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TDC

Thompson Davis & Co Portfolio holdings

AUM $150M
1-Year Est. Return 32.35%
This Fund
S&P 500
This Quarter Est. Return
-4.92%
1 Year Est. Return
+32.35%
3 Year Est. Return
+199.51%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$71.5M
AUM Growth
-$15.2M
Cap. Flow
-$7.59M
Cap. Flow %
-10.61%
Top 10 Hldgs %
20.8%
Holding
1,384
New
165
Increased
315
Reduced
364
Closed
228

Top Buys

Rank Stock Value
1
SONN
Sonnet BioTherapeutics
SONN
+$1.18M
2
GE icon
GE Aerospace
GE
+$582K
3
CBM
Cambrex Corporation
CBM
+$524K
4
WFM
Whole Foods Market Inc
WFM
+$467K
5
CPSS icon
Consumer Portfolio Services
CPSS
+$463K

Top Sells

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$2M
2
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$1.23M
3
IWC icon
iShares Micro-Cap ETF
IWC
+$1.17M
4
PFE icon
Pfizer
PFE
+$1.1M
5
VV icon
Vanguard Large-Cap ETF
VV
+$957K

Sector Composition

Rank Sector Weight
1 Technology 15.2%
2 Real Estate 11.29%
3 Healthcare 10.98%
4 Industrials 10.7%
5 Financials 10.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HILL
1326
DELISTED
DOT HILL SYSTEMS CORP
HILL
– –
-50,000
Closed -$306K
STRI
1327
DELISTED
STR HLDGS INC COM STK NEW (DE)
STRI
$0 ﹤0.01%
166
– –
HNSN
1328
DELISTED
HANSEN MEDICAL, INC. COM NEW
HNSN
$0 ﹤0.01%
100
– –
TSRE
1329
DELISTED
TRADE STREET RESIDENTIAL, INC. COMMON STOCK
TSRE
– –
-80,536
Closed -$536K
MEA
1330
DELISTED
METALICO INC
MEA
– –
-2,000
Closed -$1K
NEE.PRO
1331
DELISTED
NEXTERA ENERGY INC UNITS EXPIRING 09/01/2015 (FL)
NEE.PRO
– –
-45
Closed -$3K
RCPT
1332
DELISTED
RECEPTOS INC COM STK (DE)
RCPT
– –
-50
Closed -$10K
PPO
1333
DELISTED
POLYPORE INTERNATIONAL, INC
PPO
– –
-125
Closed -$7K
UTX.PRA
1334
DELISTED
UNITED TECHNOLOGIES CORP CORP UNIT (DE)
UTX.PRA
– –
-75
Closed -$4K
DTV
1335
DELISTED
DIRECTV COM STK (DE)
DTV
– –
-542
Closed -$50K
CTRX
1336
DELISTED
CATAMARAN CORP COM STK (CDA)
CTRX
– –
-487
Closed -$30K
KRFT
1337
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
– –
-100
Closed -$9K
IGTE
1338
DELISTED
IGATE CORPORATION
IGTE
– –
-724
Closed -$35K
RCPI
1339
DELISTED
ROCK CREEK PHARMACEUTICALS INC COM STK (DE)
RCPI
– –
-80
Closed –
AMZG
1340
DELISTED
AMERICAN EAGLE ENERGY CORP NEW COM STK (NV)
AMZG
– –
-5,250
Closed –
GTT
1341
DELISTED
GTT Communications, Inc.
GTT
– –
-2,500
Closed -$60K
QTWW
1342
DELISTED
QUANTUM FUEL SYS TECHNOLOGIES WORLDWIDE INC COM STK (DE)
QTWW
– –
-2,000
Closed -$4K
EMKR
1343
DELISTED
Emcore Corp
EMKR
– –
-50
Closed -$3K
MRGE
1344
DELISTED
MERGE HEALTHCARE INC COM STK (WI)
MRGE
– –
-1,500
Closed -$7K
CAM
1345
DELISTED
CAMERON INTERNATIONAL CORPORATION
CAM
– –
-228
Closed -$12K
SIVB
1346
DELISTED
SVB Financial Group
SIVB
– –
-65
Closed -$9K
CEMI
1347
DELISTED
Chembio diagnostics, Inc.
CEMI
– –
-6,608
Closed -$32K
FTR
1348
DELISTED
Frontier Communications Corp.
FTR
$0 ﹤0.01%
1
– –
AUO
1349
DELISTED
AU Optronics Corp
AUO
$0 ﹤0.01%
18
– –
TIK
1350
DELISTED
Tel-Instrument Electronics Corp.
TIK
– –
-250
Closed -$1K
51 52 53
54
55

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Thompson Davis & Co's Q3 2015 Portfolio in Review

As of Q3 2015, Thompson Davis & Co held 1,384 positions worth $71.5M, down 18% from $86.7M the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Thompson Davis & Co withdrew a net $7.59M in Q3 2015, closing 228 positions and reducing 364 holdings. Its most notable exit was TRADE STREET RESIDENTIAL, INC. COMMON STOCK, an estimated $536K position sold in full.

By sector, the portfolio is most concentrated in Technology at 15% of assets, down from 18% a quarter earlier, followed by Real Estate and Healthcare.

Against the trend, Thompson Davis & Co opened a new position in Sonnet BioTherapeutics worth $396K.

  • Thompson Davis & Co's largest Q3 2015 buy was Sonnet BioTherapeutics: 1 share worth $396K.
  • Thompson Davis & Co added most to GE Aerospace in Q3 2015, an estimated $582K increase.
  • Thompson Davis & Co's biggest Q3 2015 reduction was iShares Russell 2000 ETF, cutting an estimated $2M.
  • Thompson Davis & Co fully exited TRADE STREET RESIDENTIAL, INC. COMMON STOCK in Q3 2015, selling an estimated $536K.
  • Thompson Davis & Co's ten largest holdings make up 21% of its $71.5M portfolio in Q3 2015.
  • Thompson Davis & Co opened 165 new positions and closed 228 in Q3 2015.
  • Thompson Davis & Co's portfolio value fell 18% quarter-over-quarter to $71.5M.

Based on Thompson Davis & Co's 13F filing for Q3 2015, filed 30 Oct 2015.