PALOMA PARTNERS MANAGEMENT CO
Q3 2021 Form 13-F

GREENWICH, CONNECTICUT
CIK 0001103882 · CRD 138460 · SEC-registered investment adviser
Consolidated report · includes 1 manager since Q4 2014
$4.1B Reported Value Total

PALOMA PARTNERS MANAGEMENT COMPANY reports 3 total accounts under management (AUM). There are 3 discretionary accounts valued at $11,363,407,836, and 0 non-discretionary accounts.

Source: Form ADV filed * Note that certain holdings are exempt from Form 13-F reporting, so the AUM totals may be greater than the Form 13-F total.
SEC Registered Discretionary Manager
Firm Brochure (Part 2A)
Private funds (Form ADV)
10 funds · $32.8B gross asset value
Hedge Fund: $32.8B
Source: Form ADV filed 2026-10-28
Reported value
$4.1B
Quarter over quarter
-7.5%
Holdings
795
Top-10 concentration
49.4%

Filing Structure

Reports holdings for

  • Volterra Technologies LP · File #028-20441 · Q4 2020 – Q1 2025
  • SONA ASSET MANAGEMENT US LLC · File #028-21820 · Q4 2021 – Q4 2024
  • SONA ASSET MANAGEMENT UK LLP · File #028-21819 · Q4 2021 – Q4 2024
  • Qsemble Capital Management LP · File #028-19021 · Q4 2018 – Q3 2022 · declared by one filing
  • Nebula Research & Development LLC · File #028-19771 · Q4 2019 – Q1 2022 · declared by one filing
  • Raritan Valley Capital Management LLC (not a 13F filer in our records) · File #028-18227 · Q4 2017 – Q4 2021
  • Ergoteles LLC · File #028-15313 · Q2 2013 – Q4 2020 · declared by one filing
  • Takumi Capital LLC (not a 13F filer in our records) · File #028-18320 · Q4 2017 – Q4 2018 · declared by one filing
  • Bach Investment Advisors Ltd (not a 13F filer in our records) · File #028-17394 · Q1 2016 – Q3 2018 · declared by one filing
  • AlphaCrest Capital Management LLC · File #028-16697 · Q4 2014 – Q3 2017 · declared by one filing
  • Chicoma Peak LLC (not a 13F filer in our records) · File #028-17618 · Q4 2016 – Q2 2017
  • Bach Investment Advisors, Ltd. (not a 13F filer in our records) · Q4 2015 – Q4 2015 · declared by one filing
  • Rockville Capital, LLC (not a 13F filer in our records) · File #028-15946 · Q4 2013 – Q2 2015
  • Schecter Capital LP (not a 13F filer in our records) · File #028-15947 · Q4 2013 – Q4 2014
  • Riley Creek Capital Management LLC (not a 13F filer in our records) · File #028-14816 · Q2 2013 – Q1 2014
  • Kinneret Advisory LLC · File #028-15308 · Q2 2013 – Q4 2013 · declared by one filing

Holdings reported by

Key People

Form ADV owners & control persons
Selwyn Donald Sussman
CHIEF EXECUTIVE OFFICER, DIRECTOR, CHAIRMAN, AND CHIEF INVESTMENT OFFICER
David Eliot Friedman
GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER
Theodore Nmn Hagan
CHIEF OPERATING OFFICER
Q2 2021
Q4 2021
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Coverage begins with the second quarter of 2013. Earlier quarters are not shown while their accuracy is being verified.

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Q3 2021 13F filing summary

Period of report September 30, 2021
Filed November 15, 2021
Form 13F-HR
Reported value $4.1B
Positions 795
Change in reported value -26.2%
New positions 368
Exited positions 1,019
Position turnover 76.5%
Top-10 concentration 49.4%

13F filings by quarter

Quarter Positions Value
Q2 2026 13F
Filed Aug 14, 2026
 7 $1.4B
Q1 2026 13F
Filed May 15, 2026
 39 $509.7M
Q4 2025 13F
Filed Feb 17, 2026
 39 $549.3M
Q3 2025 13F
Filed Nov 14, 2025
 60 $608.5M
Q2 2025 13F
Filed Aug 14, 2025
 73 $682.3M
Q1 2025 13F
Filed May 15, 2025
 91 $808.7M
Q4 2024 13F
Filed Feb 14, 2025
 147 $2.2B
Q3 2024 13F
Filed Nov 14, 2024
 766 $3.6B
Q2 2024 13F
Filed Aug 14, 2024
 743 $3.6B
Q1 2024 13F
Filed May 15, 2024
 445 $1.9B
Q4 2023 13F
Filed Feb 14, 2024
 238 $2.7B
Q3 2023 13F
Filed Nov 14, 2023
 188 $2.9B
Q2 2023 13F
Filed Aug 14, 2023
 195 $2.8B
Q1 2023 13F
Filed May 15, 2023
 164 $2.8B
Q4 2022 13F
Filed Feb 14, 2023
 273 $2.2B
Q3 2022 13F
Filed Nov 14, 2022
 326 $2.2B
Q2 2022 13F
Filed Aug 15, 2022
 593 $2.8B
Q1 2022 13F
Filed May 16, 2022
 1,239 $3.4B
Q4 2021 13F
Filed Feb 14, 2022
 1,437 $6.7B
Q3 2021 13F
Filed Nov 15, 2021
 795 $4.1B

33 earlier quarters on file — choose one from the quarter menu above.

Top 20 holdings · Q3 2021

# Holding Reported value % of portfolio
1 SPY C SPDR S&P 500 ETF TR $1.3B 32.2%
2 SEALTD 2.375 12/01/25 SEA LTD $125.4M 3.07%
3 BILI 1.25 06/15/27 BILIBILI INC $89.8M 2.2%
4 XYZ 0.125 03/01/25 SQUARE INC $81.2M 1.99%
5 Z 1.375 09/01/26 ZILLOW GROUP INC $71.5M 1.75%
6 HTHT 3 05/01/26 HUAZHU GROUP LTD $70.4M 1.72%
7 SEALTD 0.25 09/15/26 SEA LTD $70.3M 1.72%
8 MDB 0.25 01/15/26 MONGODB INC $69.5M 1.7%
9 ZEN 0.625 06/15/25 ZENDESK INC $63.2M 1.55%
10 LUV SOUTHWEST AIRLS CO $61.2M 1.5%
11 Z 0.75 09/01/24 ZILLOW GROUP INC $59.5M 1.46%
12 ETSY 0.125 10/01/26 ETSY INC $56.2M 1.38%
13 PANW 0.75 07/01/23 PALO ALTO NETWORKS INC $53.7M 1.31%
14 MIDD 1 09/01/25 MIDDLEBY CORP $52.6M 1.29%
15 ZS 0.125 07/01/25 ZSCALER INC $50.3M 1.23%
16 PANW 0.375 06/01/25 PALO ALTO NETWORKS INC $40.0M 0.98%
17 OKTA 0.125 09/01/25 OKTA INC $36.2M 0.89%
18 LITE 0.5 12/15/26 LUMENTUM HLDGS INC $27.5M 0.67%
19 W 1 08/15/26 WAYFAIR INC $23.2M 0.57%
20 IQ 4 12/15/26 IQIYI INC $21.3M 0.52%

Values as reported on the Q3 2021 Form 13F. Every position is in the holdings table below.

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