Caxton Associates LP's Q1 2021 13F: 335 new positions, 65 exits
Form 13F-HR for the quarter ended Mar 31, 2021 · filed May 17, 2021 · 387 reported positions · accession 0001567619-21-010511
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| Reduced | SPDR GOLD TR (GLD) | 45.9% | 3.9% | −42.0 pts | −2.28M sh | −90% |
| Exited | ISHARES TR (EEM) | 8.3% | — | −8.3 pts | −1.57M sh | −100% |
| New | SUNRUN INC (RUN) | — | 8.1% | +8.1 pts | +1.37M sh | new |
| New | ALPHABET INC (GOOGL) | — | 8.1% | +8.1 pts | +40,250 sh | new |
| New | FACEBOOK INC (META) | — | 7.9% | +7.9 pts | +274K sh | new |
| Increased | MICROSOFT CORP (MSFT) | 1.1% | 8.5% | +7.3 pts | +318K sh | +629% |
| Increased | AMAZON COM INC (AMZN) | 0.7% | 6.9% | +6.2 pts | +20,694 sh | +967% |
| Exited | AES CORP (AES) | 5.0% | — | −5.0 pts | −2.11M sh | −100% |
| New | HESS CORP (HES) | — | 4.6% | +4.6 pts | +660K sh | new |
| New | TPI COMPOSITES INC (TPIC) | — | 4.4% | +4.4 pts | +801K sh | new |
| New | OCCIDENTAL PETE CORP (OXY) | — | 4.3% | +4.3 pts | +1.65M sh | new |
| Increased | APTIV PLC (APTV) | 6.1% | 10.1% | +3.9 pts | +286K sh | +62% |
| Increased | DISNEY WALT CO (DIS) | 0.8% | 3.6% | +2.8 pts | +157K sh | +346% |
| Reduced | ISHARES SILVER TR (SLV) | 2.5% | 0.0% | −2.5 pts | −987K sh | −98% |
| Reduced | APPLE INC (AAPL) | 2.0% | 0.1% | −1.8 pts | −134K sh | −92% |
| New | BAIDU INC (BIDU) | — | 1.4% | +1.4 pts | +67,810 sh | new |
| New | VIACOMCBS INC (PARA) | — | 1.4% | +1.4 pts | +317K sh | new |
| Reduced | MICRON TECHNOLOGY INC (MU) | 2.9% | 2.0% | −0.9 pts | −145K sh | −39% |
| New | CME GROUP INC (CME) | — | 1.2% | +1.2 pts | +60,000 sh | new |
| Exited | NEXTERA ENERGY PARTNERS LP (XIFR) | 1.0% | — | −1.0 pts | −148K sh | −100% |
| Reduced | NEXTERA ENERGY INC (NEE) | 1.2% | 0.1% | −1.1 pts | −136K sh | −91% |
| Exited | PPL CORP (PPL) | 0.9% | — | −0.9 pts | −323K sh | −100% |
| Exited | PORTLAND GEN ELEC CO (POR) | 0.9% | — | −0.9 pts | −208K sh | −100% |
| Exited | EVERSOURCE ENERGY (ES) | 0.9% | — | −0.9 pts | −103K sh | −100% |
| Exited | ALLIANT ENERGY CORP (LNT) | 0.9% | — | −0.9 pts | −171K sh | −100% |
| Exited | XCEL ENERGY INC (XEL) | 0.9% | — | −0.9 pts | −131K sh | −100% |
| Exited | DUKE ENERGY CORP NEW (DUK) | 0.9% | — | −0.9 pts | −95,621 sh | −100% |
| Exited | DTE ENERGY CO (DTE) | 0.9% | — | −0.9 pts | −71,985 sh | −100% |
| Exited | CENTERPOINT ENERGY INC (CNP) | 0.9% | — | −0.9 pts | −401K sh | −100% |
| Exited | EXELON CORP (EXC) | 0.9% | — | −0.9 pts | −205K sh | −100% |
| Exited | CLEARWAY ENERGY INC (CWEN) | 0.9% | — | −0.9 pts | −271K sh | −100% |
| Exited | DOMINION ENERGY INC (D) | 0.9% | — | −0.9 pts | −115K sh | −100% |
| Reduced | PUBLIC SVC ENTERPRISE GRP IN (PEG) | 0.9% | 0.0% | −0.9 pts | −145K sh | −96% |
| Reduced | TAIWAN SEMICONDUCTOR MFG LTD (TSM) | 1.6% | 1.0% | −0.6 pts | −60,594 sh | −41% |
| Increased | VISA INC (V) | 0.6% | 1.2% | +0.6 pts | +31,364 sh | +127% |
| Exited | SONY CORP (SONY) | 0.6% | — | −0.6 pts | −55,710 sh | −100% |
| New | SABRE CORP (SABR) | — | 0.5% | +0.5 pts | +375K sh | new |
| Exited | INTUIT (INTU) | 0.5% | — | −0.5 pts | −13,300 sh | −100% |
| Exited | ADVANCED MICRO DEVICES INC (AMD) | 0.5% | — | −0.5 pts | −52,428 sh | −100% |
| New | SONOS INC (SONO) | — | 0.4% | +0.4 pts | +121K sh | new |
| Exited | AMBARELLA INC (AMBA) | 0.4% | — | −0.4 pts | −38,500 sh | −100% |
| Reduced | DOCUSIGN INC (DOCU) | 0.7% | 0.3% | −0.4 pts | −17,292 sh | −57% |
| Reduced | LAM RESEARCH CORP (LRCX) | 0.3% | 0.0% | −0.3 pts | −5,782 sh | −94% |
| Exited | ADOBE SYSTEMS INCORPORATED (ADBE) | 0.3% | — | −0.3 pts | −6,438 sh | −100% |
| Exited | SHOPIFY INC (SHOP) | 0.3% | — | −0.3 pts | −2,600 sh | −100% |
| New | COMCAST CORP NEW (CMCSA) | — | 0.3% | +0.3 pts | +54,080 sh | new |
| New | WESTERN DIGITAL CORP. (WDC) | — | 0.3% | +0.3 pts | +43,700 sh | new |
| Exited | NXP SEMICONDUCTORS N V (NXPI) | 0.2% | — | −0.2 pts | −15,100 sh | −100% |
| New | TC ENERGY CORP (TRP) | — | 0.2% | +0.2 pts | +43,500 sh | new |
| Exited | AIRBNB INC (ABNB) | 0.2% | — | −0.2 pts | −12,600 sh | −100% |
The 50 largest of 446 changes, by size of the trade. Full holdings for this quarter.
Reported by the fund in its Form 13F filed with the SEC; holdings are as of the quarter-end report date and may have changed since. For informational purposes only — not investment advice or a recommendation to buy or sell any security. FilingExplorer is not affiliated with or endorsed by this fund. How this brief is compiled
† Security identifier (CUSIP) changed — read as one continuing position, not an exit and a new position:
- EQUITABLE HLDGS INC (EQH): 29452E105 → 29452E101, 16,334 → 30,356 shares (share count changed with the identifier; not shown as a trade)
Top 10 positions — 66.7% of the equity book
Changes in the top 10 this quarter: RUN entered · GOOGL entered · META entered · AMZN entered · HES entered · TPIC entered · OXY entered · EEM left · AES left · MU left · SLV left · AAPL left · TSM left · NEE left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | APTIV PLC (APTV) | 6.1% | 10.1% | |
| 2 | MICROSOFT CORP (MSFT) | 1.1% | 8.5% | |
| 3 | SUNRUN INC (RUN) | 0.0% | 8.1% | Entered the top 10 |
| 4 | ALPHABET INC (GOOGL) | 0.0% | 8.1% | Entered the top 10 |
| 5 | FACEBOOK INC (META) | 0.0% | 7.9% | Entered the top 10 |
| 6 | AMAZON COM INC (AMZN) | 0.7% | 6.9% | Entered the top 10 |
| 7 | HESS CORP (HES) | 0.0% | 4.6% | Entered the top 10 |
| 8 | TPI COMPOSITES INC (TPIC) | 0.0% | 4.4% | Entered the top 10 |
| 9 | OCCIDENTAL PETE CORP (OXY) | 0.0% | 4.3% | Entered the top 10 |
| 10 | SPDR GOLD TR (GLD) | 45.9% | 3.9% | |
| — | ISHARES TR (EEM) | 8.3% | 0.0% | Left the top 10 |
| — | AES CORP (AES) | 5.0% | 0.0% | Left the top 10 |
| — | MICRON TECHNOLOGY INC (MU) | 2.9% | 2.0% | Left the top 10 |
| — | ISHARES SILVER TR (SLV) | 2.5% | 0.0% | Left the top 10 |
| — | APPLE INC (AAPL) | 2.0% | 0.1% | Left the top 10 |
| — | TAIWAN SEMICONDUCTOR MFG LTD (TSM) | 1.6% | 1.0% | Left the top 10 |
| — | NEXTERA ENERGY INC (NEE) | 1.2% | 0.1% | Left the top 10 |
Weights are each position's reported value as a share of the fund's reported equity positions (options and principal-amount holdings excluded).
Option positions (puts and calls)
Reported separately from the positions above. The value a 13F reports for an option is that of the underlying shares, not the option itself.
| Activity | Security | Type | Shares before | Shares now | Reported value |
|---|---|---|---|---|---|
| Exited | ISHARES TR (EEM) | Call | 6.89M | 0 | $0 |
| Exited | VANECK VECTORS ETF TR (GDX) | Put | 500K | 0 | $0 |
| Reduced | VANECK VECTORS ETF TR (GDX) | Call | 550K | 170K | $5.53M |
| Exited | ISHARES SILVER TR (SLV) | Put | 500K | 0 | $0 |
| New | INVESCO EXCH TRADED FD TR II (TAN) | Call | 0 | 125K | $11.5M |
| New | TOYOTA MOTOR CORP (TM) | Call | 0 | 59,100 | $9.22M |
| New | FACEBOOK INC (META) | Put | 0 | 30,000 | $8.84M |
| Exited | NETFLIX INC (NFLX) | Call | 16,300 | 0 | $0 |
| Exited | AMAZON COM INC (AMZN) | Call | 2,000 | 0 | $0 |
| Increased | SELECT SECTOR SPDR TR (XLF) | Call | 4,000 | 186K | $6.33M |
| Reduced | MICROSOFT CORP (MSFT) | Call | 27,500 | 8,500 | $2M |
| Exited | FACEBOOK INC (META) | Call | 15,000 | 0 | $0 |
| Reduced | ISHARES SILVER TR (SLV) | Call | 228K | 92,300 | $2.1M |
| Exited | ISHARES TR (TLT) | Put | 20,000 | 0 | $0 |
| Exited | TESLA INC (TSLA) | Put | 4,000 | 0 | $0 |
| Exited | TESLA INC (TSLA) | Call | 4,000 | 0 | $0 |
| New | MERCK & CO. INC (MRK) | Call | 0 | 34,000 | $2.62M |
| New | MARATHON OIL CORP (MRO) | Put | 0 | 244K | $2.6M |
| Exited | ISHARES TR (HYG) | Put | 26,700 | 0 | $0 |
| Exited | STARBUCKS CORP (SBUX) | Call | 20,000 | 0 | $0 |
| Increased | SPDR GOLD TR (GLD) | Call | 16,200 | 30,000 | $4.8M |
| New | PBF ENERGY INC (PBF) | Call | 0 | 128K | $1.81M |
| New | GAMESTOP CORP NEW (GME) | Put | 0 | 9,000 | $1.71M |
| Exited | ISHARES TR (IWM) | Put | 8,000 | 0 | $0 |
| Increased | MICRON TECHNOLOGY INC (MU) | Call | 20,000 | 30,000 | $2.65M |