UHLMANN PRICE SECURITIES LLC's Q3 2026 13F: 35 new positions, 25 exits
Form 13F-HR for the quarter ended Sep 30, 2026 · filed Nov 3, 2026 · 301 reported positions · accession 0001035344-26-000005
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| Increased | WISDOMTREE TR (DLN) | 0.1% | 0.2% | +0.2 pts | +22,476 sh | +95% |
| New | SCHWAB STRATEGIC TR (SCHG) | — | 0.1% | +0.1 pts | +55,910 sh | new |
| Reduced | KLA CORP (KLAC) | 88.4% | 82.5% | −5.9 pts | −8,953 sh | 0% |
| Increased | WISDOMTREE TR (DGRW) | 0.0% | 0.2% | +0.1 pts | +17,432 sh | +140% |
| New | EXXONMOBIL HOLDINGS CORP (XOMZZZZ) | — | 0.1% | +0.1 pts | +10,288 sh | new |
| Increased | PALANTIR TECHNOLOGIES INC (PLTR) | 0.0% | 0.2% | +0.1 pts | +8,645 sh | +94% |
| New | MOSAIC CO (MOS) | — | 0.1% | +0.1 pts | +73,109 sh | new |
| Exited | ISHARES TR (AGG) | 0.1% | — | −0.1 pts | −22,143 sh | −100% |
| Increased | MICROSOFT CORP (MSFT) | 0.1% | 0.4% | +0.2 pts | +2,833 sh | +27% |
| New | FIDELITY COVINGTON TRUST (FTEC) | — | 0.1% | +0.1 pts | +4,632 sh | new |
| Increased | EQUINIX INC (EQIX) | 0.0% | 0.1% | +0.1 pts | +1,369 sh | +258% |
| Reduced | STATE STR SPDR S&P 500 ETF T (SPY) | 0.2% | 0.3% | 0.0 pts | −1,798 sh | −23% |
| Increased | WESTERN ASSET INVESTMENT GRA (PAI) | 0.0% | 0.1% | +0.1 pts | +93,235 sh | +530% |
| Exited | EXXON MOBIL CORP (XOM) | 0.1% | — | −0.1 pts | −10,952 sh | −100% |
| Increased | WISDOMTREE TR (DON) | 0.0% | 0.1% | +0.1 pts | +17,800 sh | +146% |
| New | VANGUARD TAX-MANAGED FDS (VEA) | — | 0.1% | +0.1 pts | +13,526 sh | new |
| Reduced | WISDOMTREE TR (USFR) | 0.8% | 1.1% | +0.3 pts | −18,694 sh | −5% |
| New | VANGUARD INDEX FDS (VO) | — | 0.0% | 0.0 pts | +11,804 sh | new |
| Increased | AMERICAN TOWER CORP (AMT) | 0.0% | 0.1% | +0.1 pts | +5,161 sh | +202% |
| Reduced | CISCO SYS INC (CSCO) | 0.3% | 0.4% | +0.1 pts | −7,090 sh | −10% |
| Increased | WISDOMTREE TR (DES) | 0.0% | 0.1% | 0.0 pts | +20,100 sh | +132% |
| New | SELECT SECTOR SPDR TR (XLV) | — | 0.0% | 0.0 pts | +4,331 sh | new |
| Reduced | INTERNATIONAL BUSINESS MACHS (IBM) | 0.1% | 0.1% | 0.0 pts | −3,260 sh | −32% |
| Exited | SPDR SERIES TRUST (SPYD) | 0.0% | — | 0.0 pts | −21,268 sh | −100% |
| Reduced | GOLDMAN SACHS GROUP INC (GS) | 0.2% | 0.3% | 0.0 pts | −758 sh | −12% |
| New | ISHARES TR (IJK) | — | 0.0% | 0.0 pts | +6,221 sh | new |
| Increased | TRI CONTL CORP (TY) | 0.0% | 0.1% | 0.0 pts | +18,634 sh | +179% |
| New | AUTOMATIC DATA PROCESSING IN (ADP) | — | 0.0% | 0.0 pts | +2,407 sh | new |
| New | SCHWAB STRATEGIC TR (SCHA) | — | 0.0% | 0.0 pts | +18,978 sh | new |
| Exited | CORNING INC (GLW) | 0.0% | — | 0.0 pts | −3,500 sh | −100% |
| New | WISDOMTREE TR (EPS) | — | 0.0% | 0.0 pts | +7,592 sh | new |
| New | VANGUARD WORLD FD (VFH) | — | 0.0% | 0.0 pts | +4,138 sh | new |
| Reduced | SANDISK CORP (SNDK) | 0.0% | 0.0% | 0.0 pts | −283 sh | −50% |
| Increased | NORTHROP GRUMMAN CORP (NOC) | 0.0% | 0.1% | 0.0 pts | +975 sh | +57% |
| Exited | FLEXSHARES TR (QDF) | 0.0% | — | 0.0 pts | −7,697 sh | −100% |
| New | SELECT SECTOR SPDR TR (XLY) | — | 0.0% | 0.0 pts | +4,298 sh | new |
| Exited | VIRTUS DIVIDEND INTEREST & P (NFJ) | 0.0% | — | 0.0 pts | −44,040 sh | −100% |
| Increased | SELECT SECTOR SPDR TR (XLK) | 0.0% | 0.0% | 0.0 pts | +2,295 sh | +121% |
| New | HEWLETT PACKARD ENTERPRISE C (HPE) | — | 0.0% | 0.0 pts | +7,000 sh | new |
| New | SPDR SERIES TRUST (XNTK) | — | 0.0% | 0.0 pts | +1,121 sh | new |
| New | VANGUARD WORLD FD (VOX) | — | 0.0% | 0.0 pts | +2,242 sh | new |
| Increased | RBB FUND TRUST (FEGE) | 0.0% | 0.0% | 0.0 pts | +8,340 sh | +117% |
| Increased | STRYKER CORPORATION (SYK) | 0.0% | 0.0% | 0.0 pts | +1,516 sh | +137% |
| Exited | FLEXSHARES TR (IQDF) | 0.0% | — | 0.0 pts | −17,159 sh | −100% |
| Reduced | WESTERN DIGITAL CORP (WDC) | 0.0% | 0.0% | 0.0 pts | −899 sh | −50% |
| Reduced | VANGUARD INDEX FDS (VOO) | 0.2% | 0.3% | +0.1 pts | −567 sh | −7% |
| Increased | SRH TOTAL RETURN FUND INC (STEW) | 0.1% | 0.1% | +0.1 pts | +22,763 sh | +20% |
| Reduced | CAPITAL GRP FIXED INCM ETF T (CGHM) | 0.0% | 0.0% | 0.0 pts | −16,323 sh | −39% |
| Increased | ABBVIE INC (ABBV) | 0.1% | 0.2% | +0.1 pts | +1,491 sh | +12% |
| Reduced | LAM RESEARCH CORP (LRCX) | 0.1% | 0.1% | 0.0 pts | −1,185 sh | −18% |
The 50 largest of 285 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 — 86.7% of the equity book
Changes in the top 10 this quarter: MSFT entered · LLY entered · GS left · SPY left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | KLA CORP (KLAC) | 88.4% | 82.5% | |
| 2 | WISDOMTREE TR (USFR) | 0.8% | 1.1% | |
| 3 | APPLE INC (AAPL) | 0.5% | 0.8% | |
| 4 | SOUTHERN CO (SO) | 0.4% | 0.5% | |
| 5 | CISCO SYS INC (CSCO) | 0.3% | 0.4% | |
| 6 | MICROSOFT CORP (MSFT) | 0.1% | 0.4% | Entered the top 10 |
| 7 | ALPHABET INC (GOOG) | 0.2% | 0.3% | |
| 8 | INTEL CORP (INTC) | 0.2% | 0.3% | |
| 9 | VANGUARD INDEX FDS (VOO) | 0.2% | 0.3% | |
| 10 | ELI LILLY & CO (LLY) | 0.2% | 0.3% | Entered the top 10 |
| — | GOLDMAN SACHS GROUP INC (GS) | 0.2% | 0.3% | Left the top 10 |
| — | STATE STR SPDR S&P 500 ETF T (SPY) | 0.2% | 0.3% | 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 | 4 | $580 |
| New | JOBY AVIATION INC (JOBY) | Call | 0 | 2 | $6 |