CLINTON GROUP INC

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CIK 1134119

13F portfolio (2018-Q3)

$279M

Positions

180

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2018-Q2. 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 →

Open in PORT →

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 (2018-Q3)

Holdings

180

Top 5

16.2%

Top 10

27.1%

Effective N

73.7

HHI

0.014

This quarter

103 new · 0 exit →

By sector

Financials19.2%

Consumer Discretionary12.2%

Information Technology10.5%

Health Care10.2%

Unclassified9.8%

Utilities9.5%

Industrials9.5%

Materials5.9%

Other13.3%

By market cap

Large ($10–200B)64.6%

Mega (>$200B)15.9%

Unknown10.9%

Mid ($2–10B)8.4%

Small ($300M–2B)0.3%

By region

North America89.1%

Other9.8%

Europe1.2%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	10.17%	29
Utilities	9.53%	12
Commercial Services & Supplies	8.45%	7
Banks	6.33%	8
Pharmaceuticals & Biotechnology	6.17%	5
Capital Markets	6.11%	7
Specialty Retail	4.11%	9
Technology Hardware & Equipment	4.01%	4
Equity Real Estate Investment Trusts (REITs)	4.00%	10
Health Care Equipment & Supplies	3.82%	4
Hotels, Restaurants & Leisure	3.74%	5
Software	3.00%	5
Machinery	2.82%	5
Chemicals	2.75%	7
Textiles, Apparel & Luxury Goods	2.70%	3
Paper & Forest Products	2.62%	7
Oil, Gas & Consumable Fuels	2.59%	7
Insurance	2.32%	10
Tobacco	2.13%	1
Semiconductors & Semiconductor Equipment	1.42%	3
Media & Entertainment	1.28%	2
Beverages	1.15%	1
Software & IT Services	1.07%	3
Road & Rail	0.96%	2
Communications Equipment	0.89%	1
Leisure Products	0.86%	1
Diversified Telecommunication Services	0.68%	1
Construction & Engineering	0.68%	2
Food Products	0.62%	2
Real Estate Management & Development	0.44%	1
Automobiles & Components	0.43%	2
Metals & Mining	0.41%	4
Food & Staples Retailing	0.40%	1
Distributors	0.32%	2
Transportation Infrastructure	0.29%	1
Professional Services	0.27%	1
Life Sciences Tools & Services	0.16%	2
Electrical Equipment & Components	0.11%	1
Airlines	0.10%	1
Construction Materials	0.08%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	JPM	JPMORGAN CHASE & CO	Financials	4.10%
2	PYPL	PayPal Holdings, Inc.	Financials	3.31%
3	JNJ	JOHNSON & JOHNSON	Health Care	3.27%
4	BAX	BAXTER INTERNATIONAL INC	Health Care	2.89%
5	FTV	Fortive Corp	Information Technology	2.59%
6	NEE	NEXTERA ENERGY INC	Utilities	2.50%
7	MSFT	MICROSOFT CORP	Information Technology	2.19%
8	MO	ALTRIA GROUP, INC.	Consumer Staples	2.13%
9	SPGI	S&P Global Inc.	Industrials	2.12%
10	AEE	AMEREN CORP	Utilities	1.97%

152/180 names classified · sector 90.2% of weight · industry 89.8% · mkt cap 89.1%; unclassified names shown, never dropped.

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

top 5/sector, rest → “Other” · 22 quarters

Consumer DiscretionaryMCD, DRI, SHW, CTAS, CPRT · other

IndustrialsBA, CAT, ETN, EBAY, SPGI · other

FinancialsGS, JPM, PGR, PYPL, ICE · other

Information TechnologyGE, ADBE, CDNS, MSFT, FTV · other

MaterialsAVY, LPX, NKE, EL, FBIN · other

Health CareAMGN, JNJ, BAX, ABBV, DGX · other

Real EstateHST, SPG, PSA, REG, CUBE · other

UtilitiesPPL, NEE, D, AEE, ET · other

Consumer StaplesCVS, MO, CCEP, SJM, FIZZ · other

Communication ServicesCMCSA, META, GOOGL, DIS, CHTR · other

EnergyVLO, OXY, AR, COP, SLB · other

UnclassifiedEVRYWARE GLOBAL INC, NUTRI SYS INC NEW, STILLWATER MNG CO, WET SEAL INC, MONSANTO CO NEW · 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: 90.2% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2018-Q3), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

holdings, colored by sector (145 classified)CLINTON GROUP INC centroid (Mid Core)

FinancialsConsumer DiscretionaryInformation TechnologyHealth CareIndustrialsUtilitiesMaterialsReal EstateConsumer StaplesEnergyCommunication Services

Style box summary for CLINTON GROUP INC: centroid Mid Core. Heaviest cells: Large Core 19.9%, Mid Core 18.6%, Large Value 9.7%.

Classified: 87.9% of book weight (145/154 names) · unclassified 12.1%: , CCEP, CMA, BRK.B, MAC, EPD, PAA, CRL, KGC. 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· 180 positions (2018-Q3) · largest first · Δ vs 2018-Q2

#	Security	Shares	Value	Weight	Δ QoQ
1	JPMJPMORGAN CHASE & CO	101,538	$11M	4.1%	ADD 1028%
2	PYPLPAYPAL HLDGS INC	105,289	$9M	3.3%	NEW
3	JNJJOHNSON & JOHNSON	66,038	$9M	3.3%	ADD 1577%
4	BAXBAXTER INTL INC	104,881	$8M	2.9%	NEW
5	FTVFORTIVE CORP	85,991	$7M	2.6%	ADD 265%
6	NEENEXTERA ENERGY INC	41,696	$7M	2.5%	ADD 618%
7	MSFTMICROSOFT CORP	53,503	$6M	2.2%	ADD 283%
8	MOALTRIA GROUP INC	98,428	$6M	2.1%	ADD 127%
9	SPGIS&P GLOBAL INC	30,313	$6M	2.1%	ADD 2968%
10	AEEAMEREN CORP	87,007	$6M	2.0%	ADD 411%
11	DRIDARDEN RESTAURANTS INC	48,191	$5M	1.9%	NEW
12	AMGNAMGEN INC	24,547	$5M	1.8%	ADD 23%
13	ICEINTERCONTINENTAL EXCHANGE IN	65,658	$5M	1.8%	NEW
14	CTASCINTAS CORP	24,148	$5M	1.7%	NEW
15	PIONEER NAT RES CO	25,705	$4M	1.6%	NEW
16	CPRTCOPART INC	85,859	$4M	1.6%	NEW
17	ETNEATON CORP PLC	50,215	$4M	1.6%	NEW
18	CBOECBOE GLOBAL MKTS INC	43,235	$4M	1.5%	ADD 65%
19	GSGOLDMAN SACHS GROUP INC	18,000	$4M	1.4%	ADD 6%
20	EBAYEBAY INC.	115,203	$4M	1.4%	ADD 113%
21	NKENIKE INC	43,104	$4M	1.3%	NEW
22	CMCSACOMCAST CORP NEW	97,215	$3M	1.2%	NEW
23	CCEPCOCA-COLA EUROPACIFIC PARTNE	70,648	$3M	1.2%	TRIM −45%
24	E TRADE FINANCIAL CORP	58,824	$3M	1.1%	TRIM −18%
25	FBINFORTUNE BRANDS INNOVATIONS I	57,926	$3M	1.1%	TRIM −24%
26	SHWSHERWIN WILLIAMS CO	6,204	$3M	1.0%	NEW
27	FTITECHNIPFMC PLC	82,699	$3M	0.9%	ADD 13%
28	VFCV F CORP	27,161	$3M	0.9%	HOLD
29	QCOMQUALCOMM INC	34,500	$2M	0.9%	TRIM −33%
30	COPCONOCOPHILLIPS	31,981	$2M	0.9%	ADD 72%
31	HASHASBRO INC	22,770	$2M	0.9%	TRIM −29%
32	PEGPUBLIC SVC ENTERPRISE GROUP	44,386	$2M	0.8%	ADD 871%
33	EQIXEQUINIX INC	5,316	$2M	0.8%	NEW
34	XELXCEL ENERGY INC	48,524	$2M	0.8%	NEW
35	CMACOMERICA INC	24,756	$2M	0.8%	TRIM −43%
36	MAMASTERCARD INCORPORATED	9,545	$2M	0.8%	NEW
37	NSCNORFOLK SOUTHN CORP	11,616	$2M	0.8%	NEW
38	DTEDTE ENERGY CO	18,157	$2M	0.7%	NEW
39	WYWEYERHAEUSER CO	61,245	$2M	0.7%	TRIM −25%
40	MPWRMONOLITHIC PWR SYS INC	15,609	$2M	0.7%	NEW
41	CMGCHIPOTLE MEXICAN GRILL INC	4,216	$2M	0.7%	ADD 122%
42	TAT&T INC	56,760	$2M	0.7%	ADD 217%
43	CCITIGROUP INC	25,000	$2M	0.6%	ADD 79%
44	VRSNVERISIGN INC	11,177	$2M	0.6%	NEW
45	SUNTRUST BKS INC	26,018	$2M	0.6%	ADD 138%
46	OXYOCCIDENTAL PETE CORP	20,983	$2M	0.6%	TRIM −69%
47	DDOMINION ENERGY INC	24,092	$2M	0.6%	ADD 40%
48	PANWPALO ALTO NETWORKS INC	7,219	$2M	0.6%	TRIM −42%
49	TRUTRANSUNION	22,032	$2M	0.6%	NEW
50	LNTALLIANT ENERGY CORP	37,338	$2M	0.6%	NEW
51	LLOEWS CORP	30,252	$2M	0.5%	NEW
52	SJMSMUCKER J M CO	14,634	$2M	0.5%	NEW
53	SUISUN CMNTYS INC	14,641	$1M	0.5%	ADD 65%
54	ICUIICU MED INC	5,157	$1M	0.5%	TRIM −56%
55	RRRRED ROCK RESORTS INC	54,082	$1M	0.5%	NEW
56	EQREQUITY RESIDENTIAL	20,782	$1M	0.5%	TRIM −70%
57	PRA HEALTH SCIENCES INC	12,256	$1M	0.5%	NEW
58	ROPROPER TECHNOLOGIES INC	4,503	$1M	0.5%	TRIM −7%
59	CNPCENTERPOINT ENERGY INC	46,095	$1M	0.5%	ADD 59%
60	ESEVERSOURCE ENERGY	20,387	$1M	0.4%	NEW
61	CBRECBRE GROUP INC	28,139	$1M	0.4%	NEW
62	CLCOLGATE PALMOLIVE CO	18,367	$1M	0.4%	NEW
63	SBACSBA COMMUNICATIONS CORP NEW	7,655	$1M	0.4%	NEW
64	EVINE LIVE INC	1,067,912	$1M	0.4%	ADD 4%
65	NXPINXP SEMICONDUCTORS N V	14,303	$1M	0.4%	NEW
66	RGLDROYAL GOLD INC	15,752	$1M	0.4%	TRIM −57%
67	MRKMERCK & CO INC	16,898	$1M	0.4%	TRIM −82%
68	GPKGRAPHIC PACKAGING HLDG CO	81,884	$1M	0.4%	NEW
69	BRK.BBERKSHIRE HATHAWAY INC DEL	5,347	$1M	0.4%	ADD 36%
70	SCHWSCHWAB CHARLES CORP	23,134	$1M	0.4%	NEW
71	USBUS BANCORP	21,294	$1M	0.4%	NEW
72	CVSCVS HEALTH CORP	14,098	$1M	0.4%	NEW
73	CBCHUBB LIMITED	8,141	$1M	0.4%	NEW
74	BB&T CORP	22,403	$1M	0.4%	ADD 391%
75	CBSHCOMMERCE BANCSHARES INC	16,269	$1M	0.4%	NEW
76	PWRQUANTA SVCS INC	32,176	$1M	0.4%	TRIM −2%
77	DLRDIGITAL RLTY TR INC	9,445	$1M	0.4%	NEW
78	CDNSCADENCE DESIGN SYSTEM INC	23,340	$1M	0.4%	NEW
79	KELLANOVA	14,789	$1M	0.4%	NEW
80	URBNURBAN OUTFITTERS INC	25,133	$1M	0.4%	NEW
81	TXRHTEXAS ROADHOUSE INC	14,779	$1M	0.4%	NEW
82	DVNDEVON ENERGY CORP NEW	25,527	$1M	0.4%	NEW
83	NATIONAL OILWELL VARCO INC	23,126	$996,000	0.4%	NEW
84	ANETArista Networks Inc	3,741	$995,000	0.4%	NEW
85	VLOVALERO ENERGY CORP	8,354	$950,000	0.3%	TRIM −73%
86	PCARPACCAR INC	13,789	$940,000	0.3%	NEW
87	AVYAVERY DENNISON CORP	8,609	$933,000	0.3%	TRIM −88%
88	PFEPFIZER INC	20,626	$909,000	0.3%	NEW
89	BMYBRISTOL-MYERS SQUIBB CO	14,547	$903,000	0.3%	TRIM −74%
90	JEFJEFFERIES FINL GROUP INC	40,653	$893,000	0.3%	NEW
91	MOSMOSAIC CO NEW	26,830	$871,000	0.3%	NEW
92	OPLNOPENLANE INC	14,354	$857,000	0.3%	NEW
93	L3 TECHNOLOGIES INC	4,023	$855,000	0.3%	NEW
94	LENLENNAR CORP	17,581	$821,000	0.3%	ADD 75%
95	MYLAN NV	22,386	$819,000	0.3%	HOLD
96	PKGPACKAGING CORP AMER	7,399	$812,000	0.3%	TRIM −53%
97	BCOBRINKS CO	11,435	$798,000	0.3%	NEW
98	ULTAULTA BEAUTY INC	2,813	$794,000	0.3%	TRIM −81%
99	MOHMOLINA HEALTHCARE INC	5,321	$791,000	0.3%	NEW
100	JBLJabil Circuit, Inc.	29,159	$790,000	0.3%	NEW
101	MACMACERICH CO	14,229	$787,000	0.3%	TRIM −16%
102	WPX ENERGY INC	38,743	$780,000	0.3%	NEW
103	BDXBECTON DICKINSON & CO	2,919	$762,000	0.3%	NEW
104	NEWFIELD EXPL CO	26,042	$751,000	0.3%	NEW
105	AFGAMERICAN FINL GROUP INC OHIO	6,725	$746,000	0.3%	TRIM −70%
106	BAHBOOZ ALLEN HAMILTON HLDG COR	15,031	$746,000	0.3%	NEW
107	CYRUSONE INC	11,241	$713,000	0.3%	NEW
108	WTWISDOMTREE INC	84,001	$712,000	0.3%	NEW
109	WENWENDYS CO	41,323	$708,000	0.3%	NEW
110	NEW RELIC INC	7,480	$705,000	0.3%	NEW
111	BFHBREAD FINANCIAL HOLDINGS INC	2,913	$688,000	0.2%	NEW
112	BKUBANKUNITED INC	18,759	$664,000	0.2%	ADD 9%
113	LIFE STORAGE INC	6,952	$662,000	0.2%	TRIM −30%
114	EPDENTERPRISE PRODS PARTNERS L	22,998	$661,000	0.2%	ADD 108%
115	FDSFACTSET RESH SYS INC	2,937	$657,000	0.2%	NEW
116	HUNHUNTSMAN CORP	24,060	$655,000	0.2%	TRIM −62%
117	WBSWEBSTER FINL CORP CONN	10,978	$647,000	0.2%	NEW
118	ATHENE HLDG LTD	11,818	$611,000	0.2%	TRIM −72%
119	ODFLOLD DOMINION FREIGHT LINE IN	3,685	$594,000	0.2%	NEW
120	LKQLKQ CORP	18,672	$591,000	0.2%	NEW
121	VIACOM INC NEW	17,014	$574,000	0.2%	TRIM −90%
122	METMETLIFE INC	11,850	$554,000	0.2%	NEW
123	CACICACI INTL INC	2,992	$551,000	0.2%	NEW
124	PGRPROGRESSIVE CORP	7,736	$550,000	0.2%	TRIM −96%
125	EXCEXELON CORP	12,435	$543,000	0.2%	TRIM −81%
126	ADBEADOBE INC	1,971	$532,000	0.2%	TRIM −87%
127	NUENUCOR CORP	8,206	$521,000	0.2%	NEW
128	EFXEQUIFAX INC	3,950	$516,000	0.2%	NEW
129	LPXLOUISIANA PAC CORP	19,222	$509,000	0.2%	TRIM −90%
130	DLTRDOLLAR TREE INC	6,181	$504,000	0.2%	NEW
131	KMIKINDER MORGAN INC DEL	28,062	$498,000	0.2%	NEW
132	LAMRLAMAR ADVERTISING CO	6,288	$489,000	0.2%	NEW
133	ARRIS INTL INC	18,651	$485,000	0.2%	NEW
134	EMNEASTMAN CHEM CO	4,755	$455,000	0.2%	TRIM −59%
135	PAGPENSKE AUTOMOTIVE GRP INC	9,414	$446,000	0.2%	NEW
136	PAAPLAINS ALL AMERN PIPELINE L	17,793	$445,000	0.2%	NEW
137	IPINTERNATIONAL PAPER CO	9,014	$443,000	0.2%	TRIM −13%
138	DCP MIDSTREAM LP	11,060	$438,000	0.2%	NEW
139	PGPROCTER AND GAMBLE CO	5,250	$437,000	0.2%	NEW
140	SONSONOCO PRODS CO	7,810	$433,000	0.2%	NEW
141	PARSLEY ENERGY INC	14,662	$429,000	0.2%	NEW
142	HPHelmerich & Payne Inc.	6,147	$423,000	0.2%	NEW
143	PHILLIPS 66 PARTNERS LP	8,041	$411,000	0.1%	NEW
144	Weight Watchers Intl	5,642	$406,000	0.1%	NEW
145	ANAUTONATION INC	9,666	$402,000	0.1%	NEW
146	INTUINTUIT	1,745	$397,000	0.1%	NEW
147	ALLALLSTATE CORP	3,953	$390,000	0.1%	NEW
148	ACGLARCH CAP GROUP LTD	12,856	$383,000	0.1%	ADD 30%
149	CECELANESE CORP DEL	3,331	$380,000	0.1%	TRIM −71%
150	TFXTELEFLEX INCORPORATED	1,404	$374,000	0.1%	TRIM −26%
151	ANNALY MORTGAGE MANAGEMENT	36,380	$372,000	0.1%	NEW
152	RHIROBERT HALF INC.	5,273	$371,000	0.1%	NEW
153	CCKCROWN HLDGS INC	7,411	$356,000	0.1%	NEW
154	LFUSLITTELFUSE INC	1,521	$301,000	0.1%	NEW
155	IEXIDEX CORP	1,994	$300,000	0.1%	TRIM −15%
156	MCKMCKESSON CORP	2,245	$298,000	0.1%	TRIM −95%
157	UMPQUA HLDGS CORP	14,137	$294,000	0.1%	NEW
158	BWXTBWX TECHNOLOGIES INC	4,650	$291,000	0.1%	NEW
159	AAAlcoa Upstream Corp.	6,997	$283,000	0.1%	TRIM −94%
160	UALUNITED AIRLS HLDGS INC	3,099	$276,000	0.1%	NEW
161	OSKOSHKOSH CORP	3,750	$267,000	0.1%	NEW
162	HUMHUMANA INC	787	$266,000	0.1%	TRIM −96%
163	HUBSHUBSPOT INC	1,748	$264,000	0.1%	NEW
164	BLACKSTONE GROUP LP	6,859	$261,000	0.1%	TRIM −30%
165	GLWCORNING INC	6,881	$243,000	0.1%	NEW
166	UDRUDR INC	5,995	$242,000	0.1%	TRIM −94%
167	CRLCHARLES RIV LABS INTL INC	1,789	$241,000	0.1%	NEW
168	PRAXAIR INC	1,472	$237,000	0.1%	NEW
169	IRMIRON MTN INC DEL	6,737	$233,000	0.1%	NEW
170	COLMCOLUMBIA SPORTSWEAR CO	2,479	$231,000	0.1%	TRIM −96%
171	MLMMARTIN MARIETTA MATLS INC	1,264	$230,000	0.1%	NEW
172	ANTERO MIDSTREAM PARTNERS LP	7,913	$227,000	0.1%	NEW
173	SYFSYNCHRONY FINANCIAL	7,278	$226,000	0.1%	NEW
174	ADMARCHER DANIELS MIDLAND CO	4,383	$220,000	0.1%	TRIM −90%
175	WATWATERS CORP	1,124	$219,000	0.1%	NEW
176	FAFFIRST AMERN FINL CORP	3,973	$205,000	0.1%	TRIM −90%
177	FNDFLOOR & DECOR HLDGS INC	6,775	$204,000	0.1%	NEW
178	CVXCHEVRON CORP NEW	1,660	$203,000	0.1%	TRIM −71%
179	SIRISIRIUS XM HOLDINGS INC	23,173	$146,000	0.1%	TRIM −79%
180	KGCKINROSS GOLD CORP	31,753	$86,000	0.0%	TRIM −98%

☆CLINTON GROUP INC