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ZA

Zazove Associates Portfolio holdings

AUM $1.22B
1-Year Est. Return 1.91%
This Fund
S&P 500
This Quarter Est. Return
-0.14%
1 Year Est. Return
+1.91%
3 Year Est. Return
+11.01%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$2.78B
AUM Growth
-$195M
Cap. Flow
-$2.44B
Cap. Flow %
-87.9%
Top 10 Hldgs %
44.56%
Holding
120
New
9
Increased
7
Reduced
3
Closed
13

Top Buys

Rank Stock Value
1
EMC
EMC CORPORATION
EMC
+$47.1M
2
EVV
Eaton Vance Limited Duration Income Fund
EVV
+$3M
3
NUGT icon
Direxion Daily Gold Miners Index Bull 2X ETF
NUGT
+$2.66M
4
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$1.44M
5
EMMS
Emmis Communications Corp
EMMS
+$783K

Top Sells

Rank Stock Value
1
SWU
STANLEY BLACK & DECKER INC CORP UNIT
SWU
+$164M
2
FLG.PRU
Flagstar Bank National Association Bifurcated Option Note Unit Securities
FLG.PRU
+$33.4M
3
GM.WS.C
GENERAL MTRS CO WTS EXP 12/31/15 (DE)
GM.WS.C
+$9.92M
4
TC.PRT
THOMPSON CREEK METALS COMPANY INC. COMMON SHARES(CANADA)TANG
TC.PRT
+$5.95M
5
UVXY icon
ProShares Ultra VIX Short-Term Futures ETF
UVXY
+$1.72M

Sector Composition

Rank Sector Weight
1 Technology 1.76%
2 Communication Services 0.16%
3 Real Estate 0.1%
4 Healthcare 0.05%
5 Materials 0.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EMC
1
DELISTED
EMC CORPORATION
EMC
$48.8M 1.76%
+1,942,222
New +$47.1M
KMI.WS
2
DELISTED
Kinder Morgan Inc
KMI.WS
$34.6M 1.25%
8,529,704
-32,000
-0.4% -$138K
WFC.PRL icon
3
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.72B
$18.6M 0.67%
16,727
+672
+4% +$758K
AIG.WS
4
DELISTED
American International Group, Inc.
AIG.WS
$18.5M 0.67%
915,550
+21,954
+2% +$440K
COF.WS
5
DELISTED
Capital One Financial Corp
COF.WS
$10.4M 0.37%
292,406
-30,028
-9% -$931K
TC.PRT
6
DELISTED
THOMPSON CREEK METALS COMPANY INC. COMMON SHARES(CANADA)TANG
TC.PRT
– –
-385,943
Closed -$5.95M
EMMSP
7
DELISTED
EMMIS COMMUNICATIONS CRP CV PF
EMMSP
$6.53M 0.24%
443,270
-48,240
-10% -$711K
JPM.WS
8
DELISTED
JPMorgan Chase
JPM.WS
$6.16M 0.22%
317,463
– –
KEY.PRG
9
DELISTED
KeyCorp Pfd
KEY.PRG
$5.54M 0.2%
43,055
+400
+0.9% +$50.9K
UONEK icon
10
Urban One Class D
UONEK
$22.8M
$4.58M 0.16%
120,817
+6,546
+6% +$210K
EVV
11
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
$3.09M 0.11%
201,785
+199,480
+8,654% +$3M
EMMS
12
DELISTED
Emmis Communications Corp
EMMS
$2.9M 0.1%
287,253
+84,705
+42% +$783K
NUGT icon
13
Direxion Daily Gold Miners Index Bull 2X ETF
NUGT
$892M
$1.92M 0.07%
+1,750
New +$2.66M
DRRX
14
DELISTED
DURECT Corp
DRRX
$1.51M 0.05%
87,314
– –
JQC icon
15
Nuveen Credit Strategies Income Fund
JQC
$707M
$1.49M 0.05%
+153,124
New +$1.44M
AUQ
16
DELISTED
AURICO GOLD INC COM
AUQ
$926K 0.03%
252,910
+150,000
+146% +$578K
DSU icon
17
BlackRock Debt Strategies Fund
DSU
$595M
$745K 0.03%
+62,233
New +$750K
BAC.PRL icon
18
Bank of America Series L
BAC.PRL
$3.97B
$737K 0.03%
695
– –
TVIX
19
DELISTED
VelocityShares Daily 2x VIX Short Term ETN
TVIX
– –
0
– –
JRO
20
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$421K 0.02%
+34,542
New +$416K
JFR icon
21
Nuveen Floating Rate Income Fund
JFR
$1.24B
$382K 0.01%
32,071
– –
AAL icon
22
American Airlines Group
AAL
$10.6B
$368K 0.01%
+14,584
New +$376K
KODK.WS
23
DELISTED
Eastman Kodak Company
KODK.WS
$341K 0.01%
+17,313
New +$245K
KODK.WS.A
24
DELISTED
Eastman Kodak Company
KODK.WS.A
$319K 0.01%
+17,313
New +$234K
KODK icon
25
Kodak
KODK
$828M
$142K 0.01%
+4,085
New +$113K
1
2

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DGM
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WCM
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Zazove Associates's Q4 2013 Portfolio in Review

As of Q4 2013, Zazove Associates held 120 positions worth $2.78B, down 6.6% from $2.98B the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Zazove Associates withdrew a net $2.44B in Q4 2013, closing 13 positions and reducing 3 holdings. Its most notable exit was STANLEY BLACK & DECKER INC CORP UNIT, an estimated $164M position sold in full.

By sector, the portfolio is most concentrated in Technology at 1.8% of assets, up from 0.05% a quarter earlier, followed by Communication Services and Real Estate.

Against the trend, Zazove Associates opened a new position in EMC CORPORATION worth $48.8M.

  • Zazove Associates's largest Q4 2013 buy was EMC CORPORATION: 1,942,222 shares worth $48.8M.
  • Zazove Associates added most to Eaton Vance Limited Duration Income Fund in Q4 2013, an estimated $3M increase.
  • Zazove Associates's biggest Q4 2013 reduction was Capital One Financial Corp, cutting an estimated $931K.
  • Zazove Associates fully exited STANLEY BLACK & DECKER INC CORP UNIT in Q4 2013, selling an estimated $164M.
  • Zazove Associates's ten largest holdings make up 45% of its $2.78B portfolio in Q4 2013.
  • Zazove Associates opened 9 new positions and closed 13 in Q4 2013.
  • Zazove Associates's portfolio value fell 6.6% quarter-over-quarter to $2.78B.

Based on Zazove Associates's 13F filing for Q4 2013, filed 5 Feb 2014.