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As Of Filer Filing For·On·As Docs:Size Issuer Agent 3/03/15 Gator Series Trust N-Q/A 12/31/14 2:143K Mutual Sharehold… LLC/FA → Gator Financial Fund ⇒ Gator Financial Fund (GFFIX) — Investor Shares (GFFAX) → Gator Opportunities Fund ⇒ Institutional Shares (GTOIX) — Investor Shares (GTOAX) |
Document/Exhibit Description Pages Size
1: N-Q/A Amendment to Quarterly Schedule of Portfolio HTML 93K
Holdings of a Management Investment
Company
2: EX-99.CERT Miscellaneous Exhibit HTML 8K
| N-Q/A Filing |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-22794
Gator Trust Series
(Exact Name of Registrant as Specified in Charter)
100 South Ashley Drive, Suite 895
(Address of Principal Executive Offices)(Zip Code)
Derek Pilecki
100 South Ashley Drive, Suite 895
(Name and Address of Agent for Service)
With copy to: Jeffrey T. Skinner, Esq.
Kilpatrick Townsend & Stockton LLP
1001 West Fourth Street
Registrant’s Telephone Number, including Area Code: (813) 282-7870
Date of fiscal year end: March 31
Date of reporting period: December 31, 2014
Form N-Q is to be used by management investment companies, other than small business investment companies registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, and 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. SCHEDULE OF INVESTMENTS.
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| Gator Focus Fund |
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| Schedule of Investments |
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| December 31, 2014 (Unaudited) |
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| Shares |
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| Value |
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COMMON STOCKS - 96.70% |
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| Consumer Discretionary - 31.08% |
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| 3,199 |
| Bob Evans Farms, Inc. | $ 163,725 |
| 7,100 |
| Chico's FAS, Inc. | 115,091 |
| 32,500 |
| Cumulus Media, Inc. Class-A * | 137,475 |
| 2,400 |
| DineEquity, Inc. | 248,736 |
| 2,100 |
| Fossil Group, Inc. * | 232,554 |
| 5,600 |
| FTD Group, Inc. * | 194,992 |
| 12,200 |
| Penn National Gaming, Inc. * | 167,506 |
| 5,500 |
| Ryland Group, Inc. | 212,080 |
| 6,700 |
| Sally Beauty Holdings, Inc. * | 205,958 |
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| 1,678,117 |
| Energy - 16.34% |
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| 8,200 |
| Enlink Midstream, LLC | 291,592 |
| 2,400 |
| ONEOK, Inc. | 119,496 |
| 14,400 |
| Rex Energy Corp. * | 73,440 |
| 2,500 |
| Targa Resources Corp. | 265,125 |
| 2,600 |
| TeeKay Corp. | 132,314 |
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| 881,967 |
| Financials - 24.65% |
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| 1,300 |
| Ambac Financial Group, Inc. * | 31,850 |
| 11,000 |
| BBX Capital Corp. Class-A * | 180,950 |
| 2,116 |
| Bridge Bancorp, Inc. | 56,603 |
| 27,899 |
| CIFC Corp. | 230,725 |
| 11,300 |
| Janus Capital Group, Inc. | 182,269 |
| 4,046 |
| Oppenheimer Holdings, Inc., Class-A | 94,069 |
| 3,600 |
| Primerica, Inc. | 195,336 |
| 2,400 |
| Raymond James Financial, Inc. | 137,496 |
| 1,300 |
| Virtus Investment Partners, Inc. | 221,637 |
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| 1,330,935 |
| Health Care - 5.89% |
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| 2,700 |
| MedAssets, Inc. * | 53,352 |
| 3,600 |
| Prestige Brands Holdings, Inc. * | 124,992 |
| 1,700 |
| WellCare Health Plans, Inc. * | 139,502 |
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| 317,846 |
| Industrials - 7.65% |
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| 7,700 |
| American Airlines Group, Inc. | 412,951 |
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| Information Technology - 4.36% |
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| 7,800 |
| Arris Group, Inc. * | 235,482 |
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| Materials - 3.37% |
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| 9,400 |
| SunCoke Energy, Inc. | 181,796 |
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| Services - 3.36% |
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| 5,300 |
| RE/Max Holding, Inc., Class-A | 181,525 |
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| TOTAL COMMON STOCKS (Cost $5,085,161) - 96.70% | $ 5,220,619 | ||
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WARRANTS - 2.50% |
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| 9,300 |
| Ambac Financial Group, Inc. * | 134,850 |
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| TOTAL WARRANTS (Cost $165,781) - 2.50% | $ 134,850 | ||
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SHORT TERM INVESTMENTS - 0.37% |
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| 19,910 |
| Fidelity Institutional Money Market Portfolio 0.09% ** (Cost $19,910) | 19,910 |
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TOTAL INVESTMENTS (Cost $5,270,852) - 99.56% | $ 5,375,379 | |||
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OTHER ASSETS LESS LIABILITIES (0.44%) | 23,596 | |||
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NET ASSETS - 100.00% |
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| $ 5,398,975 | |
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| * Non-income producing securities during the period. |
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| ** Variable rate security; the rate shown represents the rate as of December 31, 2014 |
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NOTES TO FINANCIAL STATEMENTS |
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Gator Focus Fund |
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1. SECURITY TRANSACTIONS |
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| At December 31, 2014, the net unrealized appreciation on investments, based on cost for federal income tax purposes of $5,270,852 amounted to $104,527 which consisted of aggregate gross unrealized appreciation of $532,746 and aggregate gross unrealized depreciation of $427,949. |
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2. SECURITY VALUATION |
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| Various inputs are used in determining the value of the Fund's investments. These inputs are summarized in the three broad levels listed below: | ||||||||||||
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| Level 1 - Unadjusted quoted prices in active markets for identical assets or liabilities that the Fund has the ability to access. | ||||||||||||
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| Level 2 - Observable inputs other than quoted prices included in Level 1 that are observable for the asset or liability, either directly or indirectly. These inputs may include quoted prices for the identical instrument on an active market, price for similar instruments, interest rates, prepayment speeds, yield curves, default rates and similar data. | ||||||||||||
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| Level 3 - Unobservable inputs for the asset or liability, to the extent relevant observable inputs are not available, representing the Fund's own assumptions about the assumptions a market participant would use in valuing the asset or liability, and would be based on the best information available. | ||||||||||||
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| The inputs or methodology used for valuing securities are not an indication of the risk associated with investing in those securities. | ||||||||||||
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| The following table summarizes the valuation of the Fund’s investments by the above fair value hierarchy levels as of December 31, 2014: | ||||||||||||
Valuation Inputs of Assets |
| Level 1 | Level 2 | Level 3 | Total | ||||||||
Common Stock |
| $5,220,619 | $0 | $0 | $5,220,619 | ||||||||
Warrants |
| $134,850 | $0 | $0 | $134,850 | ||||||||
Cash Equivalents |
| $19,910 | $0 | $0 | $19,910 | ||||||||
Total |
| $5,375,379 | $0 | $0 | $5,375,379 | ||||||||
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| Gator Opportunities Fund |
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| Schedule of Investments |
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| December 31, 2014 (Unaudited) |
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| Shares |
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| Value |
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COMMON STOCKS - 92.10% |
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| Consumer Discretionary - 6.75% |
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| 170 |
| Sotheby's | 7,341 |
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| 150 |
| TRW Automotive Holdings Corp. * | 15,428 |
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| 120 |
| Universal Electronics, Inc. * | 7,804 |
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| 220 |
| Visteon Corp. * | 23,509 |
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| 54,082 |
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| Energy - 0.80% |
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| 4,000 |
| Enservco Corp. * | 6,440 |
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| Financials - 15.72% |
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| 280 |
| American International Group, Inc. | 15,683 |
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| 4,020 |
| Fortress Investment Group LLC | 32,240 |
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| 1,400 |
| J.G. Wentworth Co. * | 14,924 |
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| 210 |
| Jones Lang LaSalle, Inc. | 31,485 |
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| 660 |
| NASDAQ OMX Group, Inc. | 31,654 |
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| 125,986 |
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| Health Care - 9.42% |
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| 6,400 |
| China Cord Blood Corp. * | 28,928 |
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| 570 |
| Emergent BioSolutions, Inc. * | 15,521 |
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| 5,600 |
| Liberator Medial Holdings, Inc. | 16,240 |
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| 100 |
| Taro Pharmaceutical Industries, Ltd. * | 14,819 |
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| 75,508 |
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| Industrials - 22.61% |
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| 140 |
| AMERCO * | 39,796 |
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| 1,270 |
| DigitalGlobe, Inc. * | 39,332 |
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| 220 |
| EnerSys | 13,578 |
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| 450 |
| Equifax, Inc. | 36,392 |
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| 1,450 |
| RPX Corp. * | 19,981 |
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| 315 |
| United Rentals, Inc. * | 32,133 |
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| 181,212 |
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| Information Technology - 18.14% |
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| 140 |
| Flir Systems, Inc. | 4,523 |
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| 190 |
| IPG Photonics Corp. * | 14,235 |
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| 1,460 |
| Interxion Holding NV (Netherlands) * | 39,916 |
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| 1,240 |
| Kulicke & Soffa Industries, Inc. * | 17,930 |
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| 600 |
| Plantronics, Inc. | 31,812 |
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| 850 |
| Synopsys, Inc. * | 36,950 |
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| 145,366 |
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| Materials - 0.79% |
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| 340 |
| Flotek Industries, Inc. * | 6,368 |
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| Media - 2.09% |
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| 21 |
| Liberty Broadband Corp. Rights * | 200 |
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| 230 |
| Liberty Media Corp. Series A | 8,112 |
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| 240 |
| Liberty Media Corp. Series C | 8,407 |
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| 16,719 |
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| Services - 2.96% |
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| 1,800 |
| Computer Modelling Group Ltd. (Canada) | 18,493 |
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| 45 |
| Liberty Broadband Corp. Series A | 2,254 |
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| 60 |
| Liberty Broadband Corp. Series C | 2,989 |
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| 23,736 |
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| Technology - 12.80% |
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| 960 |
| DTS, Inc. * | 29,520 |
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| 200 |
| Loral Space & Communications, Inc. * | 15,742 |
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| 3,000 |
| Silicon Image, Inc. * | 16,560 |
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| 1,140 |
| Tessera Technologies, Inc. | 40,766 |
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| 102,588 |
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| TOTAL COMMON STOCKS (Cost $665,646) - 92.10% | $ 738,005 |
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SHORT TERM INVESTMENTS - 9.95% |
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| 79,700 |
| Fidelity Institutional Money Market Portfolio 0.09% ** (Cost $79,700) | 79,700 |
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TOTAL INVESTMENTS (Cost $745,346) - 102.05% | $ 817,705 |
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LIABILITIES IN EXCESS OF OTHER ASSETS - (2.05%) | (16,408) |
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NET ASSETS - 100.00% |
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| $ 801,297 |
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| * Non-income producing securities during the period. |
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| ** Variable rate security; the rate shown represents the rate as of December 31, 2014 |
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NOTES TO FINANCIAL STATEMENTS |
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Gator Opportunities Fund |
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1. SECURITY TRANSACTIONS |
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| At December 31, 2014, the net unrealized appreciation on investments, based on cost for federal income tax purposes of $745,346 amounted to $72,359 which consisted of aggregate gross unrealized appreciation of $85,722 and aggregate gross unrealized depreciation of $13,363. |
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2. SECURITY VALUATION |
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|
| |||
| Various inputs are used in determining the value of the Fund's investments. These inputs are summarized in the three broad levels listed below: | |||||
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| |||||
| Level 1 - Unadjusted quoted prices in active markets for identical assets or liabilities that the Fund has the ability to access. |
|
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|
| |||||
| Level 2 - Observable inputs other than quoted prices included in Level 1 that are observable for the asset or liability, either directly or indirectly. These inputs may include quoted prices for the identical instrument on an active market, price for similar instruments, interest rates, prepayment speeds, yield curves, default rates and similar data. |
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|
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| Level 3 - Unobservable inputs for the asset or liability, to the extent relevant observable inputs are not available, representing the Fund's own assumptions about the assumptions a market participant would use in valuing the asset or liability, and would be based on the best information available. |
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| The inputs or methodology used for valuing securities are not an indication of the risk associated with investing in those securities. |
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|
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| The following table summarizes the valuation of the Fund’s investments by the above fair value hierarchy levels as of June 30, 2014: | |||||
Valuation Inputs of Assets |
| Level 1 | Level 2 | Level 3 | Total |
Common Stock |
| $738,005 | $0 | $0 | $738,005 |
Cash Equivalents |
| $79,700 | $0 | $0 | $79,700 |
Total |
| $817,705 | $0 | $0 | $817,705 |
ITEM 2. CONTROLS AND PROCEDURES.
(a)
EVALUATION OF DISCLOSURE CONTROLS AND PROCEDURES. The Registrant maintains disclosure controls and procedures that are designed to ensure that information required to be disclosed in the Registrant's filings under the Securities Exchange Act of 1934 and the Investment Company Act of 1940 is recorded, processed, summarized and reported within the periods specified in the rules and forms of the Securities and Exchange Commission. Such information is accumulated and communicated to the Registrant's management, including its principal executive officer and principal financial officer, as appropriate, to allow timely decisions regarding required disclosure. The Registrant's management, including the principal executive officer and the principal financial officer, recognizes that any set of controls and procedures, no matter how well designed and operated, can provide only reasonable assurance of achieving the desired control objectives.
Within 90 days prior to the filing date of this Quarterly Schedule of Portfolio Holdings on Form N-Q, the Registrant had carried out an evaluation, under the supervision and with the participation of the Registrant's management, including the Registrant's principal executive officer and the Registrant's principal financial officer, of the effectiveness of the design and operation of the Registrant's disclosure controls and procedures. Based on such evaluation, the Registrant's principal executive officer and principal financial officer concluded that the Registrant's disclosure controls and procedures are effective.
(b)
CHANGES IN INTERNAL CONTROLS. There have been no significant changes in the Registrant's internal controls or in other factors that could significantly affect the internal controls subsequent to the date of their evaluation in connection with the preparation of this Quarterly Schedule of Portfolio Holdings on Form N-Q.
ITEM 3. EXHIBITS.
Certifications pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act of 2002 are attached hereto.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
Gator Series Trust
By /s/ Derek S. Pilecki
President and Secretary
Date: March 3, 2015
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
By /s/ Derek S. Pilecki
President and Secretary
Date: March 3, 2015
| This ‘N-Q/A’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / Effective on: | 3/3/15 | |||
| For Period End: | 12/31/14 | N-Q | ||
| 6/30/14 | N-PX, N-Q | |||
| List all Filings | ||||