EDMOND DE ROTHSCHILD SUISSE S A's Q3 2016 13F: 67 new positions, 47 exits
Form 13F-HR for the quarter ended Sep 30, 2016 · filed Nov 14, 2016 · 438 reported positions · accession 0000947871-16-001665
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| New | ISHARES TR (IGF) | — | 1.9% | +1.9 pts | +150K sh | new |
| Increased | VANGUARD INDEX FDS (VNQ) | 1.6% | 3.2% | +1.6 pts | +64,621 sh | +121% |
| Reduced | SPDR SERIES TRUST (SDY) | 2.4% | 0.6% | −1.8 pts | −62,756 sh | −74% |
| Increased | HONEYWELL INTL INC (HON) | 0.3% | 1.4% | +1.2 pts | +32,775 sh | +493% |
| Increased | SPDR SERIES TRUST (XHB) | 0.5% | 1.6% | +1.0 pts | +101K sh | +210% |
| Reduced | ISHARES TR (IEI) | 3.0% | 1.8% | −1.1 pts | −22,673 sh | −32% |
| New | SPDR SERIES TRUST (PSK) | — | 0.7% | +0.7 pts | +50,372 sh | new |
| Increased | SPDR SERIES TRUST (SPSB) | 1.0% | 1.6% | +0.6 pts | +70,000 sh | +72% |
| Reduced | METLIFE INC (MET) | 1.5% | 0.9% | −0.6 pts | −45,470 sh | −41% |
| Reduced | STARWOOD PPTY TR INC (STWD) | 1.0% | 0.4% | −0.6 pts | −88,781 sh | −62% |
| Reduced | EXPRESS SCRIPTS HLDG CO (ESRX) | 0.7% | 0.0% | −0.7 pts | −28,100 sh | −96% |
| New | VANGUARD INTL EQUITY INDEX F (VNQI) | — | 0.6% | +0.6 pts | +33,900 sh | new |
| Reduced | CITIGROUP INC (C) | 1.0% | 0.5% | −0.5 pts | −39,500 sh | −55% |
| New | PROSHARES TR (ZBIO) | — | 0.6% | +0.6 pts | +84,466 sh | new |
| Reduced | AMERICAN CAPITAL AGENCY CORP (AGNCXXXX) | 0.7% | 0.1% | −0.6 pts | −83,980 sh | −81% |
| New | PROSHARES TR (BZQ) | — | 0.5% | +0.5 pts | +80,703 sh | new |
| Increased | VANGUARD SCOTTSDALE FDS (VCSH) | 2.3% | 2.6% | +0.3 pts | +18,000 sh | +21% |
| Increased | VANECK VECTORS ETF TR (GDX) | 0.2% | 0.6% | +0.4 pts | +47,363 sh | +185% |
| Reduced | PRUDENTIAL FINL INC (PRU) | 0.5% | 0.1% | −0.3 pts | −14,682 sh | −76% |
| Reduced | MEDTRONIC PLC (MDT) | 0.7% | 0.3% | −0.4 pts | −13,850 sh | −58% |
| Increased | ISHARES TR (SHY) | 1.9% | 2.1% | +0.2 pts | +13,810 sh | +21% |
| Increased | WESTERN DIGITAL CORP (WDC) | 0.0% | 0.4% | +0.4 pts | +19,500 sh | +894% |
| Increased | AMERICAN EXPRESS CO (AXP) | 0.6% | 0.9% | +0.3 pts | +17,235 sh | +60% |
| Reduced | ACCENTURE PLC IRELAND (ACN) | 1.4% | 1.0% | −0.3 pts | −8,920 sh | −24% |
| Reduced | GENERAL ELECTRIC CO (GE) | 1.5% | 1.0% | −0.5 pts | −36,475 sh | −25% |
| New | VANGUARD INTL EQUITY INDEX F (VT) | — | 0.3% | +0.3 pts | +17,000 sh | new |
| Increased | ISHARES TR (AGG) | 0.7% | 0.9% | +0.3 pts | +9,000 sh | +50% |
| Reduced | SPDR S&P 500 ETF TR (SPY) | 5.6% | 5.1% | −0.5 pts | −4,585 sh | −6% |
| Increased | SPDR GOLD TRUST GOLD (GLD) | 2.5% | 2.5% | +0.1 pts | +7,210 sh | +12% |
| Reduced | VANGUARD INDEX FDS (VTI) | 1.7% | 1.3% | −0.3 pts | −8,035 sh | −17% |
| Reduced | GILEAD SCIENCES INC (GILD) | 2.4% | 1.9% | −0.6 pts | −11,127 sh | −13% |
| Exited | PROSHARES TR (SJB) | 0.3% | — | −0.3 pts | −30,913 sh | −100% |
| Increased | SELECT SECTOR SPDR TR (XLI) | 0.0% | 0.3% | +0.3 pts | +14,633 sh | +8362% |
| Reduced | 3M CO (MMM) | 0.9% | 0.6% | −0.3 pts | −4,825 sh | −30% |
| Exited | SOLAR CAP LTD (SLRC) | 0.3% | — | −0.3 pts | −40,873 sh | −100% |
| New | POWERSHARES ETF TRUST (PPA) | — | 0.3% | +0.3 pts | +21,540 sh | new |
| Reduced | PROSHARES TR (NOBL) | 0.8% | 0.5% | −0.3 pts | −14,600 sh | −33% |
| Increased | MONSANTO CO NEW (MON) | 0.0% | 0.2% | +0.2 pts | +7,540 sh | +3016% |
| Increased | PALO ALTO NETWORKS INC (PANW) | 0.3% | 0.6% | +0.3 pts | +4,682 sh | +58% |
| Reduced | BLACKROCK INC (BLK) | 0.9% | 0.6% | −0.2 pts | −2,021 sh | −27% |
| Exited | INTUITIVE SURGICAL INC (ISRG) | 0.2% | — | −0.2 pts | −1,030 sh | −100% |
| Increased | TJX COS INC NEW (TJX) | 0.2% | 0.4% | +0.2 pts | +9,612 sh | +135% |
| New | ISHARES TR (SOXX) | — | 0.2% | +0.2 pts | +6,300 sh | new |
| Increased | AMGEN INC (AMGN) | 0.0% | 0.3% | +0.2 pts | +4,120 sh | +515% |
| Reduced | QUALCOMM INC (QCOM) | 0.6% | 0.5% | −0.1 pts | −9,650 sh | −28% |
| Exited | NEXTERA ENERGY INC (NEE) | 0.2% | — | −0.2 pts | −4,700 sh | −100% |
| New | ISHARES TR (CMBS) | — | 0.2% | +0.2 pts | +11,645 sh | new |
| New | LAM RESEARCH CORP (LRCX) | — | 0.2% | +0.2 pts | +6,471 sh | new |
| Reduced | EXXON MOBIL CORP (XOM) | 2.1% | 1.6% | −0.5 pts | −6,888 sh | −10% |
| Increased | BERKSHIRE HATHAWAY INC DEL (BRK-B) | 1.8% | 1.8% | +0.1 pts | +3,900 sh | +11% |
The 50 largest of 312 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:
- CREDIT SUISSE AG NASSAU BRH (TVIX): 22539T423 → 22539T274, 100K → 4,000 shares (share count changed with the identifier; not shown as a trade)
Top 10 positions — 30.6% of the equity book
Changes in the top 10 this quarter: VNQ entered · IGF entered · SDY left · XOM left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | UBS GROUP AG (UBS) | 6.2% | 6.0% | |
| 2 | SPDR S&P 500 ETF TR (SPY) | 5.6% | 5.1% | |
| 3 | APPLE INC (AAPL) | 3.0% | 3.4% | |
| 4 | VANGUARD INDEX FDS (VNQ) | 1.6% | 3.2% | Entered the top 10 |
| 5 | VANGUARD SCOTTSDALE FDS (VCSH) | 2.3% | 2.6% | |
| 6 | SPDR GOLD TRUST GOLD (GLD) | 2.5% | 2.5% | |
| 7 | ISHARES TR (SHY) | 1.9% | 2.1% | |
| 8 | ISHARES TR (IGF) | 0.0% | 1.9% | Entered the top 10 |
| 9 | GILEAD SCIENCES INC (GILD) | 2.4% | 1.9% | |
| 10 | ISHARES TR (IEI) | 3.0% | 1.8% | |
| — | SPDR SERIES TRUST (SDY) | 2.4% | 0.6% | Left the top 10 |
| — | EXXON MOBIL CORP (XOM) | 2.1% | 1.6% | 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 | PALO ALTO NETWORKS INC (PANW) | Call | 0 | 13,500 | $190K |
| New | MICRON TECHNOLOGY INC (MU) | Call | 0 | 86,300 | $108K |
| New | GILEAD SCIENCES INC (GILD) | Call | 0 | 50,000 | $83K |
| New | KELLOGG CO (K) | Call | 0 | 8,000 | $12K |
| New | PLUG POWER INC (PLUG) | Call | 0 | 9,400 | $3K |