NEW VERNON INVESTMENT MANAGEMENT LLC Diversified Active

CIK: 0001500605 · Show all filings

Period: Q3 2014 (← Previous) (Next →)

Filing Date: Nov 5, 2014

Total Value ($000): $122,673 (100.0% shares, 0.0% debt)

Holdings (44)

— INVESCO MUN TR 5.2%

Value ($000) $6,325 Shares 504,000 Est. Cost $11.84 Unrealized —

— INVESCO MUN OPPORTUNITY TR 5.1%

Value ($000) $6,215 Shares 496,000 Est. Cost $12.16 Unrealized —

— BLACKROCK INCOME OPP TRUST I 4.9%

Value ($000) $6,059 Shares 584,825 Est. Cost $10.33 Unrealized —

NXPI NXP SEMICONDUCTORS N V 4.5%

Value ($000) $5,509 Shares 80,500 Est. Cost $53.63 Unrealized +10.2%

DAL DELTA AIR LINES INC DEL 4.5%

Value ($000) $5,459 Shares 151,000 Est. Cost $31.08 Unrealized +7.4%

DXJ WISDOMTREE TR 4.2%

Value ($000) $5,146 Shares 98,350 Est. Cost $52.32 Unrealized —

DCH AMERICAN AXLE & MFG HLDGS IN 4.0%

Value ($000) $4,855 Shares 289,500 Est. Cost $16.82 Unrealized +9.3%

— BLACKSTONE GROUP L P 3.8%

Value ($000) $4,722 Shares 150,000 Est. Cost $21.06 Unrealized —

UAL UNITED CONTL HLDGS INC 3.8%

Value ($000) $4,695 Shares 100,350 Est. Cost $35.03 Unrealized +32.5%

CVX CHEVRON CORP NEW 3.7%

Value ($000) $4,492 Shares 37,650 Est. Cost $75.91 Unrealized +3.4%

SU SUNCOR ENERGY INC NEW 3.6%

Value ($000) $4,439 Shares 122,800 Est. Cost $26.00 Unrealized +3.6%

AAPL APPLE INC 3.3%

Value ($000) $4,085 Shares 40,550 Est. Cost $20.24 Unrealized +6.8%

— INVESCO TR INVT GRADE MUNS 3.2%

Value ($000) $3,933 Shares 300,000 Est. Cost $12.80 Unrealized —

LUV SOUTHWEST AIRLS CO 3.1%

Value ($000) $3,748 Shares 111,000 Est. Cost $26.90 Unrealized 0.0%

— SPIRIT AIRLS INC 2.7%

Value ($000) $3,251 Shares 47,015 Est. Cost $69.15 Unrealized —

WNC WABASH NATL CORP 2.6%

Value ($000) $3,250 Shares 244,000 Est. Cost $11.11 Unrealized +3.3%

AFG AMERICAN FINL GROUP INC OHIO 2.6%

Value ($000) $3,218 Shares 55,580 Est. Cost $21.06 Unrealized +25.9%

ARCC ARES CAP CORP 2.5%

Value ($000) $3,127 Shares 193,500 Est. Cost $5.53 Unrealized +2.8%

— APOLLO INVT CORP 2.5%

Value ($000) $3,033 Shares 371,232 Est. Cost $8.09 Unrealized —

— XL GROUP PLC 2.4%

Value ($000) $3,005 Shares 90,600 Est. Cost $30.32 Unrealized —

— APOLLO GLOBAL MGMT LLC 2.4%

Value ($000) $2,980 Shares 125,000 Est. Cost $26.80 Unrealized —

— FIFTH STREET FINANCE CORP 2.4%

Value ($000) $2,919 Shares 318,000 Est. Cost $9.73 Unrealized —

AAL AMERICAN AIRLS GROUP INC 2.1%

Value ($000) $2,555 Shares 72,000 Est. Cost $37.15 Unrealized 0.0%

HIG HARTFORD FINL SVCS GROUP INC 1.9%

Value ($000) $2,282 Shares 61,250 Est. Cost $22.20 Unrealized +28.2%

JBLU JETBLUE AIRWAYS CORP 1.8%

Value ($000) $2,261 Shares 212,900 Est. Cost $11.42 Unrealized 0.0%

THG HANOVER INS GROUP INC 1.8%

Value ($000) $2,234 Shares 36,370 Est. Cost $34.64 Unrealized +30.4%

LEA LEAR CORP 1.8%

Value ($000) $2,160 Shares 25,000 Est. Cost $63.87 Unrealized +24.2%

— ALLIED WRLD ASSUR COM HLDG A 1.7%

Value ($000) $2,077 Shares 56,383 Est. Cost $49.87 Unrealized —

— NUVEEN SELECT QUALITY MUN FD 1.7%

Value ($000) $2,051 Shares 150,000 Est. Cost $13.24 Unrealized —

— FS INVT CORP 1.4%

Value ($000) $1,691 Shares 157,000 Est. Cost $10.65 Unrealized —

— PLATINUM UNDERWRITER HLDGS L 1.3%

Value ($000) $1,583 Shares 26,000 Est. Cost $58.05 Unrealized —

DFJ WISDOMTREE TR 1.3%

Value ($000) $1,544 Shares 30,000 Est. Cost $51.47 Unrealized —

— NAVIGATORS GROUP INC 1.0%

Value ($000) $1,230 Shares 20,000 Est. Cost $63.15 Unrealized —

— WHITEWAVE FOODS CO 0.8%

Value ($000) $1,019 Shares 28,050 Est. Cost $36.33 Unrealized —

— ALCENTRA CAP CORP 0.7%

Value ($000) $854 Shares 64,284 Est. Cost $14.86 Unrealized —

— TEAM HEALTH HOLDINGS INC 0.6%

Value ($000) $748 Shares 12,900 Est. Cost $57.98 Unrealized —

BIDU BAIDU INC 0.6%

Value ($000) $720 Shares 3,300 Est. Cost $192.40 Unrealized —

— ARCH COAL INC 0.5%

Value ($000) $572 Shares 270,000 Est. Cost — Unrealized —

WFC WELLS FARGO & CO NEW 0.4%

Value ($000) $519 Shares 10,000 Est. Cost $36.31 Unrealized +3.0%

UNP UNION PAC CORP 0.4%

Value ($000) $510 Shares 4,700 Est. Cost $74.77 Unrealized +7.4%

CMCSA COMCAST CORP NEW 0.4%

Value ($000) $495 Shares 9,200 Est. Cost $21.17 Unrealized 0.0%

— LAZARD LTD 0.4%

Value ($000) $456 Shares 9,000 Est. Cost $51.55 Unrealized —

HRTG HERITAGE INS HLDGS INC 0.3%

Value ($000) $413 Shares 27,395 Est. Cost $13.83 Unrealized +6.5%

— MEADOWBROOK INS GROUP INC 0.2%

Value ($000) $234 Shares 40,000 Est. Cost $6.50 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	INVESCO MUN TR	504,000	$6,325	5.2%	$11.84	—	COM	46131J103
—	INVESCO MUN OPPORTUNITY TR	496,000	$6,215	5.1%	$12.16	—	COM	46132C107
—	BLACKROCK INCOME OPP TRUST I	584,825	$6,059	4.9%	$10.33	—	COM	092475102
NXPI	NXP SEMICONDUCTORS N V	80,500	$5,509	4.5%	$53.63	+10.2%	COM	N6596X109
DAL	DELTA AIR LINES INC DEL	151,000	$5,459	4.5%	$31.08	+7.4%	COM NEW	247361702
DXJ	WISDOMTREE TR	98,350	$5,146	4.2%	$52.32	—	JAPN HEDGE EQT	97717W851
DCH	AMERICAN AXLE & MFG HLDGS IN	289,500	$4,855	4.0%	$16.82	+9.3%	COM	024061103
—	BLACKSTONE GROUP L P	150,000	$4,722	3.8%	$21.06	—	COM UNIT LTD	09253U108
UAL	UNITED CONTL HLDGS INC	100,350	$4,695	3.8%	$35.03	+32.5%	COM	910047109
CVX	CHEVRON CORP NEW	37,650	$4,492	3.7%	$75.91	+3.4%	COM	166764100
SU	SUNCOR ENERGY INC NEW	122,800	$4,439	3.6%	$26.00	+3.6%	COM	867224107
AAPL	APPLE INC	40,550	$4,085	3.3%	$20.24	+6.8%	COM	037833100
—	INVESCO TR INVT GRADE MUNS	300,000	$3,933	3.2%	$12.80	—	COM	46131M106
LUV	SOUTHWEST AIRLS CO	111,000	$3,748	3.1%	$26.90	0.0%	COM	844741108
—	SPIRIT AIRLS INC	47,015	$3,251	2.7%	$69.15	—	COM	848577102
WNC	WABASH NATL CORP	244,000	$3,250	2.6%	$11.11	+3.3%	COM	929566107
AFG	AMERICAN FINL GROUP INC OHIO	55,580	$3,218	2.6%	$21.06	+25.9%	COM	025932104
ARCC	ARES CAP CORP	193,500	$3,127	2.5%	$5.53	+2.8%	COM	04010L103
—	APOLLO INVT CORP	371,232	$3,033	2.5%	$8.09	—	COM	03761U106
—	XL GROUP PLC	90,600	$3,005	2.4%	$30.32	—	SHS	G98290102
—	APOLLO GLOBAL MGMT LLC	125,000	$2,980	2.4%	$26.80	—	CL A SHS	037612306
—	FIFTH STREET FINANCE CORP	318,000	$2,919	2.4%	$9.73	—	COM	31678A103
AAL	AMERICAN AIRLS GROUP INC	72,000	$2,555	2.1%	$37.15	0.0%	COM	02376R102
HIG	HARTFORD FINL SVCS GROUP INC	61,250	$2,282	1.9%	$22.20	+28.2%	COM	416515104
JBLU	JETBLUE AIRWAYS CORP	212,900	$2,261	1.8%	$11.42	0.0%	COM	477143101
THG	HANOVER INS GROUP INC	36,370	$2,234	1.8%	$34.64	+30.4%	COM	410867105
LEA	LEAR CORP	25,000	$2,160	1.8%	$63.87	+24.2%	COM NEW	521865204
—	ALLIED WRLD ASSUR COM HLDG A	56,383	$2,077	1.7%	$49.87	—	SHS	H01531104
—	NUVEEN SELECT QUALITY MUN FD	150,000	$2,051	1.7%	$13.24	—	COM	670973106
—	FS INVT CORP	157,000	$1,691	1.4%	$10.65	—	COM	302635107
—	PLATINUM UNDERWRITER HLDGS L	26,000	$1,583	1.3%	$58.05	—	COM	G7127P100
DFJ	WISDOMTREE TR	30,000	$1,544	1.3%	$51.47	—	JP SMALLCP DIV	97717W836
—	NAVIGATORS GROUP INC	20,000	$1,230	1.0%	$63.15	—	COM	638904102
—	WHITEWAVE FOODS CO	28,050	$1,019	0.8%	$36.33	—	COM	966244105
—	ALCENTRA CAP CORP	64,284	$854	0.7%	$14.86	—	COM	01374T102
—	TEAM HEALTH HOLDINGS INC	12,900	$748	0.6%	$57.98	—	COM	87817A107
BIDU	BAIDU INC	3,300	$720	0.6%	$192.40	—	SPON ADR REP A	056752108
—	ARCH COAL INC	270,000	$572	0.5%	—	—	Call	039380100
WFC	WELLS FARGO & CO NEW	10,000	$519	0.4%	$36.31	+3.0%	COM	949746101
UNP	UNION PAC CORP	4,700	$510	0.4%	$74.77	+7.4%	COM	907818108
CMCSA	COMCAST CORP NEW	9,200	$495	0.4%	$21.17	0.0%	CL A	20030N101
—	LAZARD LTD	9,000	$456	0.4%	$51.55	—	SHS A	G54050102
HRTG	HERITAGE INS HLDGS INC	27,395	$413	0.3%	$13.83	+6.5%	COM	42727J102
—	MEADOWBROOK INS GROUP INC	40,000	$234	0.2%	$6.50	—	COM	58319P108