %
64.69%
Holding
71
New
10
Increased
5
Reduced
4
Closed
10

Top Buys

Rank Stock Value
1
FCEL icon
FuelCell Energy
FCEL
+$1.22M
2
ADXS
Advaxis Inc
ADXS
+$1.18M
3
KMI.WS
Kinder Morgan Inc
KMI.WS
+$1.14M
4
VRNG
VRINGO, INC COM STK NEW (DE)
VRNG
+$885K
5
SZYM
SOLAZYME INC COM STK (DE)
SZYM
+$588K

Top Sells

Rank Stock Value
1
GM.WS.A
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
+$20.4M
2
AEL
American Equity Investment Life Holding Company
AEL
+$6.59M
3
LNG icon
Cheniere Energy
LNG
+$2.05M
4
JCP
J.C. Penney Company, Inc.
JCP
+$1.44M
5
GCVRZ
Sanofi Contingent Value Rights
GCVRZ
+$216K

Sector Composition

Rank Sector Weight
1 Miscellaneous 99.32%
2 Healthcare 0.34%
3 Industrials 0.22%
4 Materials 0.07%
5 Energy 0.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$795B
$215M 15.1%
+1,150,000
New +$211M
C.WS.A
2
DELISTED
Citigroup Inc
C.WS.A
$98.3M 6.91%
2,065,974
-286,107
-12% -$190K
C.WS.B
3
DELISTED
CITIGROUP INC WTS EXP (10/28/2018) (DE)
C.WS.B
$85.4M 5.99%
1,793,300
– –
KMI.WS
4
DELISTED
Kinder Morgan Inc
KMI.WS
$76.8M 5.39%
2,364,000
+450,000
+24% +$1.14M
JCP
5
CALL
DELISTED
J.C. Penney Company, Inc.
JCP
$11.6M 0.81%
+1,340,000
New +$9.68M
CIE
6
CALL
DELISTED
Cobalt International Energy, Inc
CIE
$6.2M 0.44%
22,573
+5,906
+35% +$1.53M
HOLX
7
DELISTED
Hologic
HOLX
$3.54M 0.25%
164,700
– –
X
8
CALL
DELISTED
US Steel
X
$2.76M 0.19%
+100,000
New +$2.62M
SWY
9
CALL
DELISTED
SAFEWAY INC
SWY
$1.85M 0.13%
+55,850
New +$1.73M
VRNG
10
DELISTED
VRINGO, INC COM STK NEW (DE)
VRNG
$1.61M 0.11%
46,484
+23,487
+102% +$885K
FCEL icon
11
FuelCell Energy
FCEL
$1.24B
$1.51M 0.11%
+141
New +$1.22M
ADXS
12
DELISTED
Advaxis Inc
ADXS
$1.26M 0.09%
26,667
+16,667
+167% +$1.18M
SUNE
13
PUT
DELISTED
SUNEDISON, INC COM
SUNE
$1.05M 0.07%
+55,900
New +$931K
MCP
14
DELISTED
MOLYCORP INC COM STK
MCP
$1.02M 0.07%
216,700
– –
STWD icon
15
CALL
Starwood Property Trust
STWD
$5.55B
$753K 0.05%
+31,900
New +$757K
MNKD icon
16
CALL
MannKind Corp
MNKD
$1.14B
$603K 0.04%
+30,000
New +$853K
SZYM
17
DELISTED
SOLAZYME INC COM STK (DE)
SZYM
$581K 0.04%
+50,000
New +$588K
GCVRZ
18
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$491K 0.03%
1,582,410
-581,099
-27% -$216K
BPZ
19
DELISTED
BPZ RESOURCES INC COM STK
BPZ
$412K 0.03%
129,707
+84,972
+190% +$197K
CSV icon
20
Carriage Services
CSV
$508M
$339K 0.02%
+18,560
New +$372K
ADXSW
21
DELISTED
Advaxis Inc Warrants
ADXSW
$277K 0.02%
88,350
-24,150
-21% -$45.5K
LNG icon
22
CALL
Cheniere Energy
LNG
$55.3B
– –
-49,800
Closed -$2.15M
LNG icon
23
Cheniere Energy
LNG
$55.3B
– –
-47,600
Closed -$2.05M
SAFE
24
CALL
Safehold
SAFE
$979M
– –
-82,176
Closed -$5.71M
SPY icon
25
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$795B
– –
-958,700
Closed -$177M
1
2

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Silverback Asset Management's Q1 2014 Portfolio in Review

As of Q1 2014, Silverback Asset Management held 71 positions worth $1.42B, up 21% from $1.18B the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Silverback Asset Management withdrew a net $475M in Q1 2014, closing 10 positions and reducing 4 holdings. Its most notable exit was GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016), an estimated $20.4M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 99% of assets, up from 99% a quarter earlier, followed by Healthcare and Industrials.

Against the trend, Silverback Asset Management opened a new position in FuelCell Energy worth $1.51M.

  • Silverback Asset Management's largest Q1 2014 buy was FuelCell Energy: 141 shares worth $1.51M.
  • Silverback Asset Management added most to Advaxis Inc in Q1 2014, an estimated $1.18M increase.
  • Silverback Asset Management's biggest Q1 2014 reduction was Sanofi Contingent Value Rights, cutting an estimated $216K.
  • Silverback Asset Management fully exited GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016) in Q1 2014, selling an estimated $20.4M.
  • Silverback Asset Management's ten largest holdings make up 65% of its $1.42B portfolio in Q1 2014.
  • Silverback Asset Management opened 10 new positions and closed 10 in Q1 2014.
  • Silverback Asset Management's portfolio value rose 21% quarter-over-quarter to $1.42B.

Based on Silverback Asset Management's 13F filing for Q1 2014, filed 13 May 2014.