Caxton Associates LP's Q3 2021 13F: 183 new positions, 208 exits
Form 13F-HR for the quarter ended Sep 30, 2021 · filed Nov 15, 2021 · 409 reported positions · accession 0001567619-21-020474
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| Exited | BAIDU INC (BIDU) | 11.1% | — | −11.1 pts | −418K sh | −100% |
| Increased | TESLA INC (TSLA) | 7.3% | 19.4% | +12.1 pts | +95,522 sh | +116% |
| New | PFIZER INC (PFE) | — | 9.0% | +9.0 pts | +1.48M sh | new |
| Reduced | SUNRUN INC (RUN) | 10.3% | 0.5% | −9.8 pts | −1.34M sh | −95% |
| Reduced | MICROSOFT CORP (MSFT) | 5.7% | 2.2% | −3.5 pts | −106K sh | −66% |
| Reduced | AMAZON COM INC (AMZN) | 5.1% | 1.2% | −3.9 pts | −8,726 sh | −77% |
| Increased | APTIV PLC (APTV) | 8.4% | 12.6% | +4.2 pts | +191K sh | +47% |
| Reduced | TPI COMPOSITES INC (TPIC) | 5.2% | 0.1% | −5.1 pts | −801K sh | −97% |
| Reduced | ALPHABET INC (GOOGL) | 4.3% | 1.5% | −2.8 pts | −9,605 sh | −70% |
| Increased | MODERNA INC (MRNA) | 0.1% | 3.5% | +3.4 pts | +61,320 sh | +1792% |
| New | SALESFORCE COM INC (CRM) | — | 2.9% | +2.9 pts | +77,218 sh | new |
| Reduced | MICRON TECHNOLOGY INC (MU) | 2.7% | 0.6% | −2.1 pts | −181K sh | −74% |
| Reduced | ADVANCED MICRO DEVICES INC (AMD) | 1.5% | 0.0% | −1.5 pts | −120K sh | −98% |
| Exited | MASTERCARD INCORPORATED (MA) | 1.4% | — | −1.4 pts | −28,795 sh | −100% |
| New | SELECT SECTOR SPDR TR (XLF) | — | 1.2% | +1.2 pts | +230K sh | new |
| Reduced | JOHNSON & JOHNSON (JNJ) | 1.0% | 0.1% | −0.9 pts | −41,517 sh | −94% |
| Increased | ISHARES SILVER TR (SLV) | 0.1% | 1.0% | +0.9 pts | +315K sh | +1780% |
| Increased | ZEBRA TECHNOLOGIES CORPORATI (ZBRA) | 1.0% | 1.9% | +0.9 pts | +12,151 sh | +84% |
| Increased | INTUITIVE SURGICAL INC (ISRG) | 0.7% | 1.7% | +1.0 pts | +5,996 sh | +100% |
| Exited | PAYPAL HLDGS INC (PYPL) | 0.7% | — | −0.7 pts | −17,500 sh | −100% |
| Exited | SONOS INC (SONO) | 0.6% | — | −0.6 pts | −121K sh | −100% |
| Increased | FACEBOOK INC (META) | 0.8% | 1.3% | +0.5 pts | +10,550 sh | +62% |
| Exited | ISHARES TR (EEM) | 0.5% | — | −0.5 pts | −68,000 sh | −100% |
| Reduced | ISHARES TR (IWM) | 1.6% | 1.2% | −0.4 pts | −15,400 sh | −28% |
| New | HORMEL FOODS CORP (HRL) | — | 0.5% | +0.5 pts | +78,057 sh | new |
| New | NETFLIX INC (NFLX) | — | 0.4% | +0.4 pts | +5,231 sh | new |
| Increased | SELECT SECTOR SPDR TR (XLV) | 1.0% | 1.5% | +0.5 pts | +25,000 sh | +42% |
| Exited | DELL TECHNOLOGIES INC (DELL) | 0.4% | — | −0.4 pts | −33,700 sh | −100% |
| Increased | CHESAPEAKE ENERGY CORP (EXE) | 0.1% | 0.5% | +0.4 pts | +48,405 sh | +346% |
| Exited | EQUINOR ASA (EQNR) | 0.4% | — | −0.4 pts | −145K sh | −100% |
| Increased | ANTERO RESOURCES CORP (AR) | 0.1% | 0.5% | +0.4 pts | +149K sh | +355% |
| Exited | DOCUSIGN INC (DOCU) | 0.4% | — | −0.4 pts | −10,700 sh | −100% |
| New | CONOCOPHILLIPS (COP) | — | 0.4% | +0.4 pts | +40,100 sh | new |
| Increased | INTUIT (INTU) | 0.0% | 0.4% | +0.4 pts | +4,992 sh | +1209% |
| Increased | ANALOG DEVICES INC (ADI) | 0.4% | 0.8% | +0.4 pts | +15,600 sh | +83% |
| New | LIBERTY GLOBAL PLC (LBTYA) | — | 0.4% | +0.4 pts | +84,500 sh | new |
| New | CIMAREX ENERGY CO (XEC) | — | 0.3% | +0.3 pts | +28,127 sh | new |
| Exited | ARK ETF TR (ARKK) | 0.3% | — | −0.3 pts | −20,000 sh | −100% |
| New | VISA INC (V) | — | 0.3% | +0.3 pts | +10,000 sh | new |
| New | UNITEDHEALTH GROUP INC (UNH) | — | 0.3% | +0.3 pts | +5,126 sh | new |
| New | OVINTIV INC (OVV) | — | 0.3% | +0.3 pts | +59,031 sh | new |
| New | DECKERS OUTDOOR CORP (DECK) | — | 0.3% | +0.3 pts | +5,000 sh | new |
| New | AFLAC INC (AFL) | — | 0.2% | +0.2 pts | +31,667 sh | new |
| New | TOOTSIE ROLL INDS INC (TR) | — | 0.2% | +0.2 pts | +52,370 sh | new |
| Reduced | CME GROUP INC (CME) | 1.9% | 1.6% | −0.2 pts | −8,037 sh | −12% |
| New | FLAGSTAR BANCORP INC (FBC) | — | 0.2% | +0.2 pts | +28,517 sh | new |
| New | ADOBE SYSTEMS INCORPORATED (ADBE) | — | 0.2% | +0.2 pts | +2,514 sh | new |
| New | LANCASTER COLONY CORP (MZTI) | — | 0.2% | +0.2 pts | +8,014 sh | new |
| New | PINNACLE WEST CAP CORP (PNW) | — | 0.2% | +0.2 pts | +18,436 sh | new |
| Exited | NORTONLIFELOCK INC (GEN) | 0.2% | — | −0.2 pts | −52,457 sh | −100% |
The 50 largest of 589 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
Top 10 positions — 56.4% of the equity book
Changes in the top 10 this quarter: PFE entered · MRNA entered · CRM entered · ZBRA entered · ISRG entered · BIDU left · RUN left · TPIC left · AMZN left · MU left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | TESLA INC (TSLA) | 7.3% | 19.4% | |
| 2 | APTIV PLC (APTV) | 8.4% | 12.6% | |
| 3 | PFIZER INC (PFE) | 0.0% | 9.0% | Entered the top 10 |
| 4 | MODERNA INC (MRNA) | 0.1% | 3.5% | Entered the top 10 |
| 5 | SALESFORCE COM INC (CRM) | 0.0% | 2.9% | Entered the top 10 |
| 6 | MICROSOFT CORP (MSFT) | 5.7% | 2.2% | |
| 7 | ZEBRA TECHNOLOGIES CORPORATI (ZBRA) | 1.0% | 1.9% | Entered the top 10 |
| 8 | INTUITIVE SURGICAL INC (ISRG) | 0.7% | 1.7% | Entered the top 10 |
| 9 | CME GROUP INC (CME) | 1.9% | 1.6% | |
| 10 | ALPHABET INC (GOOGL) | 4.3% | 1.5% | |
| — | BAIDU INC (BIDU) | 11.1% | 0.0% | Left the top 10 |
| — | SUNRUN INC (RUN) | 10.3% | 0.5% | Left the top 10 |
| — | TPI COMPOSITES INC (TPIC) | 5.2% | 0.1% | Left the top 10 |
| — | AMAZON COM INC (AMZN) | 5.1% | 1.2% | Left the top 10 |
| — | MICRON TECHNOLOGY INC (MU) | 2.7% | 0.6% | 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 |
|---|---|---|---|---|---|
| New | PFIZER INC (PFE) | Call | 0 | 469K | $20.2M |
| New | SELECT SECTOR SPDR TR (XLF) | Put | 0 | 500K | $18.8M |
| Exited | ISHARES TR (EEM) | Put | 340K | 0 | $0 |
| Reduced | ISHARES TR (IWM) | Put | 375K | 310K | $67.8M |
| New | ISHARES SILVER TR (SLV) | Put | 0 | 750K | $15.4M |
| Exited | JOHNSON & JOHNSON (JNJ) | Put | 80,000 | 0 | $0 |
| New | ANALOG DEVICES INC (ADI) | Put | 0 | 70,000 | $11.7M |
| New | CONOCOPHILLIPS (COP) | Put | 0 | 140K | $9.49M |
| New | FACEBOOK INC (META) | Put | 0 | 27,500 | $9.33M |
| New | ALPHABET INC (GOOG) | Call | 0 | 3,500 | $9.33M |
| Increased | MICRON TECHNOLOGY INC (MU) | Put | 4,500 | 81,000 | $5.75M |
| Increased | ISHARES TR (TLT) | Put | 25,100 | 50,000 | $7.22M |
| New | ISHARES INC (EWJ) | Call | 0 | 48,800 | $3.43M |
| New | INVESCO QQQ TR (QQQ) | Put | 0 | 8,500 | $3.04M |
| Exited | MICRON TECHNOLOGY INC (MU) | Call | 34,500 | 0 | $0 |
| New | ADOBE SYSTEMS INCORPORATED (ADBE) | Put | 0 | 5,000 | $2.88M |
| Exited | ISHARES TR (IYR) | Call | 25,000 | 0 | $0 |
| Exited | BARCLAYS BANK PLC (VXX) | Put | 73,000 | 0 | $0 |
| New | ALPHABET INC (GOOGL) | Call | 0 | 600 | $1.6M |
| New | SELECT SECTOR SPDR TR (XLI) | Call | 0 | 15,000 | $1.47M |
| Exited | VANECK VECTORS ETF TR (GDX) | Call | 40,000 | 0 | $0 |
| New | SELECT SECTOR SPDR TR (XLB) | Call | 0 | 15,000 | $1.19M |
| Exited | VIACOMCBS INC (PARA) | Call | 25,000 | 0 | $0 |
| Exited | PAYPAL HLDGS INC (PYPL) | Call | 3,500 | 0 | $0 |
| Exited | ISHARES SILVER TR (SLV) | Call | 41,800 | 0 | $0 |