FIRST NEW YORK SECURITIES LLC /NY

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CIK 1111629

13F portfolio (2016-Q4)

$53M

Positions

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2016-Q3. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

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As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2016-Q4)

Holdings

Top 5

75.0%

Top 10

87.7%

Effective N

5.6

HHI

0.179

This quarter

49 new · 0 exit →

By sector

Unclassified84.5%

Information Technology6.5%

Industrials3.3%

Financials3.2%

Health Care1.1%

Communication Services1.0%

Consumer Discretionary0.3%

Materials0.2%

Other0.0%

By market cap

Unknown87.7%

Large ($10–200B)8.2%

Mid ($2–10B)3.4%

Micro (<$300M)0.4%

Small ($300M–2B)0.2%

Mega (>$200B)0.0%

By region

Other84.5%

North America13.5%

Europe2.0%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	84.51%	51
Semiconductors & Semiconductor Equipment	5.68%	2
Machinery	2.77%	2
Banks	2.32%	6
Pharmaceuticals & Biotechnology	1.09%	2
Media & Publishing	0.95%	1
Technology Hardware & Equipment	0.78%	1
Capital Markets	0.72%	3
Professional Services	0.34%	1
Textiles, Apparel & Luxury Goods	0.24%	2
Metals & Mining	0.18%	3
Insurance	0.14%	2
Commercial Services & Supplies	0.13%	1
Aerospace & Defense	0.06%	1
Specialty Retail	0.04%	1
Distributors	0.02%	1
Diversified Telecommunication Services	0.01%	1
Utilities	0.01%	2
Equity Real Estate Investment Trusts (REITs)	0.01%	1
Oil, Gas & Consumable Fuels	0.00%	1

Top holdings

#	Ticker	Name	Sector	Weight
1		ST JUDE MED INC	Unclassified	36.20%
2		LIONS GATE ENTMNT CORP	Unclassified	15.57%
3		WHITE WAVE FOODS CO.	Unclassified	10.40%
4		RITE AID CORP	Unclassified	7.18%
5	NXPI	NXP Semiconductors N.V.	Information Technology	5.68%
6		ENEL AMERICAS S A	Unclassified	3.96%
7	SLGN	SILGAN HOLDINGS INC	Industrials	2.63%
8		REYNOLDS AMERICAN INC	Unclassified	2.36%
9	DB	Deutsche Bank AG	Financials	2.03%
10		NORTHSTAR ASSET	Unclassified	1.72%

34/85 names classified · sector 15.5% of weight · industry 15.5% · mkt cap 12.3%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 15 quarters

Information TechnologyORCL, SNDK, SAP, NXPI, CSCO · other

Health CareRMD, NVO, BAX, BMY, BMRN · other

IndustrialsASML, EBAY, GEF, ADT, SLGN · other

Consumer DiscretionaryALV, SONY, TM, QSR, WEN · other

FinancialsDB, SYF, BAC, SAN, OSG · other

Communication ServicesLBRDA, VOD, VZ, TMUS, OMC · other

EnergySDRL, RIG, CVX, DVN, XOM · other

MaterialsTS, PG, OLN, RIO, BHP · other

Consumer StaplesBUD, SFD, KO, BF.B, BTI · other

Real EstateWY, GLPI, CXW, AVB, SPG · other

UtilitiesNI, FE, LNG, CMS, EPD · other

UnclassifiedST JUDE MED INC, DOW CHEM CO, FOREST LABS INC, CAMERON INTERNATIONAL CORP, Fidelity Natl Finl Inc · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 15.5% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2016-Q4), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

Only 12% of book weight classified — the grid is NOT representative of the whole book.

holdings, colored by sector (20 classified)FIRST NEW YORK SECURITIES LLC /NY centroid (Mid Core)

Information TechnologyIndustrialsFinancialsCommunication ServicesConsumer DiscretionaryReal EstateUtilities

Style box summary for FIRST NEW YORK SECURITIES LLC /NY: centroid Mid Core. Heaviest cells: Mid Core 6.6%, Small Core 3.5%, Mid Growth 0.8%.

Classified: 11.7% of book weight (20/44 names) · unclassified 88.3%: , DB, NVO, EUFN, CMBT, UA, KRE, BELFA, GEF, EMITF +14 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 85 positions (2016-Q4) · largest first · Δ vs 2016-Q3

#	Security	Shares	Value	Weight	Δ QoQ
1	ST JUDE MED INC	241,367	$19M	36.2%	ADD 14098%
2	LIONS GATE ENTMNT CORP	339,200	$8M	15.6%	NEW
3	WHITE WAVE FOODS CO.	100,000	$6M	10.4%	NEW
4	RITE AID CORP	465,817	$4M	7.2%	TRIM −31%
5	NXPINXP SEMICONDUCTORS N V	31,000	$3M	5.7%	NEW
6	ENEL AMERICAS S A	257,964	$2M	4.0%	NEW
7	SLGNSILGAN HLDGS INC	27,500	$1M	2.6%	NEW
8	REYNOLDS AMERICAN INC	22,502	$1M	2.4%	NEW
9	DBDEUTSCHE BK AG	60,000	$1M	2.0%	TRIM −29%
10	NORTHSTAR ASSET	61,500	$917,580	1.7%	NEW
11	NVONOVO-NORDISK A S	15,000	$537,900	1.0%	NEW
12	NWSNEWS CORP NEW	43,128	$508,910	1.0%	NEW
13	HPEHEWLETT PACKARD ENTERPRISE C	18,000	$416,520	0.8%	TRIM −49%
14	WCI CMNTYS INC	16,469	$386,198	0.7%	NEW
15	MENTOR GRAPHICS	10,000	$368,900	0.7%	NEW
16	IVZINVESCO LTD	10,000	$303,400	0.6%	NEW
17	TIME WARNER INC	3,000	$289,590	0.5%	NEW
18	LIONS GATE ENTMNT CORP	10,600	$285,140	0.5%	NEW
19	AMERICAN CAPITAL LTD.	14,995	$268,710	0.5%	NEW
20	SABAN CAP ACQUISITION CORP	20,000	$208,000	0.4%	NEW
21	EUFNISHARES TR MSCI EURO FL ETF	10,600	$200,976	0.4%	NEW
22	CMBTCMB.TECH NV	25,000	$198,750	0.4%	TRIM −87%
23	SIENTRA INC	22,143	$188,658	0.4%	TRIM −37%
24	IIIINFORMATION SVCS GROUP INC	49,461	$180,038	0.3%	NEW
25	CIT GROUP INC	3,200	$136,576	0.3%	NEW
26	FOX CORP CLASS B	5,000	$136,250	0.3%	NEW
27	UAUNDER ARMOUR INC	5,100	$128,367	0.2%	TRIM −81%
28	AMERICA MOVIL SAB DE CV	10,000	$125,700	0.2%	NEW
29	KRESPDR SERIES TRUST	2,250	$125,032	0.2%	TRIM −36%
30	BELFABEL FUSE INC	3,737	$94,583	0.2%	ADD 108%
31	STILLWATER MNG CO	5,000	$80,550	0.2%	NEW
32	VRTSVIRTUS INVT PARTNERS INC	650	$76,732	0.1%	NEW
33	GEFGREIF INC	1,450	$74,400	0.1%	TRIM −87%
34	EMITFELBIT IMAGING LTD SHS	21,688	$73,956	0.1%	HOLD
35	AIGAMERICAN INTL GROUP INC	1,130	$73,800	0.1%	ADD 49%
36	ZGZILLOW GROUP INC	1,900	$69,255	0.1%	TRIM −78%
37	BVNCOMPANIA DE MINAS BUENAVENTU	5,080	$57,302	0.1%	NEW
38	CREDIT SUISSE GROUP	4,000	$57,240	0.1%	NEW
39	KLONDEX MNS LTD	10,360	$48,381	0.1%	NEW
40	UBSIUNITED BANKSHARES INC WEST V	1,010	$46,712	0.1%	NEW
41	EFAISHARES TR	800	$46,184	0.1%	NEW
42	TXMDTHERAPEUTICSMD INC	8,000	$46,160	0.1%	TRIM −20%
43	RNSTRENASANT CORP	1,090	$46,020	0.1%	NEW
44	HEDJWISDOMTREE TR	800	$45,920	0.1%	NEW
45	OSISKO GOLD ROYALTIES	4,440	$43,157	0.1%	NEW
46	XLFSELECT SECTOR SPDR TR	1,760	$40,920	0.1%	TRIM −66%
47	FIAT CHRYSLER AUTOMOBILES N	4,200	$38,304	0.1%	TRIM −98%
48	EZUISHARES INC MSCI EURZONE ETF	1,100	$38,060	0.1%	NEW
49	KRNYKEARNY FINL CORP MD	2,360	$36,698	0.1%	NEW
50	GRUPO FINANCIERO SANTANDER	5,000	$35,950	0.1%	TRIM −50%
51	ASANKO GOLD INC	11,120	$34,027	0.1%	NEW
52	LIBERTY INTERACTIVE CORP	900	$33,183	0.1%	NEW
53	HAYNES INTERNATIONAL INC	750	$32,242	0.1%	NEW
54	HEIHEICO CORP NEW	400	$30,860	0.1%	TRIM −20%
55	AMERICAN DG ENERGY INC	101,450	$28,406	0.1%	NEW
56	CMCANADIAN IMPERIAL BANK OF CO	300	$24,480	0.0%	NEW
57	RUSHBRUSH ENTERPRISES INC	700	$21,609	0.0%	NEW
58	iShares MSCI Singapore Index	2,300	$21,275	0.0%	NEW
59	BTGB2GOLD CORP	8,710	$20,643	0.0%	NEW
60	POLYONE CORP	600	$19,224	0.0%	NEW
61	MOBILE TELESYSTEMS PJSC	1,800	$16,398	0.0%	NEW
62	SIDCOMPANHIA SIDERURGICA NACION	5,000	$16,150	0.0%	NEW
63	CTI BIOPHARMA CORP COM NEW	35,000	$14,266	0.0%	TRIM −34%
64	PANDORA MEDIA INC	1,000	$13,040	0.0%	NEW
65	CENTACENTRAL GARDEN & PET CO	345	$10,660	0.0%	TRIM −99%
66	DDR CORP	650	$9,926	0.0%	HOLD
67	GSATGLOBALSTAR INC	5,000	$7,900	0.0%	NEW
68	GLAXOSMITHKLINE PLC	200	$7,702	0.0%	NEW
69	NTIPNETWORK-1 TECHNOLOGIES INC	2,000	$6,800	0.0%	HOLD
70	HCP INC	168	$4,993	0.0%	HOLD
71	WEBMD HEALTH CORP	91	$4,511	0.0%	NEW
72	AQUA AMERICA INC	126	$3,785	0.0%	HOLD
73	OUTOUTFRONT MEDIA INC	147	$3,656	0.0%	HOLD
74	AIXTRON SE	1,000	$3,060	0.0%	TRIM −78%
75	OWENS ILL INC	145	$2,524	0.0%	HOLD
76	NEENEXTERA ENERGY INC	20	$2,389	0.0%	TRIM −50%
77	CIGCIA ENERGETICA DE MINAS GERA	1,000	$2,280	0.0%	HOLD
78	TWENTY FIRST CENTY FOX INC	72	$2,019	0.0%	HOLD
79	RLRALPH LAUREN CORP	15	$1,355	0.0%	TRIM −57%
80	DIPEXIUM PHARMACEUTICALS INC	500	$800	0.0%	TRIM −75%
81	RYROYAL BK CDA	5	$339	0.0%	HOLD
82	WTWWILLIS TOWERS WATSON PLC LTD	2	$245	0.0%	TRIM −99%
83	AVGOBROADCOM LTD	1	$177	0.0%	TRIM −75%
84	M D C HLDGS INC	1	$26	0.0%	NEW
85	SDRLSEADRILL LIMITED	1	$3	0.0%	HOLD

☆FIRST NEW YORK SECURITIES LLC /NY