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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
-0.29%
1 Year Est. Return
+1.91%
3 Year Est. Return
+11.01%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$2.86B
AUM Growth
+$80.1M
Cap. Flow
-$2.2B
Cap. Flow %
-76.99%
Top 10 Hldgs %
45.23%
Holding
111
New
7
Increased
7
Reduced
3
Closed
2

Top Buys

Rank Stock Value
1
SWU
STANLEY BLACK & DECKER INC CORP UNIT
SWU
+$169M
2
KMI.WS
Kinder Morgan Inc
KMI.WS
+$10.7M
3
TC.PRT
THOMPSON CREEK METALS COMPANY INC. COMMON SHARES(CANADA)TANG
TC.PRT
+$9.53M
4
KODK icon
Kodak
KODK
+$8.52M
5
GM.WS.C
GENERAL MTRS CO WTS EXP 12/31/15 (DE)
GM.WS.C
+$8.07M

Top Sells

Rank Stock Value
1
EMC
EMC CORPORATION
EMC
+$48.8M
2
COF.WS
Capital One Financial Corp
COF.WS
+$1.54M
3
TVIX
VelocityShares Daily 2x VIX Short Term ETN
TVIX
+$533K
4
NUGT icon
Direxion Daily Gold Miners Index Bull 2X ETF
NUGT
+$415K
5
AAL icon
American Airlines Group
AAL
+$368K

Sector Composition

Rank Sector Weight
1 Industrials 0.33%
2 Communication Services 0.25%
3 Real Estate 0.12%
4 Healthcare 0.04%
5 Materials 0.04%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SWU
1
DELISTED
STANLEY BLACK & DECKER INC CORP UNIT
SWU
$173M 6.05%
+1,361,570
New +$169M
FLG.PRU
2
Flagstar Bank National Association Bifurcated Option Note Unit Securities
FLG.PRU
$117M
– –
0
– –
KMI.WS
3
DELISTED
Kinder Morgan Inc
KMI.WS
$22.5M 0.79%
12,757,307
+4,227,603
+50% +$10.7M
WFC.PRL icon
4
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.72B
$22.2M 0.78%
18,899
+2,172
+13% +$2.52M
AIG.WS
5
DELISTED
American International Group, Inc.
AIG.WS
$20.2M 0.71%
987,784
+72,234
+8% +$1.41M
KODK icon
6
Kodak
KODK
$828M
$9.58M 0.33%
286,745
+282,660
+6,919% +$8.52M
COF.WS
7
DELISTED
Capital One Financial Corp
COF.WS
$8.65M 0.3%
244,812
-47,594
-16% -$1.54M
TC.PRT
8
DELISTED
THOMPSON CREEK METALS COMPANY INC. COMMON SHARES(CANADA)TANG
TC.PRT
$8.54M 0.3%
+665,968
New +$9.53M
EMMSP
9
DELISTED
EMMIS COMMUNICATIONS CRP CV PF
EMMSP
$6.95M 0.24%
443,270
– –
KEY.PRG
10
DELISTED
KeyCorp Pfd
KEY.PRG
$6.82M 0.24%
52,736
+9,681
+22% +$1.24M
GM.WS.C
11
DELISTED
GENERAL MTRS CO WTS EXP 12/31/15 (DE)
GM.WS.C
$6.51M 0.23%
+2,307,858
New +$8.07M
JPM.WS
12
DELISTED
JPMorgan Chase
JPM.WS
$6.35M 0.22%
314,163
-3,300
-1% -$62.1K
UONEK icon
13
Urban One Class D
UONEK
$22.8M
$5.73M 0.2%
120,817
– –
EMMS
14
DELISTED
Emmis Communications Corp
EMMS
$3.46M 0.12%
287,253
– –
EVV
15
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
$3.08M 0.11%
201,785
– –
GM.WS.B
16
DELISTED
General Motors Company
GM.WS.B
$2.22M 0.08%
+127,500
New +$2.46M
NUGT icon
17
Direxion Daily Gold Miners Index Bull 2X ETF
NUGT
$892M
$2.08M 0.07%
1,500
-250
-14% -$415K
JQC icon
18
Nuveen Credit Strategies Income Fund
JQC
$707M
$1.55M 0.05%
163,024
+9,900
+6% +$94.6K
FWONA icon
19
Liberty Media Series A
FWONA
$22.4B
$1.31M 0.05%
+56,290
New +$1.35M
DRRX
20
DELISTED
DURECT Corp
DRRX
$1.16M 0.04%
87,314
– –
AUQ
21
DELISTED
AURICO GOLD INC COM
AUQ
$1.1M 0.04%
252,910
– –
BAC.PRL icon
22
Bank of America Series L
BAC.PRL
$3.97B
$795K 0.03%
695
– –
DSU icon
23
BlackRock Debt Strategies Fund
DSU
$595M
$766K 0.03%
62,307
+74
+0.1% +$901
JRO
24
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$421K 0.01%
34,542
– –
JFR icon
25
Nuveen Floating Rate Income Fund
JFR
$1.24B
$384K 0.01%
32,071
– –
1
2

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SC
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IB
Intrust Bank Wichita, Kansas $1.23B AUM 26.34% 1-Year Est. Return
IA
Inspire Advisors Meridian, Idaho $1.23B AUM 18.62% 1-Year Est. Return
DGM
Delta Global Management New York $1.22B AUM 34.86% 1-Year Est. Return
WCM
Windward Capital Management Los Angeles, California $1.23B AUM 23.17% 1-Year Est. Return
GC
Gillson Capital Chicago, Illinois $1.22B AUM 7.54% 1-Year Est. Return
CCM
Coliseum Capital Management Rowayton, Connecticut $1.22B AUM 18.72% 1-Year Est. Return
AG
Atairos Group Bryn Mawr, Pennsylvania $1.22B AUM 38.2% 1-Year Est. Return

Zazove Associates's Q1 2014 Portfolio in Review

As of Q1 2014, Zazove Associates held 111 positions worth $2.86B, up 2.9% from $2.78B the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Zazove Associates withdrew a net $2.2B in Q1 2014, closing 2 positions and reducing 3 holdings. Its most notable exit was EMC CORPORATION, an estimated $48.8M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 0.33% of assets, up from 0.02% a quarter earlier, followed by Communication Services and Real Estate.

Against the trend, Zazove Associates opened a new position in STANLEY BLACK & DECKER INC CORP UNIT worth $173M.

  • Zazove Associates's largest Q1 2014 buy was STANLEY BLACK & DECKER INC CORP UNIT: 1,361,570 shares worth $173M.
  • Zazove Associates added most to Kinder Morgan Inc in Q1 2014, an estimated $10.7M increase.
  • Zazove Associates's biggest Q1 2014 reduction was Capital One Financial Corp, cutting an estimated $1.54M.
  • Zazove Associates fully exited EMC CORPORATION in Q1 2014, selling an estimated $48.8M.
  • Zazove Associates's ten largest holdings make up 45% of its $2.86B portfolio in Q1 2014.
  • Zazove Associates opened 7 new positions and closed 2 in Q1 2014.
  • Zazove Associates's portfolio value rose 2.9% quarter-over-quarter to $2.86B.

Based on Zazove Associates's 13F filing for Q1 2014, filed 25 Apr 2014.