CIK: 0001044205
Total reported value
$13.3M
Reporting period: 2015-09-30 · Number of holdings: 129
ALPHAGEN SECURITIES LLC disclosed 129 holdings in its latest 13F filing for the period ending 2015-09-30, with total reported value of $13.3M and a quarterly turnover rate of 121.7%.
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Alphagen Securities LLC's disclosed holdings carry a Herfindahl concentration index of 0.081 — mathematically equivalent to about 12 equally-sized positions, well below its 129 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 3.09), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 17% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Trim BKR
-52.3% -$4.3M
Add 404132102
+69.7% $436.0K
Trim AVGO
-99.2% -$1.3M
Add UL
+33.3% $318.0K
Add 713291102
+241.4% $408.0K
Trim WEN
-92.5% -$553.0K
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | BKR | Baker Hughes Company | Stock-Energy | 21.76% | -7.00% | -52.29% | |
| 2 | AAPL | Apple INC | Stock-Tech | 7.92% | +7.92% | NEW | |
| 3 | ✓ | Stock-Other | 7.91% | +5.45% | +69.65% | ||
| 4 | UL | Unilever PLC | Stock-Consumer Staples | 7.56% | +4.81% | +33.33% | |
| 5 | ✓ | Williams Partners LP | Stock-Other | 6.22% | +1.20% | — | |
| 6 | BKNG | Booking Hldgs INC | Stock-Consumer Disc | 5.35% | +5.35% | NEW | |
| 7 | ✓ | Stock-Other | 4.52% | +3.75% | +241.44% | ||
| 8 | NFLX | Netflix INC | Stock-Comm Services | 4.43% | +4.43% | NEW | |
| 9 | CBOE | Cboe Global Markets INC | Stock-Financials | 3.70% | -0.50% | -60.00% | |
| 10 | ✓ | Mylan N V | Stock-Other | 3.09% | +3.09% | NEW | |
| 11 | ✓ | Altera CORP | Stock-Other | 2.75% | -0.04% | -46.32% | |
| 12 | AMZN | Amazon.com INC | Stock-Consumer Disc | 2.05% | +2.05% | NEW | |
| 13 | WMB | Williams Cos INC | Stock-Energy | 1.66% | +1.66% | NEW | |
| 14 | CTLEUR | Centurylink INC | Stock-Other | 1.19% | +0.43% | +12.96% | |
| 15 | IBM | Intl Business Machines CORP | Stock-Tech | 1.02% | -0.64% | -63.07% | |
| 16 | POST | Post Holdings INC | Stock-Consumer Staples | 0.96% | -0.20% | -60.19% | |
| 17 | TWTRUSD | Twitter INC | Stock-Other | 0.90% | +0.90% | NEW | |
| 18 | ✓ | Isis Pharmaceuticals INC | Stock-Other | 0.88% | +0.60% | +186.56% | |
| 19 | AXS | AXIS Capital Holdings Limited | Stock-Financials | 0.81% | +0.80% | NEW | |
| 20 | ✓ | Mens Wearhouse INC Com | Stock-Other | 0.80% | +0.77% | +8233.33% | |
| 21 | AXP | American Express Co | Stock-Financials | 0.74% | — | +36.60% | |
| 22 | HAIN | Hain Celestial Group INC | Stock-Other | 0.71% | — | +18.11% | |
| 23 | ✓ | Stock-Other | 0.69% | +0.69% | NEW | ||
| 24 | VMC | Vulcan Materials Co | Stock-Materials | 0.67% | +0.01% | -42.66% | |
| 25 | AGCO | Agco CORP | Stock-Industrials | 0.53% | +0.53% | NEW | |
| 26 | ICE | Intercontinental Exchange In | Stock-Financials | 0.50% | +0.50% | NEW | |
| 27 | NSC | Norfolk Southern CORP | Stock-Industrials | 0.50% | -1.32% | -81.89% | |
| 28 | ✓ | Time Warner Cable INC | Stock-Other | 0.47% | — | — | |
| 29 | WFC | Wells Fargo & Co | Stock-Financials | 0.44% | — | +78.06% | |
| 30 | PCRX | Pacira Biosciences INC | Stock-Other | 0.41% | +0.39% | +2600.00% | |
| 31 | SGMOQ | Sangamo Therapeutics INC | Stock-Other | 0.41% | — | +95.50% | |
| 32 | ✓ | Stock-Other | 0.40% | +0.40% | NEW | ||
| 33 | KDP | Keurig Dr Pepper Inc. | Stock-Consumer Staples | 0.39% | +0.39% | NEW | |
| 34 | BNED | Barnes & Noble Education, Inc. | Stock-Other | 0.38% | +0.37% | +5900.00% | |
| 35 | NVAX | Novavax, Inc. | Stock-Healthcare | 0.37% | — | +114.69% | |
| 36 | ODPEUR | Office Depot INC | Stock-Other | 0.32% | — | +153.85% | |
| 37 | WEN | Wendy's Co/the | Stock-Consumer Disc | 0.26% | -2.09% | -92.53% | |
| 38 | BNEDUSD | Barnes & Noble Education INC | Stock-Other | 0.26% | +0.26% | NEW | |
| 39 | ✓ | Anthera Pharmaceutcls INC | Stock-Other | 0.25% | +0.24% | +5584.21% | |
| 40 | ✓ | Pepco Holdings INC | Stock-Other | 0.25% | +0.25% | NEW | |
| 41 | ✓ | Alaunos Therapeutics INC | Stock-Other | 0.24% | — | +5.73% | |
| 42 | MRO* | Marathon Oil CORP | Stock-Other | 0.23% | +0.23% | NEW | |
| 43 | FPRX | Five Prime Therapeutics INC | Stock-Other | 0.22% | — | +150.67% | |
| 44 | ✓ | Centurylink INC | Stock-Other | 0.21% | — | — | |
| 45 | ✓ | Endocyte INC | Stock-Other | 0.20% | — | -3.45% | |
| 46 | ✓ | Barnes Noble INC | Stock-Other | 0.20% | — | — | |
| 47 | HTZ | Hertz Global Holdings, Inc. | Stock-Other | 0.20% | — | +82.29% | |
| 48 | ✓ | Hain Celestial Group INC | Stock-Other | 0.20% | — | — | |
| 49 | TSLA | Tesla INC | Stock-Consumer Disc | 0.19% | — | — | |
| 50 | ULCC | Frontier Group Holdings, Inc. | Stock-Other | 0.18% | — | — |
Not enough priced holdings yet to compute performance
Alphagen Securities LLC's most significant position changes for 2015-09-30: Sold out: Mcdonald's CORP (MCD); Sold out: NXP Semiconductors N.V. (NXPI); New buy: Apple INC (AAPL); New buy: Booking Hldgs INC (BKNG); Sold out: Apple Computer (AAPL).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | ✓ | +5.5% | +69.65% | Add | |
| 2 | UL | Unilever PLC | +4.8% | +33.33% | Add |
| 3 | ✓ | +3.8% | +241.44% | Add | |
| 4 | ✓ | Williams Partners LP | +1.2% | — | Unchanged |
| 5 | ✓ | Mens Wearhouse INC Com | +0.8% | +8233.33% | Add |
| 6 | ✓ | Isis Pharmaceuticals INC | +0.6% | +186.56% | Add |
| 7 | CTLEUR | Centurylink INC | +0.4% | +12.96% | Add |
| 8 | PCRX | Pacira Biosciences INC | +0.4% | +2600.00% | Add |
| 9 | BNED | Barnes & Noble Education, Inc. | +0.4% | +5900.00% | Add |
| 10 | ✓ | Anthera Pharmaceutcls INC | +0.2% | +5584.21% | Add |
| 11 | VMC | Vulcan Materials Co | 0% | -42.66% | Trim |
| 12 | ✓ | Altera CORP | 0% | -46.32% | Trim |
| 13 | DRI | Darden Restaurants INC | -0.1% | -70.37% | Trim |
| 14 | POST | Post Holdings INC | -0.2% | -60.19% | Trim |
| 15 | CBOE | Cboe Global Markets INC | -0.5% | -60.00% | Trim |
| 16 | IBM | Intl Business Machines CORP | -0.6% | -63.07% | Trim |
| 17 | NSC | Norfolk Southern CORP | -1.3% | -81.89% | Trim |
| 18 | WEN | Wendy's Co/the | -2.1% | -92.53% | Trim |
| 19 | AVGO | Broadcom Inc. | -5.1% | -99.20% | Trim |
| 20 | BKR | Baker Hughes Company | -7% | -52.29% | Trim |
| 21 | MCD | Mcdonald's CORP | — | EXIT | Sold out |
| 22 | NXPI | NXP Semiconductors N.V. | — | EXIT | Sold out |
| 23 | AAPL | Apple INC | — | NEW | New buy |
| 24 | BKNG | Booking Hldgs INC | — | NEW | New buy |
| 25 | AAPL | Apple Computer | — | EXIT | Sold out |
| 26 | NFLX | Netflix INC | — | NEW | New buy |
| 27 | ✓ | Mylan N V | — | NEW | New buy |
| 28 | JPM | Jpmorgan Chase & Co | — | EXIT | Sold out |
| 29 | ✓ | — | EXIT | Sold out | |
| 30 | AMZN | Amazon.com INC | — | NEW | New buy |
| 31 | WMB | Williams Cos INC | — | NEW | New buy |
| 32 | ✓ | — | EXIT | Sold out | |
| 33 | ✓ | Bio-reference Labs INC | — | EXIT | Sold out |
| 34 | TWTRUSD | Twitter INC | — | NEW | New buy |
| 35 | PDM | Piedmont Realty Trust, Inc. | — | EXIT | Sold out |
| 36 | AXS | AXIS Capital Holdings Limited | — | NEW | New buy |
| 37 | MU | Micron Technology INC | — | EXIT | Sold out |
| 38 | ✓ | — | NEW | New buy | |
| 39 | AGCO | Agco CORP | — | NEW | New buy |
| 40 | WYNN | Wynn Resorts LTD | — | EXIT | Sold out |
| 41 | ICE | Intercontinental Exchange In | — | NEW | New buy |
| 42 | ✓ | — | NEW | New buy | |
| 43 | KDP | Keurig Dr Pepper Inc. | — | NEW | New buy |
| 44 | ✓ | — | EXIT | Sold out | |
| 45 | HOG | Harley-davidson INC | — | EXIT | Sold out |
| 46 | MLM | Martin Marietta Materials | — | EXIT | Sold out |
| 47 | BABA | Alibaba Group Holding-sp Adr | — | EXIT | Sold out |
| 48 | BNEDUSD | Barnes & Noble Education INC | — | NEW | New buy |
| 49 | ✓ | Pepco Holdings INC | — | NEW | New buy |
| 50 | MRO* | Marathon Oil CORP | — | NEW | New buy |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2015-09-30 | 2015-11-13 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-08-14 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-05-15 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-02-18 | 13F-HR | View on EDGAR |
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