BURNHAM FINANCIAL LONG/SHORT FUND SCHEDULE OF

BURNHAM FINANCIAL LONG/SHORT FUND
SCHEDULE OF INVESTMENTS
October 31, 2014
Investment Type
Description
Equity
Long/Short
Indicator Security Long Description
S
CASH AND OTHER ASSETS
L
HOMETRUST BANCSHARES
Quantity Percent TNA
15,683,970
367,020
21.43%
7.75%
L
YADKIN FINANCIAL CORP
289,729
7.68%
L
CENTER BANCORP INC
298,302
7.54%
L
SOUTH STATE CORP
75,000
6.18%
L
INVESTORS BANCORP IN
400,000
5.88%
L
BANK OF AMERICA CORP
200,600
4.70%
L
SYNOVUS FINL CORP
121,666
4.22%
L
CITIGROUP INC
50,000
3.66%
L
AMERIS BANCORP
94,595
3.21%
L
SEACOAST BKG CORP FL
175,000
3.05%
L
M&T BANK CORP -WT18 WARRANTS 12/23/18
L
STATE BK FINL CORP
L
VIEWPOINT FINL GROUP
L
COWEN GROUP INC NEW CL A
L
40,000
2.68%
109,374
2.68%
69,024
2.57%
443,395
2.45%
HOME BANCSHARES INC
50,000
2.18%
L
OPUS BK IRVINE CALIF
60,270
2.17%
L
FLAGSTAR BANCORP INC
100,000
2.15%
L
CENTERSTATE BANKS IN
132,006
2.10%
L
1ST UNITED BANCORP I
165,577
2.00%
L
FIDELITY SOUTHERN CO
91,704
1.92%
L
NBT BANCORP INC
54,447
1.91%
L
C1 FINL INC
80,367
1.90%
L
TRISTATE CAP HLDGS I
140,667
1.87%
L
SILVERCREST ASSET MG CL A
79,132
1.61%
L
BANC OF CALIFORNIA INC
100,000
1.61%
L
REGIONS FINANCIAL CO
100,000
1.36%
L
SUNTRUST BKS INC
25,000
1.34%
L
TFS FINL CORP
65,050
1.33%
L
SQUARE 1 FINL INC CL A
45,834
1.25%
L
BNC BANCORP
46,637
1.08%
L
FIRST NIAGARA FINACIAL GROUP, INC.
100,000
1.02%
L
BANKUNITED INC
25,000
1.02%
L
SUSQUEHANNA BANCSHAR
75,000
1.01%
L
FINANCIAL INSTNS INC
27,662
0.95%
L
ASTORIA FINL CORP
50,000
0.90%
L
ASB BANCORP INC N C
23,394
0.64%
L
JACKSONVILLE BANCORP
37,452
0.55%
L
APOLLO INVT CORP
35,000
0.39%
L
PORTER BANCORP WTS 6/30/15
136,956
0.00%
0.00%
Total Long Equity
119.93%
Money Markets
S
FIDELITY TREASURY PORT-I
2,966,680
Total Money Markets
4.05%
4.05%
Short Sales
S
BOK FINL CORPNEW
(5,000)
S
-0.47%
ASSOCIATED BANC CORP
(25,000)
-0.64%
S
EATON VANCE CORPNON VTG
(15,000)
-0.75%
S
TAL INTL GROUP INC
(15,000)
-0.88%
S
TD AMERITRADE HOLDING CORP
(25,000)
-1.15%
S
CULLEN FROST BANKERS
(12,500)
-1.38%
S
FRANKLIN RESOURCES INC
(20,000)
-1.52%
S
HENRY JACK & ASSOC I
(20,000)
-1.63%
S
MOODY'S CORP
(12,500)
-1.69%
S
THE TRAVELERS COS. INC
(15,000)
-2.07%
S
RENAISSANCERE HOLDIN
(15,000)
-2.12%
S
SIMON PROPERTY GROUP INC
(10,000)
-2.45%
S
COMMUNITY BK SYS INC
(50,000)
-2.61%
S
AMERICAN EXPRESS CO COMPANY
(32,500)
-3.99%
Total Short Sales
-23.37%
Options
L
XLF 11/07/14 P23.5 SELECT SECTOR SPDR T
1,000
L
0.01%
MS 11/22/14 P33 MORGAN STANLEY
300
0.01%
L
BK 11/22/14 P35 BANK NEW YORK MELLON
250
0.01%
L
KRE 11/07/14 P38.5 SPDR SERIES TRUST
500
0.00%
L
STT 11/22/14 P65 STATE STR CORP
300
0.00%
L
AXP 11/22/14 P77.5 AMERICAN EXPRESS CO
250
0.00%
S
CFR 01/17/15 P70 CULLEN FROST BANKERS
(100)
0.00%
S
MCO 01/17/15 P82.5 MOODYS CORP
(100)
-0.01%
S
COF 01/17/15 P70 CAPITAL ONE FINL COR
(250)
-0.01%
S
WFC 01/17/15 P45 WELLS FARGO & CO NEW
(500)
-0.02%
S
PNC 01/17/15 P80 PNC FINL SVCS GROUP
(200)
-0.02%
S
STI 01/17/15 C40 SUNTRUST BKS INC
(250)
-0.03%
S
JPM 01/17/15 P55 JPMORGAN CHASE & CO
(300)
-0.03%
S
CMA 01/17/15 P42 COMERICA INC
(500)
-0.03%
S
LAZ 12/20/14 P49 LAZARD LTD
(150)
-0.03%
S
JPM 03/20/15 P52.5 JPMORGAN CHASE & CO
S
PHH 02/20/15 P20 PHH CORP
S
(300)
-0.04%
(1,000)
-0.04%
FITB 01/17/15 P20 FIFTH THIRD BANCORP
(500)
-0.05%
S
EVR 03/20/15 P45 EVERCORE PARTNERS IN
(400)
-0.08%
S
C 01/17/15 C52.5 CITIGROUP INC
(250)
-0.08%
S
AIG 02/20/15 P50 AMERICAN INTL GROUP
(500)
-0.09%
S
LAZ 03/20/15 P46 LAZARD LTD
(450)
-0.10%
0.00%
Total Options
-0.62%
TOTAL PORTFOLIO
100.00%
BURNHAM FINANCIAL LONG/SHORT FUND
SCHEDULE OF INVESTMENTS
September 30, 2014
Investment Type
Description
Equity
Long/Short
Indicator Security Long Description
S
CASH AND OTHER ASSETS
L
CENTER BANCORP INC
Quantity Percent TNA
16,207,490
298,302
23.10%
8.10%
L
HOMETRUST BANCSHARES
367,020
7.64%
L
YADKIN FINANCIAL CORP
289,729
7.50%
L
SOUTH STATE CORP
75,000
5.98%
L
INVESTORS BANCORP IN
400,000
5.78%
L
SYNOVUS FINL CORP
155,000
5.22%
L
BANK OF AMERICA CORP
200,600
4.87%
L
CITIGROUP INC
50,000
3.69%
L
SEACOAST BKG CORP FL
200,000
3.12%
L
M&T BANK CORP -WT18 WARRANTS 12/23/18
40,000
3.00%
L
AMERIS BANCORP
94,595
2.96%
L
STATE BK FINL CORP
119,374
2.76%
L
OPUS BK IRVINE CALIF
55,270
2.41%
L
COWEN GROUP INC NEW CL A
443,395
2.37%
L
HOME BANCSHARES INC
50,000
2.10%
L
REGIONAL MGMT CORP
81,834
2.09%
L
C1 FINL INC
80,367
2.08%
L
1ST UNITED BANCORP I
165,577
2.01%
L
FIDELITY SOUTHERN CO
100,000
1.95%
L
CENTERSTATE BANKS IN
132,006
1.95%
L
VIEWPOINT FINL GROUP
55,082
1.88%
L
TRISTATE CAP HLDGS I
140,667
1.82%
L
SYNCHRONY FINL
51,946
1.82%
L
NBT BANCORP INC
54,447
1.75%
L
BANC OF CALIFORNIA INC
100,000
1.66%
L
REGIONS FINANCIAL CO
100,000
1.43%
L
SILVERCREST ASSET MG CL A
69,872
1.36%
L
SUNTRUST BKS INC
25,000
1.36%
L
UNITED FINL BANCORP
73,766
1.33%
L
TFS FINL CORP
65,050
1.33%
L
SQUARE 1 FINL INC CL A
45,834
1.26%
L
BNC BANCORP
46,637
1.04%
L
HERTZ GLOBAL HOLDING
25,000
0.90%
L
FINANCIAL INSTNS INC
27,662
0.89%
L
ASTORIA FINL CORP
50,000
0.88%
L
ASB BANCORP INC N C
23,394
0.67%
L
JACKSONVILLE BANCORP
37,452
0.58%
L
BRIDGE BANCORP INC
11,772
0.40%
L
PORTER BANCORP WTS 6/30/15
136,956
0.00%
0.00%
Total Long Equity
123.02%
Money Markets
S
FIDELITY TREASURY PORT-I
922,602
Total Money Markets
1.31%
1.31%
Short Sales
S
FIRST CASH FINL SVCS
(5,000)
-0.40%
S
BOK FINL CORPNEW
(5,000)
-0.47%
S
ASSOCIATED BANC CORP
(25,000)
-0.62%
S
EATON VANCE CORPNON VTG
(15,000)
-0.81%
S
CULLEN FROST BANKERS
(12,500)
-1.36%
S
BANK OF NEW YORK CO INC
(25,000)
-1.38%
S
MOODY'S CORP
(12,500)
-1.68%
S
ALLY FINL INC
(60,000)
-1.98%
S
THE TRAVELERS COS. INC
(15,000)
-2.01%
S
HENRY JACK & ASSOC I
(30,000)
-2.38%
S
COMMUNITY BK SYS INC
(50,000)
-2.39%
S
FRANKLIN RESOURCES INC
(40,000)
-3.11%
S
AMERICAN EXPRESS CO COMPANY
(40,000)
-4.99%
Total Short Sales
-23.59%
Options
L
XLF 141018P00023000
2,000
L
0.07%
BK 141018P00039000
250
0.03%
L
RNR 141018P00100000
150
0.02%
L
WFC 141018P00050000
250
0.01%
L
ACE 141018P00100000
250
0.01%
L
XL 141018P00032000
500
0.01%
L
SCHW 141018P00026000
600
0.00%
S
AXP 141018P00080000
(200)
0.00%
S
CFR 150117P00070000
(100)
-0.01%
S
MCO 150117P00082500
(100)
-0.01%
S
BEN 141018P00055000
(200)
-0.03%
S
STI 150117C00040000
(250)
-0.03%
S
LAZ 141220P00049000
(150)
-0.04%
S
PNC 150117P00080000
(200)
-0.04%
S
AXP 141018P00087500
(200)
-0.05%
S
FITB 150117P00020000
(500)
-0.06%
S
AFL 150117P00057500
(250)
-0.07%
S
C 150117C00052500
(250)
-0.08%
S
FBC 141018P00017500
(1,000)
-0.09%
S
AFL 141122P00060000
(250)
-0.10%
S
LAZ 150320P00046000
(450)
-0.11%
S
EVR 150320P00045000
(400)
-0.16%
0.00%
Total Options
-0.74%
TOTAL PORTFOLIO
100.00%
BURNHAM FINANCIAL LONG/SHORT FUND
SCHEDULE OF INVESTMENTS
August 31, 2014
Investment Type
Description
Equity
Long/Short
Indicator Security Long Description
S
CASH AND OTHER ASSETS
L
CENTER BANCORP INC
Quantity Percent TNA
1,274,237
298,302
2.42%
10.96%
L
YADKIN FINANCIAL CORP
289,729
10.32%
L
HOMETRUST BANCSHARES
316,446
9.05%
L
SOUTH STATE CORP
80,000
8.89%
L
INVESTORS BANCORP IN
400,000
8.05%
L
BANK OF AMERICA CORP
200,600
6.12%
L
1ST UNITED BANCORP I
300,000
4.95%
L
CITIGROUP INC
L
SEACOAST BKG CORP FL
L
50,000
4.90%
212,649
4.23%
AMERIS BANCORP
94,595
4.11%
L
M&T BANK CORP -WT18 WARRANTS 12/23/18
40,000
3.83%
L
OPUS BK IRVINE CALIF
55,270
3.32%
L
STATE BK FINL CORP
96,874
3.08%
L
COWEN GROUP INC NEW CL A
371,632
2.88%
L
FIDELITY SOUTHERN CO
109,214
2.87%
L
HOME BANCSHARES INC
50,000
2.82%
L
REGIONAL MGMT CORP
86,834
2.80%
L
CENTERSTATE BANKS IN
132,006
2.62%
L
TRISTATE CAP HLDGS I
140,667
2.54%
L
SYNCHRONY FINL
51,946
2.54%
L
NBT BANCORP INC
54,447
2.48%
L
SYNOVUS FINL CORP
50,000
2.29%
L
BANC OF CALIFORNIA INC
100,000
2.28%
L
VIEWPOINT FINL GROUP
45,379
2.24%
L
C1 FINL INC
64,133
2.09%
L
REGIONS FINANCIAL CO
100,000
1.93%
L
SUNTRUST BKS INC
25,000
1.81%
L
SILVERCREST ASSET MG CL A
59,334
1.81%
L
TFS FINL CORP
65,050
1.78%
L
UNITED FINL BANCORP
73,766
1.73%
L
SQUARE 1 FINL INC CL A
45,834
1.67%
L
HERTZ GLOBAL HOLDING
25,000
1.40%
L
ASTORIA FINL CORP
50,000
1.24%
L
BRIDGE BANCORP INC
25,000
1.18%
L
ASB BANCORP INC N C
23,394
0.86%
L
JACKSONVILLE BANCORP
13,849
0.27%
L
FIVE OAKS INVT CORP
8,838
0.19%
L
BNC BANCORP
3,834
0.12%
L
PORTER BANCORP WTS 6/30/15
136,956
0.00%
0
Total Long Equity
130.66%
Money Markets
S
Total Money Markets
Short Sales
FIDELITY TREASURY PORT-I
1,248,919
2.37%
2.37%
S
FIRST CASH FINL SVCS
(5,000)
-0.55%
S
BOK FINL CORPNEW
(5,000)
-0.64%
S
ASSOCIATED BANC CORP
(25,000)
-0.86%
S
EATON VANCE CORPNON VTG
(15,000)
-1.11%
S
BANK OF NEW YORK CO INC
(25,000)
-1.86%
S
CULLEN FROST BANKERS
(12,500)
-1.86%
S
MOODY'S CORP
(12,500)
-2.22%
S
THE TRAVELERS COS. INC
(15,000)
-2.69%
S
ALLY FINL INC
(60,000)
-2.80%
S
HENRY JACK & ASSOC I
(30,000)
-3.29%
S
COMMUNITY BK SYS INC
(50,000)
-3.35%
S
FRANKLIN RESOURCES INC
(40,000)
-4.29%
S
AMERICAN EXPRESS CO COMPANY
(40,000)
-6.79%
Total Short Sales
-32.32%
Options
L
XLF 141018P00023000
1,500
0.09%
L
USB 140920P00042500
500
0.06%
L
RNR 141018P00100000
150
0.03%
L
MS 140920P00034500
250
0.03%
L
SCHW 141018P00026000
600
0.03%
L
GS 140920P00175000
100
0.02%
L
ACE 141018P00100000
250
0.02%
L
XL 141018P00032000
500
0.02%
L
AMTD 140920P00032000
500
0.01%
L
CMA 140920P00048000
500
0.01%
L
WFC 140920P00050000
500
0.01%
L
PRU 140920P00085000
250
0.01%
L
GS 140920P00172500
100
0.01%
L
SCHW 140920P00027000
600
0.01%
L
MS 140920P00031000
750
0.00%
L
ALL 140920P00055000
300
0.00%
L
AIZ 140920P00062500
500
0.00%
L
PBCT 140920P00015000
1,000
0.00%
L
TRV 140920P00087500
250
0.00%
S
CFR 150117P00070000
(100)
0.00%
S
AXP 141018P00080000
(200)
-0.01%
S
MCO 150117P00082500
(100)
-0.02%
S
LAZ 141220P00049000
(150)
-0.02%
S
EVR 140920P00050000
(250)
-0.03%
S
BEN 141018P00055000
(200)
-0.03%
S
STI 150117C00040000
(250)
-0.04%
S
AXP 141018P00087500
(200)
-0.05%
S
AFL 150117P00057500
(250)
-0.06%
S
AFL 141122P00060000
(250)
-0.06%
S
STI 150117P00036000
(350)
-0.07%
S
FITB 150117P00020000
(500)
-0.07%
S
PNC 150117P00080000
(200)
-0.08%
S
LAZ 150320P00046000
(450)
-0.09%
S
C 150117C00052500
(250)
-0.10%
S
BBT 150117P00036000
(500)
-0.10%
S
EVR 150320P00045000
(400)
-0.11%
S
FBC 141018P00017500
(1,000)
-0.13%
0.00%
0.00%
Total Options
TOTAL PORTFOLIO
-0.71%
100.00%
Stocks of these companies may or may not be held by one or more of the Burnham funds
from time to time. Holdings of the funds are subject to change. This is not a recommendation
to purchase or sell securities. Please see additional important disclosures regarding portfolio
holdings information at www.burnhamfunds.com
Investors should consider the fund’s investment objectives, risks, charges and expenses carefully
before investing. The fund’s prospectus contains this and other information about the fund, and may be obtained
by asking your financial advisor, calling (800) 874-FUND, or visiting www.burnhamfunds.com. Read the prospectus
carefully before investing.
HD 120114

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