SEC 13F Intelligence

Managers / Q3 2021 · view latest →

Fernwood Investment Management, LLC

CIK 0001570296 · 400 CROWN COLONY, SUITE 101, QUINCY, MA, 02169 · 617-376-4750

Reported Value
$291M
Q3 2021
Positions
198
Filings on Record
25
2019–present window
Filed
Oct 28, 2021
original filing

Summary

Fernwood Investment Management, LLC reported $291M in U.S.-listed holdings across 198 positions for Q3 2021.

Its largest position, MDB, represents 3.8% of the portfolio.

Compared with Q2 2021, the fund opened 9 new positions and exited 10.

Portfolio Metrics

Turnover
+4.3%
vs prior filed quarter
Top-10 Concentration
+27.6%
share of reported value
Largest Position
+3.8%
Mongodb
New / Exited
9 / 10
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q4 ’18: $155MQ4 ’18Q1 ’19: $187MQ2 ’19: $183MQ3 ’19: $202MQ4 ’19: $209MQ4 ’19Q1 ’20: $157MQ2 ’20: $202MQ3 ’20: $212MQ4 ’20: $254MQ4 ’20Q1 ’21: $272MQ2 ’21: $302MQ3 ’21: $291MQ4 ’21: $306MQ4 ’21Q1 ’22: $285MQ2 ’22: $232MQ3 ’22: $237MQ4 ’22: $242MQ4 ’22Q1 ’23: $261MQ2 ’23: $282MQ3 ’23: $278MQ4 ’23: $303MQ4 ’23Q1 ’24: $343MQ2 ’24: $322MQ3 ’24: $307MQ4 ’24: $288MQ4 ’24filingsflow.com

Portfolio Composition

By security type
Common Stock: 71.1%ETP: 26.3%REIT: 1.5%ADR: 0.6%Other: 0.4%Closed-End Fund: 0.1%
  • Common Stock · 71.1% · $207M
  • ETP · 26.3% · $77M
  • REIT · 1.5% · $4M
  • ADR · 0.6% · $2M
  • Other · 0.4% · $1M
  • Closed-End Fund · 0.1% · $164,000

Quarter-over-Quarter Changes full breakdown →

vs Q2 2021 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
CWBSPDR BLOOMBERG CONVERTIBLE SECURITIES ETFNEW+7.9K7.9K+$673,000$673,000
CYTKCYTOKINETICS INC COM NEWNEW+10.0K10.0K+$357,000$357,000
PLTRPALANTIR TECHNOLOGIES INC CL ANEW+12.4K12.4K+$298,000$298,000
IEFISHARES 7-10 YEAR TREASURY BOND ETFNEW+2.4K2.4K+$272,000$272,000
SRLNSPDR BLACKSTONE SENIOR LOAN ETFNEW+5.7K5.7K+$262,000$262,000
ARESARES MGMT L PNEW+2.8K2.8K+$207,000$207,000
TSLATESLA MOTORS INCNEW+259259+$201,000$201,000
OTISOTIS WORLDWIDE CORP COMNEW+2.4K2.4K+$200,000$200,000

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q3 2021

197 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1MDBMONGODB INC CL Ahistory →Stock3.76%$11M23.2K
2TPLTEXAS PACIFIC LAND CORPORATION COMhistory →Stock3.25%$9M7.8K
3IVVISHARES S&P 500 INDEXhistory →ETF3.22%$9M21.8K
4AAPLAPPLE INChistory →Stock3.18%$9M65.4K
5MGKVANGUARD MEGA CAP GROWTH ETFhistory →ETF2.64%$8M32.8K
6METAFACEBOOK INC CL Ahistory →Stock2.58%$8M22.2K
7BBIOBRIDGEBIO PHARMA INC COMhistory →Stock2.54%$7M157.9K
8AMZNAMAZON.COM INChistory →Stock2.50%$7M2.2K
9RLAYRELAY THERAPEUTICS INC COMhistory →Stock2.00%$6M185.1K
10GOOGLALPHABET INC CLASS Ahistory →Stock1.89%$6M2.1K
11GLOBAL BLOOD THERAPEUTICS INC COMStock1.87%$5M213.1K
12ARCCARES CAPITAL CORP COMhistory →CEF1.81%$5M259.8K
13IYKISHARES DOW JONES US CONSUMER GOODShistory →ETF1.77%$5M28.7K
14CVSCVS HEALTH CORP COMhistory →Stock1.62%$5M55.6K
15MSCIMSCI INC COMhistory →Stock1.45%$4M6.9K
16IWMISHARES RUSSELL 2000 ETFhistory →ETF1.16%$3M15.4K
17DAYCERIDIAN HCM HLDG INC COMhistory →Stock1.15%$3M29.8K
18DGROISHARES CORE DIVIDEND GROWTH ETFhistory →ETF1.15%$3M66.5K
19MOALTRIA GROUP INC COMhistory →Stock1.14%$3M73.2K
20LLYLILLY ELI & CO COMhistory →Stock1.13%$3M14.2K
21JNJJOHNSON & JOHNSON COMhistory →Stock1.13%$3M20.3K
22MRVLMARVELL TECHNOLOGY INC COMhistory →Stock1.12%$3M54.1K
23VVISA INChistory →Stock1.09%$3M14.3K
24IJHISHARES S&P MIDCAP FUNDhistory →ETF1.06%$3M11.7K
25PMPHILIP MORRIS INTL INChistory →Stock1.05%$3M32.2K
26IWBISHARES RUSSELL 1000 ETFhistory →ETF1.04%$3M12.6K
27UNPUNION PAC CORP COMStock1.00%$3M14.8K
28GOOGALPHABET INC CAP STK CL CStock0.99%$3M1.1K
29PLRXPLIANT THERAPEUTICS INCStock0.97%$3M166.4K
30EMQQ THE EMERGING MARKETS INTERNET AND ECOMMERCE ETFETF0.96%$3M56.2K
31MDTMEDTRONIC PLC SHSStock0.92%$3M21.4K
32AXONAXON ENTERPRISE INC COMStock0.86%$2M14.3K
33PTONPELOTON INTERACTIVE INC CL A COMStock0.85%$2M28.4K
34IRDMIRIDIUM COMMUNICATIONS INC COMStock0.84%$2M61.4K
35CMGCHIPOTLE MEXICAN GRILL INC COMStock0.81%$2M1.3K
36YUMCYUM CHINA HLDGS INC COMStock0.79%$2M39.4K
37GILDGILEAD SCIENCES INCStock0.78%$2M32.5K
38DISDISNEY WALT CO COMStock0.77%$2M13.3K
39DVYISHARES DJ SELECT DIVIDENDETF0.75%$2M19.1K
40BRK/ABERKSHIRE HATHAWAY INC DEL CL AStock0.72%$2M3.2K
41MSFTMICROSOFTStock0.72%$2M7.4K
42PYPLPAYPAL HLDGS INC COMStock0.70%$2M7.9K
43SWKSSKYWORKS SOLUTIONS INC COMStock0.65%$2M11.6K
44SBACSBA COMMUNICATIONS CPREIT0.65%$2M5.7K
45CLOUGLOBAL X CLOUD COMPUTING ETFETF0.62%$2M62.0K
46EMLPFIRST TRUST NORTH AMERICAN ENERGY INFRASTRUCTURE FUNDETF0.62%$2M76.5K
47FPXFIRST TRUST US EQUITY OPPORTUNITIES ETFETF0.62%$2M14.7K
48STZCONSTELLATION BRANDS INC CL AStock0.61%$2M8.4K
49OLEDUNIVERSAL DISPLAY CORPStock0.59%$2M10.1K
50CRWDCROWDSTRIKE HLDGS INC CL AStock0.57%$2M6.8K
51ABBVABBVIE INC COMStock0.56%$2M15.2K
52SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETFETF0.56%$2M30.6K
53XLRNACCELERON PHARMA INC COMStock0.56%$2M9.4K
54XLVHEALTH CARE SELECT SECTOR SPDRETF0.55%$2M12.5K
55ACNACCENTURE PLC IRELAND SHS CLASS AStock0.54%$2M4.9K
56CORAMERISOURCEBERGEN CORP COMStock0.53%$2M13.0K
57SPYGSPDR PORTFOLIO S&P 500 GROWTH ETFETF0.52%$2M23.5K
58BIIBBIOGEN IDEC INCStock0.51%$1M5.2K
59NEONEOGENOMICS INC COM NEWStock0.50%$1M30.3K
60NVDANVIDIA CORPORATION COMStock0.47%$1M6.6K
61YUMYUM BRANDS INC COMStock0.47%$1M11.2K
62ILMNILLUMINA INCStock0.47%$1M3.4K
63MCDMCDONALDS CORP COMStock0.46%$1M5.6K
64PSXPHILLIPS 66Stock0.46%$1M19.1K
65PFEPFIZER INC COMStock0.46%$1M31.1K
66VTYVERINT SYS INC COMStock0.46%$1M29.6K
67COUPA SOFTWARE INC COMStock0.46%$1M6.0K
68SPHRMADISON SQUARE GRDN ENTERTNMNT CL AStock0.45%$1M17.9K
69MSGSMADISON SQUARE GRDN SPRT CORP CL AStock0.44%$1M6.8K
70SL GREEN RLTY CORP COMREIT0.43%$1M17.7K
71GSIEGOLDMAN SACHS ACTIVEBETA INTERNATIONAL EQUITY ETFETF0.43%$1M36.5K
72GLNGGOLAR LNG LTD SHS ISIN BMG9456A1009Stock0.43%$1M95.5K
73FLRNSPDR BLOOMBERG INVESTMENT GRADE FLOATING RATE ETFETF0.42%$1M40.0K
74ORLYO REILLY AUTOMOTIVE INCStock0.42%$1M2.0K
75EXMOCEXXON MOBIL CORP COMStock0.42%$1M20.5K
76BSXBOSTON SCIENTIFIC CORPStock0.41%$1M27.3K
77BABAALIBABA GROUP HLDG LTD SPONSORED ADSADR0.39%$1M7.7K
78CBOECBOE GLOBAL MKTS INC COMStock0.38%$1M8.9K
79SAFTSAFETY INSURANCE GROUP INStock0.38%$1M13.9K
80TWLOTWILIO INC CL AStock0.37%$1M3.4K
81UPSUNITED PARCEL SERVICE INC CL BStock0.36%$1M5.8K
82COPCONOCOPHILLIPS COMStock0.36%$1M15.4K
83DHRDANAHER CORPStock0.35%$1M3.3K
84LDURPIMCO ENHANCED LOW DURATION ACTIVE EXCHANGE-TRADED FUNDETF0.35%$1M10.0K
85AALAMERICAN AIRLS GROUP INC COMStock0.35%$1M49.6K
86SPDR PORTFOLIO S&P 500 VALUE ETFETF0.33%$964,00024.7K
87PSKSPDR ICE PREFERRED SECURITIES ETFETF0.33%$962,00022.1K
88THRMGENTHERM INC COMStock0.33%$946,00011.7K
89SUSAISHARES MSCI USA ESG SELECT ETFETF0.32%$934,0009.7K
90SHVISHARES SHORT TREASURY BOND ETFETF0.32%$917,0008.3K
91HDHOME DEPOTStock0.31%$906,0002.8K
92WYWEYERHAEUSER CO MTN BE COM NEWREIT0.31%$891,00025.0K
93VNQVANGUARD REAL ESTATE ETFETF0.30%$886,0008.7K
94QUALISHARES MSCI USA QUALITY FACTOR ETFETF0.30%$886,0006.7K
95IMMUNOGEN INC COMStock0.29%$858,000151.3K
96MKCMCCORMICK & CO INC COM NON VTGStock0.29%$849,00010.5K
97WATWATERS CPStock0.29%$849,0002.4K
98XLKTECHNOLOGY SELECT SECTOR SPDRETF0.28%$821,0005.5K
99IBBISHARES BIOTECHNOLOGY FUNDETF0.28%$821,0005.1K
100TRUPTRUPANION INC COMStock0.27%$788,00010.2K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q4 2024$288M165Feb 13, 202513F-HRchanges · EDGAR ↗
Q3 2024$307M189Oct 29, 202413F-HRchanges · EDGAR ↗
Q2 2024$322M198Jul 31, 202413F-HRchanges · EDGAR ↗
Q1 2024$343M720May 13, 202413F-HRchanges · EDGAR ↗
Q4 2023$303M194Feb 5, 202413F-HRchanges · EDGAR ↗
Q3 2023$278M190Nov 8, 202313F-HRchanges · EDGAR ↗
Q2 2023$282M191Aug 9, 202313F-HRchanges · EDGAR ↗
Q1 2023$261M184May 1, 202313F-HRchanges · EDGAR ↗
Q4 2022$242M182Feb 7, 202313F-HRchanges · EDGAR ↗
Q3 2022$237M185Nov 9, 202213F-HRchanges · EDGAR ↗
Q2 2022$232M183Aug 11, 202213F-HRchanges · EDGAR ↗
Q1 2022$285M200May 3, 202213F-HRchanges · EDGAR ↗
Q4 2021$306M211Feb 9, 202213F-HRchanges · EDGAR ↗
Q3 2021$291M198Oct 28, 202113F-HRchanges · EDGAR ↗
Q2 2021$302M199Aug 5, 202113F-HRchanges · EDGAR ↗
Q1 2021$272M190May 6, 202113F-HRchanges · EDGAR ↗
Q4 2020$254M183Feb 16, 202113F-HRchanges · EDGAR ↗
Q3 2020$212M163Nov 3, 202013F-HRchanges · EDGAR ↗
Q2 2020$202M166Aug 6, 202013F-HRchanges · EDGAR ↗
Q1 2020$157M146Apr 30, 202013F-HRchanges · EDGAR ↗
Q4 2019$209M159Feb 10, 202013F-HRchanges · EDGAR ↗
Q3 2019$202M180Nov 14, 201913F-HRchanges · EDGAR ↗
Q2 2019$183M152Aug 1, 201913F-HRchanges · EDGAR ↗
Q1 2019$187M155May 6, 201913F-HRchanges · EDGAR ↗
Q4 2018$155M145Feb 12, 201913F-HRchanges · EDGAR ↗

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.