ASCEND CAPITAL, LLC

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CIK 1165501

13F portfolio (2018-Q3)

$1.9B

Positions

155

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 →

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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 (2018-Q3)

Holdings

155

Top 5

19.8%

Top 10

30.9%

Effective N

60.4

HHI

0.017

This quarter

73 new · 0 exit →

By sector

Unclassified30.1%

Industrials16.5%

Consumer Discretionary11.4%

Information Technology11.1%

Financials8.8%

Materials7.2%

Communication Services5.3%

Energy4.5%

Other4.9%

By market cap

Large ($10–200B)41.6%

Unknown32.6%

Mid ($2–10B)13.2%

Mega (>$200B)8.7%

Small ($300M–2B)3.9%

Micro (<$300M)0.1%

By region

North America67.4%

Other30.1%

Asia-Pacific1.6%

Middle East1.0%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	30.10%	57
Hotels, Restaurants & Leisure	8.08%	7
Commercial Services & Supplies	7.20%	5
Machinery	5.83%	4
Software & IT Services	5.55%	7
Software	5.20%	7
Oil, Gas & Consumable Fuels	4.51%	8
Paper & Forest Products	4.49%	1
Technology Hardware & Equipment	3.52%	3
Capital Markets	3.07%	4
Insurance	2.88%	4
Banks	2.85%	6
Pharmaceuticals & Biotechnology	2.22%	9
Specialty Retail	2.19%	5
Equity Real Estate Investment Trusts (REITs)	1.82%	3
Marine	1.67%	1
Chemicals	1.47%	3
Distributors	1.15%	3
Transportation Infrastructure	1.15%	2
Road & Rail	0.69%	3
Construction Materials	0.65%	1
Semiconductors & Semiconductor Equipment	0.63%	1
Metals & Mining	0.63%	1
Media & Entertainment	0.51%	1
Life Sciences Tools & Services	0.48%	2
Food & Staples Retailing	0.42%	2
Media & Publishing	0.39%	1
Entertainment	0.30%	1
Diversified Telecommunication Services	0.26%	1
Airlines	0.05%	1
Electrical Equipment & Components	0.03%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	WCN	Waste Connections, Inc.	Industrials	4.61%
2	GPK	GRAPHIC PACKAGING HOLDING CO	Materials	4.49%
3		MYLAN NV	Unclassified	3.96%
4	CCK	CROWN HOLDINGS, INC.	Industrials	3.74%
5	H	Hyatt Hotels Corp	Consumer Discretionary	2.95%
6	GOOGL	Alphabet Inc.	Communication Services	2.62%
7		EXPRESS SCRIPTS HLDG CO	Unclassified	2.32%
8	COP	CONOCOPHILLIPS	Energy	2.17%
9		CIGNA CORPORATION	Unclassified	2.03%
10		AETNA INC NEW	Unclassified	1.96%

98/155 names classified · sector 69.9% of weight · industry 69.9% · mkt cap 67.4%; 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 DiscretionaryMAR, JACK, ASH, DLTR, AZO · other

IndustrialsWCN, GLNG, CCK, WM, FDX · other

FinancialsC, PRU, MET, JPM, SYF · other

Information TechnologyMSFT, AME, DBD, ROP, DHR · other

Health CarePRGO, TEVA, PBYI, BAX, JNJ · other

MaterialsAPD, PPG, GPK, HUN, CF · other

Communication ServicesMETA, GOOGL, CMCSA, VZ, DIS · other

EnergyHAL, COP, FANG, EQT, VLO · other

Consumer StaplesSTZ, MO, CVS, KHC, PM · other

Real EstateHST, RITM, GLPI, DLR, CCI · other

UtilitiesNRG, AWK, WMB, VST

UnclassifiedLIBERTYMED VENTURES, LIBERTY GLOBAL PLC, LIBERTY INTERACTIVE CORP, TIME WARNER CABLE INC, ENDO INTL PLC · 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: 69.9% 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 (83 classified)ASCEND CAPITAL, LLC centroid (Mid Core)

IndustrialsConsumer DiscretionaryInformation TechnologyFinancialsMaterialsCommunication ServicesEnergyReal EstateHealth CareConsumer Staples

Style box summary for ASCEND CAPITAL, LLC: centroid Mid Core. Heaviest cells: Mid Growth 16.9%, Small Core 11.3%, Large Growth 8.8%.

Classified: 62.8% of book weight (83/102 names) · unclassified 37.2%: , GLNG, BABA, CHKP, OPTU, SRPT, MSTR, BRSL, ELAN, NINE +9 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· 155 positions (2018-Q3) · largest first · Δ vs 2018-Q2

#	Security	Shares	Value	Weight	Δ QoQ
1	WCNWASTE CONNECTIONS INC	1,071,131	$85M	4.6%	ADD 617%
2	GPKGRAPHIC PACKAGING HLDG CO	5,937,494	$83M	4.5%	ADD 107%
3	MYLAN NV	2,003,339	$73M	4.0%	ADD 125%
4	CCKCROWN HLDGS INC	1,445,528	$69M	3.7%	ADD 107%
5	HHYATT HOTELS CORP	687,687	$55M	3.0%	ADD 14%
6	GOOGLALPHABET INC	40,166	$48M	2.6%	ADD 101%
7	EXPRESS SCRIPTS HLDG CO	453,477	$43M	2.3%	NEW
8	COPCONOCOPHILLIPS	520,556	$40M	2.2%	HOLD
9	CIGNA CORPORATION	180,249	$38M	2.0%	NEW
10	AETNA INC NEW	179,300	$36M	2.0%	TRIM −33%
11	STTSTATE STR CORP	391,283	$33M	1.8%	ADD 1309%
12	RRRRED ROCK RESORTS INC	1,166,887	$31M	1.7%	ADD 713%
13	GLNGGOLAR LNG LTD BERMUDA	1,115,871	$31M	1.7%	TRIM −13%
14	PRUPRUDENTIAL FINL INC	304,258	$31M	1.7%	ADD 71%
15	EXTENDED STAY AMERICA INC	1,480,635	$30M	1.6%	NEW
16	BABAALIBABA GROUP HLDG LTD	177,323	$29M	1.6%	NEW
17	GLPIGAMING & LEISURE P	824,612	$29M	1.6%	NEW
18	Bunge Ltd	402,561	$28M	1.5%	NEW
19	PTCPTC INC	249,131	$26M	1.4%	TRIM −22%
20	AMEAMETEK INC	330,878	$26M	1.4%	TRIM −56%
21	ROPROPER TECHNOLOGIES INC	84,584	$25M	1.4%	NEW
22	BKRBAKER HUGHES COMPANY	713,324	$24M	1.3%	TRIM −42%
23	HLTHILTON WORLDWIDE HLDGS INC	283,966	$23M	1.2%	TRIM −28%
24	SCHWSCHWAB CHARLES CORP	463,722	$23M	1.2%	NEW
25	RJFRAYMOND JAMES FINL INC	237,569	$22M	1.2%	NEW
26	ELECTRONICS FOR IMAGING INC	573,059	$20M	1.1%	TRIM −3%
27	APDAIR PRODS & CHEMS INC	116,823	$20M	1.1%	ADD 39%
28	MSFTMICROSOFT CORP	160,394	$18M	1.0%	TRIM −43%
29	WMTWALMART INC	187,669	$18M	1.0%	NEW
30	CHKPCHECK POINT SOFTWARE TECH LT	149,752	$18M	1.0%	ADD 39%
31	ADSKAUTODESK INC	110,870	$17M	0.9%	TRIM −53%
32	SITESITEONE LANDSCAPE SUPPLY INC	222,759	$17M	0.9%	NEW
33	LVSLAS VEGAS SANDS CORP	282,837	$17M	0.9%	NEW
34	EVOQUA WATER TECHNOLOGIES CO	931,438	$17M	0.9%	ADD 2238%
35	WYNNWYNN RESORTS LTD	118,235	$15M	0.8%	TRIM −26%
36	GOOGALPHABET INC	12,553	$15M	0.8%	TRIM −37%
37	HIGHARTFORD INSURANCE GROUP INC	296,995	$15M	0.8%	TRIM −14%
38	MACQUARIE INFRASTRUCTURE COR	320,680	$15M	0.8%	HOLD
39	SWITCH INC	1,365,467	$15M	0.8%	NEW
40	AMZNAMAZON COM INC	7,238	$14M	0.8%	TRIM −34%
41	CZR	1,407,639	$14M	0.8%	NEW
42	HRIHERC HLDGS INC	275,121	$14M	0.8%	NEW
43	EXPEEXPEDIA GROUP INC	107,503	$14M	0.8%	ADD 12%
44	FFIVF5 INC	70,219	$14M	0.8%	TRIM −13%
45	BERRY GLOBAL GROUP I	285,730	$14M	0.7%	TRIM −60%
46	DKDELEK US HLDGS INC NEW	319,863	$14M	0.7%	ADD 75%
47	DELL TECHNOLOGIES INC CLASS CLASS C	133,046	$13M	0.7%	TRIM −71%
48	MARATHON OIL CORP	533,393	$12M	0.7%	NEW
49	ORCLORACLE CORP	235,472	$12M	0.7%	TRIM −62%
50	SEALED AIR CORP NEW	300,616	$12M	0.7%	NEW
51	CMPCOMPASS MINERALS INTL INC	179,113	$12M	0.6%	NEW
52	HALHALLIBURTON CO	295,344	$12M	0.6%	TRIM −39%
53	GDDYGODADDY INC	141,662	$12M	0.6%	TRIM −10%
54	AVGOBROADCOM INC	47,453	$12M	0.6%	NEW
55	CSTMCONSTELLIUM SE	942,173	$12M	0.6%	TRIM −3%
56	GRACE W R & CO DEL NEW	158,636	$11M	0.6%	ADD 34%
57	CITRIX SYS INC	98,599	$11M	0.6%	TRIM −23%
58	SABRSABRE CORP	417,231	$11M	0.6%	TRIM −13%
59	ALLERGAN PLC	55,000	$10M	0.6%	NEW
60	NUANCE COMMUNICATIONS INC	573,002	$10M	0.5%	TRIM −25%
61	BLKBLACKROCK INC	20,673	$10M	0.5%	NEW
62	GILDGILEAD SCIENCES INC	124,510	$10M	0.5%	TRIM −44%
63	NVTNVENT ELECTRIC PLC	349,201	$9M	0.5%	NEW
64	OPTUOPTIMUM COMMUNICATIONS INC	520,799	$9M	0.5%	NEW
65	ANDEAVOR	60,843	$9M	0.5%	TRIM −17%
66	SRPTSAREPTA THERAPEUTICS INC	56,071	$9M	0.5%	TRIM −45%
67	METAMETA PLATFORMS INC	52,084	$9M	0.5%	TRIM −29%
68	ABIOMED INC	18,215	$8M	0.4%	NEW
69	BYDBOYD GAMING CORP	241,760	$8M	0.4%	TRIM −5%
70	LIBERTY MEDIA CORP DEL	184,347	$8M	0.4%	NEW
71	CYRUSONE INC	126,324	$8M	0.4%	TRIM −44%
72	MTDMETTLER TOLEDO INTERNATIONAL	12,857	$8M	0.4%	NEW
73	ACTIVISION BLIZZARD INC	91,685	$8M	0.4%	NEW
74	VANTIV INC	72,569	$7M	0.4%	TRIM −29%
75	MSTRSTRATEGY INC	52,258	$7M	0.4%	TRIM −36%
76	XPOXPO INC	63,301	$7M	0.4%	TRIM −52%
77	TECH DATA CORP	100,851	$7M	0.4%	ADD 9%
78	NYTNEW YORK TIMES CO	309,607	$7M	0.4%	TRIM −10%
79	VVVVALVOLINE INC	329,086	$7M	0.4%	NEW
80	WELBILT INC	334,310	$7M	0.4%	NEW
81	CVSCVS HEALTH CORP	87,865	$7M	0.4%	NEW
82	ELVELEVANCE HEALTH INC FORMERLY	23,929	$7M	0.4%	NEW
83	CARSCARS COM INC	227,095	$6M	0.3%	TRIM −14%
84	LOGMEIN INC	70,130	$6M	0.3%	TRIM −42%
85	WRIGHT MED GROUP N V	211,793	$6M	0.3%	NEW
86	STERLING BANCORP DEL	262,134	$6M	0.3%	ADD 124%
87	CBTCABOT CORP	91,219	$6M	0.3%	ADD 823%
88	BRSLBRIGHTSTAR LOTTERY PLC	285,401	$6M	0.3%	TRIM −79%
89	KNXKNIGHT-SWIFT TRANSN HLDGS IN	158,583	$5M	0.3%	TRIM −49%
90	LLYELI LILLY & CO	50,000	$5M	0.3%	NEW
91	UNPUNION PAC CORP	32,500	$5M	0.3%	NEW
92	ELANELANCO ANIMAL HEALTH INC	150,142	$5M	0.3%	NEW
93	DOVDOVER CORP	57,500	$5M	0.3%	ADD 119%
94	IMPERVA INC	105,998	$5M	0.3%	TRIM −7%
95	OMFONEMAIN HLDGS INC	144,224	$5M	0.3%	ADD 22%
96	TMUST-MOBILE US INC	68,361	$5M	0.3%	NEW
97	CASHPATHWARD FINANCIAL INC	56,851	$5M	0.3%	ADD 22%
98	MRKMERCK & CO INC	63,235	$4M	0.2%	NEW
99	GCP APPLIED TECHNOLOGIES INC	165,906	$4M	0.2%	ADD 67%
100	NINENINE ENERGY SERVICE INC	134,564	$4M	0.2%	ADD 119%
101	FISFIDELITY NATL INFORMATION SV	33,905	$4M	0.2%	TRIM −47%
102	PIVOTAL SOFTWARE INC	188,131	$4M	0.2%	HOLD
103	LEGACY TEXAS FINANCIAL GROUP	83,939	$4M	0.2%	NEW
104	DOCUDOCUSIGN INC	67,940	$4M	0.2%	TRIM −52%
105	TGTTARGET CORP	39,539	$3M	0.2%	NEW
106	Intelsat	112,003	$3M	0.2%	NEW
107	ACORDA THERAPEUTICS INC.	169,176	$3M	0.2%	NEW
108	AQSTAQUESTIVE THERAPEUTICS INC	180,610	$3M	0.2%	NEW
109	SDRLSEADRILL LTD	110,855	$3M	0.1%	NEW
110	LIBERTY EXPEDIA HLDGS INC	54,901	$3M	0.1%	NEW
111	CPACOPA HOLDINGS SA	31,852	$3M	0.1%	ADD 36%
112	HDHOME DEPOT INC	12,202	$3M	0.1%	TRIM −70%
113	ORLYOREILLY AUTOMOTIVE INC	7,211	$3M	0.1%	NEW
114	PFGCPERFORMANCE FOOD GROUP CO	75,194	$3M	0.1%	NEW
115	ASPEN TECHNOLOGY INC	21,336	$2M	0.1%	TRIM −19%
116	AVAYA HLDGS CORP	109,341	$2M	0.1%	ADD 16%
117	VRTSVIRTUS INVT PARTNERS INC	21,148	$2M	0.1%	TRIM −7%
118	AMERICAN EQTY INVT LIFE HLD	67,532	$2M	0.1%	NEW
119	FOAMIX PHARMACEUTICALS LTD	409,841	$2M	0.1%	ADD 37%
120	PBFPBF ENERGY INC	46,750	$2M	0.1%	TRIM −10%
121	EXREXTRA SPACE STORAGE INC	26,836	$2M	0.1%	NEW
122	EPRTESSENTIAL PPTYS RLTY TR INC	162,767	$2M	0.1%	NEW
123	TXMDTHERAPEUTICSMD INC	351,415	$2M	0.1%	NEW
124	AMC ENTMT HLDGS INC	109,226	$2M	0.1%	NEW
125	BKUBANKUNITED INC	62,601	$2M	0.1%	NEW
126	Adverum Biotechnologies, Inc.	345,813	$2M	0.1%	NEW
127	LSTRLANDSTAR SYS INC	17,006	$2M	0.1%	ADD 97%
128	NWLNEWELL BRANDS INC	100,000	$2M	0.1%	NEW
129	MGPIMGP INGREDIENTS INC NEW	25,090	$2M	0.1%	NEW
130	MAGELLAN HEALTH INC	27,420	$2M	0.1%	NEW
131	PAGSPAGSEGURO DIGITAL LTD	70,062	$2M	0.1%	NEW
132	PUMPPROPETRO HLDG CORP	93,050	$2M	0.1%	NEW
133	BRIGHTSPHERE INVESTMENT GROUP	120,981	$1M	0.1%	NEW
134	NEXEO SOLUT-CW19	1,122,366	$1M	0.1%	TRIM −14%
135	PFEPFIZER INC	25,782	$1M	0.1%	NEW
136	WIXWIX COM LTD	9,018	$1M	0.1%	NEW
137	MOHMOLINA HEALTHCARE INC	7,214	$1M	0.1%	NEW
138	GRAFTECH INTL LTD	53,862	$1M	0.1%	NEW
139	TRINSEO S A	13,310	$1M	0.1%	TRIM −60%
140	INTUINTUIT	4,497	$1M	0.1%	NEW
141	MAMASTERCARD INCORPORATED	4,575	$1M	0.1%	TRIM −10%
142	HGVHILTON GRAND VACATIONS INC	30,082	$997,000	0.1%	NEW
143	UALUNITED AIRLS HLDGS INC	11,155	$993,000	0.1%	NEW
144	BBX CAP CORP NEW	133,059	$988,000	0.1%	TRIM −25%
145	MEDPMEDPACE HLDGS INC	16,266	$975,000	0.1%	NEW
146	Weight Watchers Intl	13,473	$969,000	0.1%	NEW
147	PACWEST BANCORP	19,595	$933,000	0.1%	NEW
148	CFRCULLEN FROST BANKERS INC	8,920	$931,000	0.1%	NEW
149	CMACOMERICA INC	10,138	$914,000	0.0%	NEW
150	KRKROGER CO	31,176	$908,000	0.0%	NEW
151	RCKTROCKET PHARMACEUTICALS INC	32,373	$797,000	0.0%	TRIM −79%
152	VERSARTIS INC	559,436	$783,000	0.0%	TRIM −3%
153	GEGENERAL ELECTRIC CO	55,168	$623,000	0.0%	NEW
154	REGULUS THERAPEUTICS INC	1,050,935	$207,000	0.0%	HOLD
155	CALITHERA BIOSCIENCES INC COM NEW	26,414	$138,000	0.0%	TRIM −88%

☆ASCEND CAPITAL, LLC