Catherine Avery Investment Management LLC

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CIK 2103454

13F portfolio (2026-Q1)

$223M

Positions

109

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. 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 (2026-Q1)

Holdings

109

Top 5

15.8%

Top 10

30.6%

Effective N

38.9

HHI

0.026

This quarter

1 new · 0 exit →

By sector

Information Technology20.8%

Financials14.0%

Industrials12.5%

Health Care11.2%

Consumer Discretionary10.8%

Utilities8.3%

Energy7.0%

Materials6.3%

Other9.1%

By market cap

Large ($10–200B)58.7%

Mega (>$200B)41.0%

Unknown0.3%

Small ($300M–2B)0.0%

By region

North America99.8%

Other0.2%

By industry group GICS — finer than sector

Industry group	Weight	Names
Banks	13.60%	6
Technology Hardware & Equipment	11.32%	6
Pharmaceuticals & Biotechnology	11.04%	7
Utilities	8.28%	6
Specialty Retail	8.13%	7
Oil, Gas & Consumable Fuels	7.04%	4
Software	4.07%	4
Machinery	3.96%	7
Aerospace & Defense	3.65%	5
Metals & Mining	3.06%	4
Diversified Telecommunication Services	3.04%	2
Semiconductors & Semiconductor Equipment	2.97%	4
Beverages	2.94%	1
Media & Entertainment	2.77%	3
Hotels, Restaurants & Leisure	2.67%	1
Road & Rail	2.50%	1
Paper & Forest Products	2.40%	2
Communications Equipment	2.38%	1
Construction & Engineering	2.27%	1
Chemicals	0.88%	5
Capital Markets	0.34%	5
Unclassified	0.24%	7
Health Care Equipment & Supplies	0.11%	1
Commercial Services & Supplies	0.10%	2
Software & IT Services	0.06%	4
Tobacco	0.06%	2
Electrical Equipment & Components	0.05%	2
Insurance	0.04%	4
Automobiles & Components	0.02%	2
Food Products	0.00%	2
Entertainment	0.00%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	CVX	CHEVRON CORP	Energy	3.25%
2	C	CITIGROUP INC	Financials	3.23%
3	CSCO	CISCO SYSTEMS, INC.	Information Technology	3.15%
4	IBM	INTERNATIONAL BUSINESS MACHINES CORP	Information Technology	3.09%
5	VZ	VERIZON COMMUNICATIONS INC	Communication Services	3.04%
6	FCX	FREEPORT-MCMORAN INC	Materials	3.00%
7	NEE	NEXTERA ENERGY INC	Utilities	2.97%
8	KO	COCA COLA CO	Consumer Staples	2.94%
9	OKE	ONEOK INC /NEW/	Utilities	2.94%
10	JPM	JPMORGAN CHASE & CO	Financials	2.93%

102/109 names classified · sector 99.8% of weight · industry 99.8% · mkt cap 99.7%; unclassified names shown, never dropped.

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

top 5/sector, rest → “Other” · 6 quarters

Information TechnologyIBM, AVGO, CSCO, ORCL, STX · other

IndustrialsRTX, LHX, BKR, JCI, CMI · other

FinancialsC, JPM, TFC, BAC, MS · other

Health CareBMY, MRK, PFE, AMGN, MDT · other

Consumer DiscretionaryMCD, BBY, TGT, HD, F · other

UtilitiesNEE, EVRG, OKE, ES, WMB · other

EnergyCVX, PSX, VLO, XOM, DVN · other

MaterialsFCX, LYB, PKG, CL, APD · other

Communication ServicesVZ, OMC, GOOGL, DIS, META · other

Consumer StaplesKO, CAG, PM, STZ, MO · other

Real Estate

UnclassifiedBIL, SUSA, RDVI, IWD, SCHD · 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: 99.8% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2026-Q1), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

holdings, colored by sector (100 classified)Catherine Avery Investment Management LLC centroid (Large Core)

Information TechnologyFinancialsIndustrialsHealth CareConsumer DiscretionaryUtilitiesEnergyMaterialsCommunication ServicesConsumer Staples

Style box summary for Catherine Avery Investment Management LLC: centroid Large Core. Heaviest cells: Large Value 34.4%, Large Core 25.7%, Mid Value 19.8%.

Classified: 99.7% of book weight (100/109 names) · unclassified 0.3%: SUSA, AGI, IWD, IHI, SPY, DVY, KGC, , DIA. 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· 109 positions (2026-Q1) · largest first · Δ vs 2025-Q4

#	Security	Shares	Value	Weight	Δ QoQ
1	CVXCHEVRON CORP NEW	35,128	$7M	3.3%	ADD 13%
2	CCITIGROUP INC	63,718	$7M	3.2%	ADD 29%
3	CSCOCISCO SYS INC	90,716	$7M	3.2%	ADD 32%
4	IBMINTERNATIONAL BUSINESS MACHS	28,509	$7M	3.1%	ADD 56%
5	VZVERIZON COMMUNICATIONS INC	135,143	$7M	3.0%	ADD 25%
6	FCXFREEPORT MCMORAN INC	114,221	$7M	3.0%	ADD 8%
7	NEENEXTERA ENERGY INC	71,507	$7M	3.0%	ADD 24%
8	KOCOCA COLA CO	86,378	$7M	2.9%	ADD 28%
9	OKEONEOK INC NEW	72,600	$7M	2.9%	ADD 26%
10	JPMJPMORGAN CHASE & CO	22,283	$7M	2.9%	ADD 36%
11	TGTTARGET CORP	53,413	$6M	2.9%	ADD 16%
12	MRKMERCK & CO INC	53,682	$6M	2.9%	ADD 19%
13	BMYBRISTOL-MYERS SQUIBB CO	104,863	$6M	2.8%	ADD 13%
14	LHXL3HARRIS TECHNOLOGIES INC	18,363	$6M	2.8%	ADD 16%
15	AVGOBROADCOM INC	20,383	$6M	2.8%	ADD 31%
16	ORCLORACLE CORP	42,568	$6M	2.8%	ADD 90%
17	OMCOMNICOM GROUP INC	82,023	$6M	2.8%	ADD 20253%
18	HPEHEWLETT PACKARD ENTERPRISE C	256,671	$6M	2.7%	ADD 49%
19	BBYBest Buy Company, Inc.	95,181	$6M	2.7%	ADD 73%
20	MCDMCDONALDS CORP	19,196	$6M	2.7%	ADD 34%
21	PFEPFIZER INC	205,820	$6M	2.6%	ADD 35%
22	PSXPHILLIPS 66	30,991	$6M	2.5%	ADD 33%
23	UPSUNITED PARCEL SERVICE INC	56,869	$6M	2.5%	ADD 33%
24	AMGNAMGEN INC	15,875	$6M	2.5%	ADD 27%
25	BACBANK AMERICA CORP	114,498	$6M	2.5%	ADD 47%
26	SWKSTANLEY BLACK & DECKER INC	78,248	$6M	2.5%	ADD 31%
27	HDHOME DEPOT INC	16,760	$6M	2.5%	ADD 73%
28	TFCTRUIST FINL CORP	119,423	$5M	2.5%	ADD 44%
29	KEYKEYCORP	268,094	$5M	2.4%	ADD 40%
30	PKGPACKAGING CORP AMER	25,223	$5M	2.4%	ADD 57%
31	QCOMQUALCOMM INC	41,372	$5M	2.4%	ADD 65%
32	LENLENNAR CORP	58,503	$5M	2.3%	ADD 85%
33	STXSEAGATE TECHNOLOGY HLDNGS PL	12,625	$5M	2.2%	TRIM −4%
34	ESEVERSOURCE ENERGY	55,000	$4M	1.7%	NEW
35	MSFTMICROSOFT CORP	7,019	$3M	1.2%	HOLD
36	VLOVALERO ENERGY CORP	7,497	$2M	0.8%	TRIM −4%
37	RTXRTX CORPORATION	8,821	$2M	0.8%	TRIM −70%
38	CLCOLGATE PALMOLIVE CO	17,012	$1M	0.6%	HOLD
39	CMICUMMINS INC	2,307	$1M	0.6%	TRIM −7%
40	JCIJOHNSON CONTROLS INTERNATION	8,872	$1M	0.5%	TRIM −16%
41	EVRGEVERGY INC	14,148	$1M	0.5%	TRIM −7%
42	XOMEXXON MOBIL CORP	5,633	$955,695	0.4%	HOLD
43	BKRBAKER HUGHES COMPANY	13,161	$803,479	0.4%	TRIM −87%
44	MSMORGAN STANLEY	3,880	$638,532	0.3%	TRIM −7%
45	APDAIR PRODS & CHEMS INC	1,686	$489,786	0.2%	ADD 35%
46	JNJJOHNSON & JOHNSON	1,434	$350,527	0.2%	TRIM −7%
47	SUSAISHARES TR	2,493	$329,325	0.1%	HOLD
48	AAPLAPPLE INC	1,100	$279,169	0.1%	TRIM −27%
49	MDTMEDTRONIC PLC	2,925	$253,451	0.1%	TRIM −4%
50	WMBWILLIAMS COS INC	3,400	$247,452	0.1%	HOLD
51	NVDANVIDIA CORPORATION	1,235	$215,384	0.1%	TRIM −13%
52	WMWASTE MGMT INC DEL	700	$160,853	0.1%	HOLD
53	AXPAMERICAN EXPRESS CO	500	$151,240	0.1%	TRIM −9%
54	INTUINTUIT	300	$129,714	0.1%	HOLD
55	ABTABBOTT LABS	1,120	$114,990	0.1%	HOLD
56	PLTRPALANTIR TECHNOLOGIES INC	770	$112,636	0.1%	TRIM −7%
57	EMREMERSON ELEC CO	755	$98,920	0.0%	HOLD
58	GOOGLALPHABET INC	334	$96,045	0.0%	TRIM −49%
59	MUMICRON TECHNOLOGY INC	282	$95,203	0.0%	HOLD
60	LMTLOCKHEED MARTIN CORP	155	$93,694	0.0%	TRIM −5%
61	BENFRANKLIN RESOURCES INC	3,844	$90,795	0.0%	TRIM −13%
62	AWKAMERICAN WTR WKS CO INC NEW	660	$89,819	0.0%	HOLD
63	AGIALAMOS GOLD INC NEW	1,902	$84,506	0.0%	HOLD
64	IWDISHARES TR	370	$79,058	0.0%	TRIM −38%
65	CINFCINCINNATI FINL CORP	500	$78,675	0.0%	HOLD
66	CATCATERPILLAR INC	98	$69,429	0.0%	TRIM −36%
67	MOALTRIA GROUP INC	1,000	$65,990	0.0%	ADD 488%
68	PMPHILIP MORRIS INTL INC	385	$63,675	0.0%	HOLD
69	VVISA INC	197	$59,541	0.0%	TRIM −3%
70	IHIISHARES TR	1,112	$59,325	0.0%	HOLD
71	SPYSTATE STR SPDR S&P 500 ETF T	49	$31,867	0.0%	ADD 345%
72	FFORD MTR CO	2,691	$31,054	0.0%	TRIM −20%
73	NEMNEWMONT CORP	274	$29,667	0.0%	HOLD
74	LOWLOWES COS INC	112	$26,463	0.0%	HOLD
75	ABBVABBVIE INC	116	$25,258	0.0%	TRIM −26%
76	METAMETA PLATFORMS INC	43	$24,602	0.0%	ADD 2%
77	BLKBLACKROCK INC	25	$24,043	0.0%	HOLD
78	DVYISHARES TR	149	$22,560	0.0%	HOLD
79	COSTCOSTCO WHSL CORP NEW	20	$19,929	0.0%	HOLD
80	NFLXNETFLIX INC	200	$19,230	0.0%	TRIM −13%
81	PGPROCTER AND GAMBLE CO	109	$15,744	0.0%	HOLD
82	GMGENERAL MTRS CO	200	$14,900	0.0%	TRIM −20%
83	AMZNAMAZON COM INC	65	$13,538	0.0%	TRIM −27%
84	WMTWALMART INC	82	$10,191	0.0%	HOLD
85	ADPAUTOMATIC DATA PROCESSING IN	50	$10,159	0.0%	HOLD
86	MDLZMONDELEZ INTL INC	170	$9,816	0.0%	HOLD
87	NDAQNASDAQ INC	112	$9,508	0.0%	HOLD
88	DOVDOVER CORP	45	$9,380	0.0%	HOLD
89	KGCKINROSS GOLD CORP	300	$9,156	0.0%	HOLD
90	GEVGE VERNOVA INC	10	$8,742	0.0%	HOLD
91	NOCNORTHROP GRUMMAN CORP	12	$8,187	0.0%	HOLD
92	INTCINTEL CORP	181	$7,988	0.0%	HOLD
93	PRUPRUDENTIAL FINL INC	80	$7,815	0.0%	HOLD
94	DISDISNEY WALT CO	72	$6,939	0.0%	TRIM −66%
95	HONHONEYWELL INTL INC	29	$6,555	0.0%	HOLD
96	TMOTHERMO FISHER SCIENTIFIC INC	12	$5,898	0.0%	HOLD
97	CITHE CIGNA GROUP	22	$5,869	0.0%	HOLD
98	WELLS FARGO CO NEW	5	$5,775	0.0%	HOLD
99	ICEINTERCONTINENTAL EXCHANGE IN	35	$5,505	0.0%	TRIM −77%
100	UNHUNITEDHEALTH GROUP INC	13	$3,518	0.0%	HOLD
101	CMCSACOMCAST CORP NEW	115	$3,302	0.0%	HOLD
102	TAT&T INC	86	$2,501	0.0%	HOLD
103	DIASPDR DOW JONES INDL AVERAGE	3	$1,390	0.0%	HOLD
104	CFCF INDS HLDGS INC	10	$1,298	0.0%	TRIM −84%
105	KMBKIMBERLY-CLARK CORP	12	$1,158	0.0%	HOLD
106	GISGENERAL MILLS INC	31	$1,154	0.0%	HOLD
107	CARRCARRIER GLOBAL CORPORATION	13	$732	0.0%	HOLD
108	NKENIKE INC	10	$528	0.0%	HOLD
109	DXCDXC TECHNOLOGY CO	16	$201	0.0%	HOLD

Position trends· top 15 holdings · shares held over 6 quarters

green added · red trimmed

Security

2024-Q4

2025-Q1

2025-Q2

2025-Q3

2025-Q4

2026-Q1

Latest value

CVXCHEVRON CORP NEW

24K

22K

25K

30K

31K

35K

$7M

CCITIGROUP INC

100K

47K

52K

49K

64K

$7M

CSCOCISCO SYS INC

125K

60K

61K

68K

69K

91K

$7M

IBMINTERNATIONAL BUSINESS MACHS

38K

18K

16K

20K

18K

29K

$7M

VZVERIZON COMMUNICATIONS INC

134K

73K

77K

99K

108K

135K

$7M

FCXFREEPORT MCMORAN INC

—

89K

88K

106K

114K

$7M

NEENEXTERA ENERGY INC

81K

54K

52K

58K

72K

$7M

KOCOCA COLA CO

93K

53K

67K

86K

$7M

OKEONEOK INC NEW

200

100

269

59K

58K

73K

$7M

JPMJPMORGAN CHASE & CO

29K

16K

15K

17K

16K

22K

$7M

TGTTARGET CORP

31K

46K

53K

$6M

MRKMERCK & CO INC

58K

36K

42K

50K

45K

54K

$6M

BMYBRISTOL-MYERS SQUIBB CO

123K

66K

75K

93K

105K

$6M

LHXL3HARRIS TECHNOLOGIES INC

26K

14K

15K

16K

18K

$6M

AVGOBROADCOM INC

42K

15K

17K

16K

20K

$6M

Shares reported each quarter by the largest current holdings. Green = added vs the prior filing of that name, red = trimmed, grey = roughly held; a dash is a quarter with no 13F on file (a gap is skipped, not read as an exit). 13F is filed up to 45 days after quarter-end. Up to 40 quarters (10 years) available — use the selector above.

☆Catherine Avery Investment Management LLC