CIK: 0001555900
Total reported value
$333.7M
Reporting period: 2016-03-31 · Number of holdings: 1014
Carnick & Kubik, LLC disclosed 1014 holdings in its latest 13F filing for the period ending 2016-03-31, with total reported value of $333.7M and a quarterly turnover rate of 79.1%.
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Carnick & Kubik, LLC's disclosed holdings carry a Herfindahl concentration index of 0.008 — mathematically equivalent to about 127 equally-sized positions, well below its 1014 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 2.65), 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 12% 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 VALE
-44.4% -$1.8M
Trim TXT
-97.9% -$1.1M
Add EEM
0.0% $1.4M
Add 395258106
0.0% $1.2M
Add VDE
0.0% $1.1M
Add QDF
+120.8% $2.0M
Showing top 200 holdings (of 1014 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | AR | Antero Resources CORP | Stock-Energy | 6.65% | — | -13.77% | |
| 2 | IWD | Ishares Russell 1000 Value E | ETF-Other | 1.71% | — | +2.50% | |
| 3 | IVW | Ishares S&p 500 Growth ETF | ETF-Large Cap & Growth | 1.37% | — | +5.06% | |
| 4 | IVE | Ishares S&p 500 Value ETF | ETF-Large Cap & Growth | 1.36% | +1.36% | NEW | |
| 5 | XLF | Ss Financial Select Sector | ETF-Other | 1.12% | — | -0.53% | |
| 6 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 1.08% | — | -3.93% | |
| 7 | QDF | Flexshares Quality Dividend | ETF-Other | 1.04% | +0.06% | +120.80% | |
| 8 | XLK | Ss Technology Select Sector | ETF-Tech | 1.01% | — | +1.42% | |
| 9 | GOOG | Alphabet A | Stock-Comm Services | 0.87% | — | +5.91% | |
| 10 | BTU | Peabody Energy Corporation | Stock-Energy | 0.83% | +0.83% | NEW | |
| 11 | IYW | Ishares Ustechnology ETF | ETF-Tech | 0.75% | — | +0.29% | |
| 12 | XLI | Ss Industrial Select Sector | ETF-Other | 0.72% | — | +3.77% | |
| 13 | XLP | Ss Consumer Staples Sel Sect | ETF-Other | 0.72% | — | +1.00% | |
| 14 | LOW | Lowe's Cos INC | Stock-Consumer Disc | 0.64% | — | +2.87% | |
| 15 | BR | Broadridge Financial Solutio | Stock-Tech | 0.63% | — | +2.13% | |
| 16 | CHTR 8.25 04-01-19 | Time Warner Cable LLC | Stock-Comm Services | 0.59% | +0.59% | NEW | |
| 17 | CVS | Cvs Health CORP | Stock-Healthcare | 0.59% | — | +2.42% | |
| 18 | META | Meta Platforms Inc-class A | Stock-Comm Services | 0.58% | — | +1.40% | |
| 19 | DLR | Digital Realty Trust INC | Stock-Real Estate | 0.57% | — | +1.73% | |
| 20 | COST | Costco Wholesale CORP | Stock-Consumer Staples | 0.55% | — | +2.51% | |
| 21 | AMGN | Amgen INC | Stock-Healthcare | 0.54% | — | +2.63% | |
| 22 | SCHD | Schwab US Dvd Equity ETF | ETF-Other | 0.54% | — | +0.00% | |
| 23 | AMZN | Amazon.com INC | Stock-Consumer Disc | 0.51% | — | +2.05% | |
| 24 | SCHM | Schwab US Mid Cap ETF | ETF-Other | 0.51% | — | +0.60% | |
| 25 | XLU | St Sr Utl Sl Se Spdr Etf-usd | ETF-Other | 0.50% | — | +1.98% | |
| 26 | ZTS 3.25 02-01-23 | Zoetis INC | Stock-Healthcare | 0.50% | +0.50% | NEW | |
| 27 | DLR 5.25 03-15-21 | Digital Realty Trust LP | Stock-Real Estate | 0.50% | +0.50% | NEW | |
| 28 | MSFT | Microsoft CORP | Stock-Tech | 0.49% | — | +1.83% | |
| 29 | ✓ | Wisconsin Energy CORP | Stock-Other | 0.49% | +0.49% | NEW | |
| 30 | TJX | Tjx Companies INC | Stock-Consumer Disc | 0.48% | — | +0.99% | |
| 31 | ✓ | Powershares ETF Trust | ETF-Other | 0.48% | — | +3.44% | |
| 32 | AAPL | Apple INC | Stock-Tech | 0.48% | — | +4.78% | |
| 33 | KLAC 4.65 11-01-24 | Kla CORP | Stock-Tech | 0.47% | +0.47% | NEW | |
| 34 | TFC 5.85 PERP | Bb&t Corporation | Stock-Financials | 0.47% | +0.47% | NEW | |
| 35 | GEN 3.95 06-15-22 | Nortonlifelock INC | Stock-Tech | 0.47% | +0.47% | NEW | |
| 36 | SBUX | Starbucks CORP | Stock-Consumer Disc | 0.46% | — | +1.97% | |
| 37 | NVO | Novo-nordisk A/s-spons Adr | Stock-Healthcare | 0.45% | — | +1.67% | |
| 38 | CNC | Centene CORP | Stock-Healthcare | 0.45% | — | +0.52% | |
| 39 | ✓ | Westcore Plus Bond | Stock-Other | 0.45% | +0.45% | NEW | |
| 40 | DFS 6.5 PERP B | Discover Financial Svs | Stock-Other | 0.44% | +0.44% | NEW | |
| 41 | VEA | Vanguard Ftse Developed ETF | ETF-Other | 0.44% | +0.44% | NEW | |
| 42 | NYCBEUR | New York Community Bancorp | Stock-Other | 0.44% | — | +3.24% | |
| 43 | HSIC | Henry Schein INC | Stock-Healthcare | 0.43% | +0.43% | NEW | |
| 44 | ✓ | Icon Pub LTD Co | Stock-Other | 0.43% | +0.43% | NEW | |
| 45 | KEY 7.75 PERP A | Keycorp | Stock-Financials | 0.43% | — | +0.98% | |
| 46 | VFC | Vf CORP | Stock-Consumer Disc | 0.43% | — | +2.65% | |
| 47 | CEG 4.25 06-15-22 | Constellation En Gen LLC | Stock-Utilities | 0.43% | +0.43% | NEW | |
| 48 | VTIP | Vanguard Short-term Tips | ETF-Other | 0.42% | — | — | |
| 49 | C 3.5 05-15-23 | Citigroup INC | Stock-Financials | 0.42% | +0.42% | NEW | |
| 50 | COP | Conocophillips | Stock-Energy | 0.42% | — | +3.73% |
Not enough priced holdings yet to compute performance
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2016-03-31 | 1014 | $333.7M | 79 | |
| 2015-12-31 | 135 | $155.8M | 46 | |
| 2015-09-30 | 417 | $142.9M | 55 | |
| 2015-06-30 | 119 | $122.5M | 21 | |
| 2015-03-31 | 118 | $119.9M | 22 | |
| 2014-12-31 | 121 | $117.5M | 32 | |
| 2014-09-30 | 119 | $108.7M | 43 | |
| 2014-06-30 | 107 | $100.3M | 47 | |
| 2014-03-31 | 117 | $105.0M | 34 | |
| 2013-12-31 | 153 | $110.5M | 70 | |
| 2013-09-30 | 83 | $65.4M | 65 | |
| 2013-06-30 | 100 | $81.1M | 0 |
Carnick & Kubik, LLC's most significant position changes for 2016-03-31: New buy: Ishares S&p 500 Value ETF (IVE); New buy: Peabody Energy Corporation (BTU); New buy: Time Warner Cable LLC (CHTR 8.25 04-01-19); New buy: Digital Realty Trust LP (DLR 5.25 03-15-21); New buy: Zoetis INC (ZTS 3.25 02-01-23).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | EEM | Ishares Msci Emerging Market | +0.4% | — | Unchanged |
| 2 | ✓ | Greenhaven Continuous Cmdty | +0.4% | — | Unchanged |
| 3 | VDE | Vanguard Energy ETF | +0.3% | — | Unchanged |
| 4 | QDF | Flexshares Quality Dividend | +0.1% | +120.80% | Add |
| 5 | TXT | Textron INC | -0.7% | -97.92% | Trim |
| 6 | VALE | Vale S.A. | -1.2% | -44.35% | Trim |
| 7 | IVE | Ishares S&p 500 Value ETF | — | NEW | New buy |
| 8 | BTU | Peabody Energy Corporation | — | NEW | New buy |
| 9 | CHTR 8.25 04-01-19 | Time Warner Cable LLC | — | NEW | New buy |
| 10 | DLR 5.25 03-15-21 | Digital Realty Trust LP | — | NEW | New buy |
| 11 | ZTS 3.25 02-01-23 | Zoetis INC | — | NEW | New buy |
| 12 | ✓ | Wisconsin Energy CORP | — | NEW | New buy |
| 13 | KLAC 4.65 11-01-24 | Kla CORP | — | NEW | New buy |
| 14 | TFC 5.85 PERP | Bb&t Corporation | — | NEW | New buy |
| 15 | GEN 3.95 06-15-22 | Nortonlifelock INC | — | NEW | New buy |
| 16 | ✓ | Westcore Plus Bond | — | NEW | New buy |
| 17 | DFS 6.5 PERP B | Discover Financial Svs | — | NEW | New buy |
| 18 | VEA | Vanguard Ftse Developed ETF | — | NEW | New buy |
| 19 | HSIC | Henry Schein INC | — | NEW | New buy |
| 20 | ✓ | Icon Pub LTD Co | — | NEW | New buy |
| 21 | CEG 4.25 06-15-22 | Constellation En Gen LLC | — | NEW | New buy |
| 22 | C 3.5 05-15-23 | Citigroup INC | — | NEW | New buy |
| 23 | VNO 5.7 PERP K | Vornado Realty Trust | — | NEW | New buy |
| 24 | ARW 4.5 03-01-23 | Arrow Electronics INC | — | NEW | New buy |
| 25 | ARW 6.875 06-01-18 | Arrow Electronics INC | — | NEW | New buy |
| 26 | SPYG | Ss Spdr P S&p 500 Growth ETF | — | NEW | New buy |
| 27 | ✓ | Allergan INC | — | NEW | New buy |
| 28 | BNDX | Vanguard Total Intl Bond ETF | — | EXIT | Sold out |
| 29 | QCOM 3.45 05-20-25 | Qualcomm INC | — | NEW | New buy |
| 30 | GS 4 03-03-24 | Goldman Sachs Group INC | — | NEW | New buy |
| 31 | GEN 4.2 09-15-20 | Nortonlifelock INC | — | NEW | New buy |
| 32 | BG | Bunge Global SA | — | NEW | New buy |
| 33 | SCHW | Schwab (charles) CORP | — | EXIT | Sold out |
| 34 | NBR 9.25 01-15-19 | Nabors Industries INC | — | NEW | New buy |
| 35 | IGT 7.5 06-15-19 | Intl Game Technology | — | NEW | New buy |
| 36 | CI 4.5 02-25-26 | Evernorth Health INC | — | NEW | New buy |
| 37 | ARNC 6.75 07-15-18 | Arconic INC | — | NEW | New buy |
| 38 | UTXZ | United Tech CORP | — | NEW | New buy |
| 39 | FDX | Fedex CORP | — | NEW | New buy |
| 40 | BBTUSD | Bb&t CORP | — | NEW | New buy |
| 41 | BPL 5.5 08-15-19 | Buckeye Partners LP | — | NEW | New buy |
| 42 | ✓ | — | NEW | New buy | |
| 43 | MDLZ 6.125 08-23-18 | Mondelez International | — | NEW | New buy |
| 44 | RCL | Royal Caribbean Cruises Ltd. | — | NEW | New buy |
| 45 | NBL 8.25 03-01-19 | Noble Energy INC | — | NEW | New buy |
| 46 | CAG 7.125 10-01-26 | Conagra Brands INC | — | NEW | New buy |
| 47 | XECEUR | Cimarex Energy Co | — | NEW | New buy |
| 48 | KS LEASCD 5 09-01-2029 | Leavenworth Usd #458 | — | NEW | New buy |
| 49 | EXC 6.2 10-15-43 | Bge Capital Trust Ii | — | NEW | New buy |
| 50 | CO UCOMED 6 11-15-2029 | U Of Colo Hosp Auth | — | NEW | New buy |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2016-03-31 | 2016-05-12 | 13F-HR | View on EDGAR |
| 2015-12-31 | 2016-02-11 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-11-13 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-07-30 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-05-06 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-02-03 | 13F-HR | View on EDGAR |
| 2014-09-30 | 2014-11-04 | 13F-HR | View on EDGAR |
| 2014-06-30 | 2014-08-05 | 13F-HR | View on EDGAR |
| 2014-03-31 | 2014-05-06 | 13F-HR | View on EDGAR |
| 2013-12-31 | 2014-02-14 | 13F-HR | View on EDGAR |
| 2013-09-30 | 2013-10-29 | 13F-HR | View on EDGAR |
| 2013-06-30 | 2013-08-12 | 13F-HR | View on EDGAR |
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