TG
Tradewinds Global Investors, LLC Historical SEC 13F Holdings & Archive (Q3 2016)
Tradewinds Global Investors, LLCCIK: 0001383221
Diversified strategyHigh-turnover traderSector-focused
Total reported value
$81.3M
Reporting period: 2016-09-30 · Number of holdings: 51
Tradewinds Global Investors, LLC disclosed 51 holdings in its latest 13F filing for the period ending 2016-09-30, with total reported value of $81.3M and a quarterly turnover rate of 180.0%.
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Personality snowflake
- Concentration
- 11.18
- Portfolio Stability
- 100
- Momentum
- 100
- Sector conviction
- 100
- Diversification
- 100
- Sizing Uniformity
- 93.41
Tradewinds Global Investors, LLC's disclosed holdings carry a Herfindahl concentration index of 0.028 — mathematically equivalent to about 36 equally-sized positions, close to its 51 actual disclosed holdings. Value is spread relatively evenly across the portfolio rather than concentrated in a handful of names.
Position sizes are fairly uniform across the portfolio (a coefficient of variation of 0.66), suggesting a disciplined, rules-based approach to how much capital goes into each idea.
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 3% 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.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govAdd ING
-87.2% -$17.8M
Add TS
-86.5% -$19.6M
Add PKX
-88.4% -$14.1M
Add SAP
-89.3% -$13.6M
Add GSK
-87.6% -$13.8M
Add SKMEUR
-92.9% -$42.1M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | AXS | AXIS Capital Holdings Limited | Stock-Financials | 5.10% | +0.66% | -93.86% | |
| 2 | SKMEUR | Sk Telecom Co Ltd-spon Adr | Stock-Other | 4.27% | +1.31% | -92.95% | |
| 3 | NTTYY | Ntt Inc - Adr | Stock-Other | 4.25% | +0.84% | -93.24% | |
| 4 | R6C2 | Royal Dutch Shell-spon Adr-b | Stock-Other | 3.97% | +0.29% | -93.95% | |
| 5 | ING | Ing Groep N.v.-sponsored Adr | Stock-Financials | 3.97% | +2.60% | -87.15% | |
| 6 | TM | Toyota Motor CORP -spon Adr | Stock-Consumer Disc | 3.90% | +0.88% | -94.12% | |
| 7 | SKYW | Skywest Inc | Stock-Industrials | 3.85% | — | -73.24% | |
| 8 | TS | Tenaris Sa-adr | Stock-Other | 3.71% | +2.24% | -86.45% | |
| 9 | SNY | Sanofi-adr | Stock-Healthcare | 3.51% | +1.31% | -90.76% | |
| 10 | TEVA | Teva Pharmaceutical-sp Adr | Stock-Healthcare | 3.41% | +0.09% | -94.08% | |
| 11 | ✓ | Agrium Inc | Stock-Other | 3.33% | -0.11% | -95.10% | |
| 12 | ✓ | Stock-Other | 2.91% | — | -17.98% | ||
| 13 | FLEX | Flex Ltd. | Stock-Tech | 2.82% | +1.02% | -92.84% | |
| 14 | CNQ | Canadian Natural Resources | Stock-Energy | 2.72% | +0.81% | -92.76% | |
| 15 | PKX | Posco Holdings Inc -spon Adr | Stock-Other | 2.67% | +1.61% | -88.37% | |
| 16 | SAP | Sap Se-sponsored Adr | Stock-Tech | 2.51% | +1.49% | -89.30% | |
| 17 | CBAN | Colony Bankcorp, Inc. | Stock-Other | 2.40% | — | -85.32% | |
| 18 | GSK | GSK plc | Stock-Healthcare | 2.39% | +1.37% | -87.56% | |
| 19 | ERIC | Ericsson (lm) Tel-sp Adr | Stock-Tech | 2.24% | +0.07% | -94.18% | |
| 20 | CITUSD | Cit Group Inc | Stock-Other | 2.17% | +1.24% | -89.20% | |
| 21 | GT | Goodyear Tire & Rubber Co | Stock-Consumer Disc | 2.14% | +0.59% | -94.20% | |
| 22 | MAN | Manpowergroup Inc | Stock-Industrials | 2.08% | +0.70% | -92.88% | |
| 23 | AES | Aes CORP | Stock-Utilities | 2.08% | +0.50% | -93.26% | |
| 24 | CCJ | Cameco CORP | Stock-Energy | 2.01% | +0.28% | -92.15% | |
| 25 | MU | Micron Technology Inc | Stock-Tech | 1.86% | +0.81% | -92.76% | |
| 26 | CNA | Cna Financial CORP | Stock-Other | 1.68% | +0.92% | -89.31% | |
| 27 | LXPUSD | Lxp Industrial Trust | Stock-Other | 1.58% | +0.57% | -91.87% | |
| 28 | ✓ | Stock-Other | 1.54% | — | -85.96% | ||
| 29 | ✓ | Leucadia Natl CORP | Stock-Other | 1.52% | — | -84.40% | |
| 30 | MDRX | Veradigm Inc | Stock-Other | 1.48% | — | -80.42% | |
| 31 | CTLEUR | Centurylink Inc | Stock-Other | 1.46% | -1.03% | -96.73% | |
| 32 | IPXLEUR | Impax Laboratories Inc | Stock-Other | 1.45% | — | -84.51% | |
| 33 | AON | Aon plc | Stock-Financials | 1.42% | — | +9.34% | |
| 34 | BG | Bunge Global SA | Stock-Consumer Staples | 1.25% | -1.01% | -97.08% | |
| 35 | BBY | Best Buy Co Inc | Stock-Consumer Disc | 1.08% | — | -68.38% | |
| 36 | KT | Kt Corp-sp Adr | Stock-Other | 1.04% | — | -91.76% | |
| 37 | TG7 | Triumph Group Inc | Stock-Other | 1.02% | — | -87.77% | |
| 38 | FSLR | First Solar Inc | Stock-Tech | 0.93% | — | -84.23% | |
| 39 | ✓ | Dsw Inc | Stock-Other | 0.92% | +0.15% | -93.41% | |
| 40 | BRSEUR | Bristow Group Inc | Stock-Other | 0.70% | — | -67.00% | |
| 41 | IPG | Interpublic Group Of Cos Inc | Stock-Other | 0.65% | -0.44% | -96.75% | |
| 42 | CBZ | Cbiz Inc | Stock-Other | 0.59% | — | -68.77% | |
| 43 | ✓ | Stock-Other | 0.49% | — | -68.30% | ||
| 44 | PHG | Koninklijke Philips Nvr- Ny | Stock-Healthcare | 0.44% | — | -86.33% | |
| 45 | ✓ | Arctic Cat Inc | Stock-Other | 0.43% | — | -71.03% | |
| 46 | NRG | Nrg Energy Inc | Stock-Utilities | 0.41% | — | -95.74% | |
| 47 | FOSL | Fossil Group Inc | Stock-Other | 0.39% | — | -68.54% | |
| 48 | SU | Suncor Energy Inc | Stock-Energy | 0.37% | — | -2.97% | |
| 49 | LSAK | Lesaka Technologies Inc | Stock-Other | 0.33% | — | -67.52% | |
| 50 | RCL | Royal Caribbean Cruises Ltd. | Stock-Consumer Disc | 0.30% | -1.10% | -98.86% |
1–50 of 51
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
💡
Data Source Notice: AlphaSMO is the web's most authoritative 13F / Inside Trader database. Institutional holdings and insider trades presented here are precisely computed to deliver accurate portfolio reporting.
Holding changes this quarter
Tradewinds Global Investors, LLC's most significant position changes for 2016-09-30: Sold out: UBS Group AG (UBS); Sold out: Bp Plc-spons Adr (BP); Sold out: Citigroup Inc (C); Sold out: Pfizer Inc (PFE); Sold out: Oracle CORP (ORCL).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | ING | Ing Groep N.v.-sponsored Adr | +2.6% | -87.15% | Trim |
| 2 | TS | Tenaris Sa-adr | +2.2% | -86.45% | Trim |
| 3 | PKX | Posco Holdings Inc -spon Adr | +1.6% | -88.37% | Trim |
| 4 | SAP | Sap Se-sponsored Adr | +1.5% | -89.30% | Trim |
| 5 | GSK | GSK plc | +1.4% | -87.56% | Trim |
| 6 | SKMEUR | Sk Telecom Co Ltd-spon Adr | +1.3% | -92.95% | Trim |
| 7 | SNY | Sanofi-adr | +1.3% | -90.76% | Trim |
| 8 | CITUSD | Cit Group Inc | +1.2% | -89.20% | Trim |
| 9 | FLEX | Flex Ltd. | +1% | -92.84% | Trim |
| 10 | CNA | Cna Financial CORP | +0.9% | -89.31% | Trim |
| 11 | TM | Toyota Motor CORP -spon Adr | +0.9% | -94.12% | Trim |
| 12 | NTTYY | Ntt Inc - Adr | +0.8% | -93.24% | Trim |
| 13 | CNQ | Canadian Natural Resources | +0.8% | -92.76% | Trim |
| 14 | MU | Micron Technology Inc | +0.8% | -92.76% | Trim |
| 15 | MAN | Manpowergroup Inc | +0.7% | -92.88% | Trim |
| 16 | AXS | AXIS Capital Holdings Limited | +0.7% | -93.86% | Trim |
| 17 | GT | Goodyear Tire & Rubber Co | +0.6% | -94.20% | Trim |
| 18 | LXPUSD | Lxp Industrial Trust | +0.6% | -91.87% | Trim |
| 19 | AES | Aes CORP | +0.5% | -93.26% | Trim |
| 20 | R6C2 | Royal Dutch Shell-spon Adr-b | +0.3% | -93.95% | Trim |
| 21 | CCJ | Cameco CORP | +0.3% | -92.15% | Trim |
| 22 | ✓ | Dsw Inc | +0.2% | -93.41% | Trim |
| 23 | TEVA | Teva Pharmaceutical-sp Adr | +0.1% | -94.08% | Trim |
| 24 | ERIC | Ericsson (lm) Tel-sp Adr | +0.1% | -94.18% | Trim |
| 25 | ✓ | Agrium Inc | -0.1% | -95.10% | Trim |
| 26 | IPG | Interpublic Group Of Cos Inc | -0.4% | -96.75% | Trim |
| 27 | BG | Bunge Global SA | -1% | -97.08% | Trim |
| 28 | CTLEUR | Centurylink Inc | -1% | -96.73% | Trim |
| 29 | RCL | Royal Caribbean Cruises Ltd. | -1.1% | -98.86% | Trim |
| 30 | UBS | UBS Group AG | — | EXIT | Sold out |
| 31 | BP | Bp Plc-spons Adr | — | EXIT | Sold out |
| 32 | C | Citigroup Inc | — | EXIT | Sold out |
| 33 | PFE | Pfizer Inc | — | EXIT | Sold out |
| 34 | ORCL | Oracle CORP | — | EXIT | Sold out |
| 35 | AIG | American International Group | — | EXIT | Sold out |
| 36 | ALLY | Ally Financial Inc | — | EXIT | Sold out |
| 37 | CSCO | Cisco Systems Inc | — | EXIT | Sold out |
| 38 | CSX | Csx CORP | — | EXIT | Sold out |
| 39 | HSBC | Hsbc Holdings Plc-spons Adr | — | EXIT | Sold out |
| 40 | GM | General Motors Co | — | EXIT | Sold out |
| 41 | AAPL | Apple Inc | — | EXIT | Sold out |
| 42 | GILD | Gilead Sciences Inc | — | EXIT | Sold out |
| 43 | ✓ | Brf SA | — | EXIT | Sold out |
| 44 | AEP | American Electric Power Company, Inc. | — | EXIT | Sold out |
| 45 | EXC | Exelon CORP | — | EXIT | Sold out |
| 46 | ✓ | Mylan N V | — | EXIT | Sold out |
| 47 | TIME1EUR | Time Inc | — | EXIT | Sold out |
| 48 | ✓ | — | EXIT | Sold out | |
| 49 | ✓ | Adeco Agro | — | EXIT | Sold out |
| 50 | XOM | Exxon Mobil CORP | — | EXIT | Sold out |
Filing History
FAQ
What is Tradewinds Global Investors, LLC and what type of investor is it?
Tradewinds Global Investors, LLC is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2016-09-30), the firm manages a tracked equity portfolio valued at approximately $81.3M, spread across 51 disclosed positions.
What are Tradewinds Global Investors, LLC's largest equity positions?
Based on the latest 13F filing, Tradewinds Global Investors, LLC's top holdings by market value are:
1. AXIS Capital Holdings Limited (AXS) — $4.1M (5.1%)
2. Sk Telecom Co Ltd-spon Adr (SKMEUR) — $3.5M (4.3%)
3. Ntt Inc - Adr (NTTYY) — $3.5M (4.3%)
4. Royal Dutch Shell-spon Adr-b (R6C2) — $3.2M (4.0%)
5. Ing Groep N.v.-sponsored Adr (ING) — $3.2M (4.0%)
What changes did Tradewinds Global Investors, LLC make in its most recent portfolio filing?
In the latest quarter, Tradewinds Global Investors, LLC took a more defensive posture — trimming 29 positions and completely exiting 21 holdings. The largest of these moves: Sold out: UBS Group AG (UBS); Sold out: Bp Plc-spons Adr (BP); Sold out: Citigroup Inc (C); Sold out: Pfizer Inc (PFE); Sold out: Oracle CORP (ORCL)
What sectors does Tradewinds Global Investors, LLC focus on?
Tradewinds Global Investors, LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 88.3%
• Energy: 11.7%
Investment Profile
Tradewinds Global Investors, LLC's portfolio is broadly diversified and fast-trading, with 88.3% of the portfolio concentrated in Information Technology.
Its turnover score has risen from 24 to 100 over the past 4 quarters — a shift toward more active trading.
It has trimmed its AXS position for two straight quarters, cutting it by $66.8M while still holding $4.1M.
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