UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM N-Q

 

 

QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED

MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number 811-06400

 

 

The Advisors’ Inner Circle Fund

(Exact name of registrant as specified in charter)

 

 

101 Federal Street

Boston, MA 02110

(Address of principal executive offices) (Zip code)

 

 

SEI Corporation

One Freedom Valley Drive

Oaks, PA 19456

(Name and address of agent for service)

 

 

Registrant’s telephone number, including area code: 1-877-446-3863

Date of fiscal year end: October 31, 2014

Date of reporting period: January 31, 2014

 

 

 

Item 1. Schedule of Investments

THE ADVISORS’ INNER CIRCLE FUND    A LPHA O NE  M ICRO  C AP  E QUITY  F UND
     J ANUARY  31, 2014  (Unaudited)
      

 

 

 

SCHEDULE OF INVESTMENTS   
COMMON STOCK — 97.5% ‡   
    Shares        Value  
CONSUMER DISCRETIONARY — 6.5%   

Blue Nile *

    49,452         $ 2,129,403   

Einstein Noah Restaurant Group

    123,715           1,887,891   

Kirkland’s *

    112,911           2,126,114   

Red Robin Gourmet Burgers *

    15,753           1,014,966   

Tilly’s, Cl A *

    202,535           2,351,431   
      

 

 

 
         9,509,805   
      

 

 

 
CONSUMER STAPLES — 1.4%   

Fairway Group Holdings, Cl A *

    171,673           2,017,158   
      

 

 

 
ENERGY — 7.5%       

Dawson Geophysical *

    69,522           2,250,427   

Natural Gas Services Group *

    66,295           1,915,926   

Panhandle Oil and Gas, Cl A

    67,976           2,627,952   

RigNet *

    47,223           2,202,953   

RPC

    113,711           1,936,498   
      

 

 

 
         10,933,756   
      

 

 

 
FINANCIAL SERVICES — 31.0%   

Banner

    70,049           2,579,905   

Berkshire Hills Bancorp

    77,647           1,899,246   

Bryn Mawr Bank

    104,860           2,922,448   

Calamos Asset Management, Cl A

    256,880           2,946,413   

Capital City Bank
Group *

    97,379           1,242,556   

Columbia Banking System

    112,674           2,941,918   

Enterprise Financial Services

    147,491           2,746,282   

Financial Institutions

    129,485           2,703,647   

First Connecticut Bancorp

    131,474           2,026,014   

Flushing Financial

    114,639           2,354,685   

Hanmi Financial, Cl Corp (histrt)

    89,275           1,925,662   

OceanFirst Financial

    123,204           2,188,103   

Pacific Continental

    159,155           2,244,086   

PacWest Bancorp

    74,183           2,975,480   

Park Sterling

    390,189           2,633,776   

Renasant

    96,826           2,787,621   

Sterling Bancorp

    201,252           2,535,775   

Webster Financial

    49,080           1,489,087   

WSFS Financial

    30,422           2,184,299   
      

 

 

 
         45,327,003   
      

 

 

 
HEALTH CARE — 9.1%       

Hanger Orthopedic
Group *

    86,654           2,929,772   

MWI Veterinary Supply *

    9,994           1,861,482   

National Research, Cl A *

    146,625           2,199,375   

Natus Medical *

    62,028           1,605,905   

US Physical Therapy

    97,062           3,058,424   

Vocera Communications *

    93,458           1,632,711   
      

 

 

 
         13,287,669   
      

 

 

 
    Shares        Value  
PRODUCER DURABLES — 29.7%   

Altra Holdings

    82,740         $ 2,594,726   

AZZ

    58,432           2,443,042   

Ceco Environmental

    170,321           2,646,788   

CRA International *

    134,758           2,541,536   

DXP Enterprises *

    18,792           1,804,784   

Exponent

    22,134           1,598,517   

Federal Signal *

    143,672           1,770,039   

GP Strategies *

    60,754           1,685,923   

Great Lakes Dredge & Dock *

    307,688           2,316,891   

Hurco

    79,477           2,060,044   

Knight Transportation

    104,346           2,227,787   

LB Foster, Cl A

    52,846           2,275,549   

Marten Transport

    105,110           2,004,448   

Multi-Color

    61,448           2,209,670   

NN

    92,782           1,641,313   

Old Dominion Freight Line *

    47,691           2,586,760   

On Assignment *

    82,345           2,444,000   

Raven Industries

    49,878           1,867,931   

SP Plus *

    88,257           2,229,372   

Thermon Group Holdings *

    88,551           2,397,961   
      

 

 

 
         43,347,081   
      

 

 

 
TECHNOLOGY — 12.3%   

Ambarella *

    63,265           2,026,378   

Computer Task Group

    98,794           1,596,511   

GSI Group *

    259,346           2,798,344   

IXYS

    147,932           1,877,257   

Methode Electronics

    42,341           1,425,198   

PDF Solutions *

    75,385           1,786,624   

Rudolph Technologies *

    171,536           1,885,181   

Seachange International *

    211,294           2,527,076   

Virtusa *

    60,389           2,070,135   
      

 

 

 
         17,992,704   
      

 

 

 

Total Common Stock (Cost $120,521,405)

         142,415,176   
      

 

 

 
CASH EQUIVALENT — 2.2%   

BlackRock Liquidity Funds T-Fund Portfolio, 0.010% (A)
(Cost $3,295,402)

    3,295,402           3,295,402   
      

 

 

 

Total Investments — 99.7%
(Cost $123,816,807) †

    

     $ 145,710,578   
      

 

 

 

 

    Percentages are based on Net Assets of $146,094,272.
*     Non-income producing security.
‡     More narrow industries are utilized for compliance purposes, whereas broad sectors are utilized for reporting purposes.
(A)     The rate reported is the 7-day effective yield as of January 31, 2014.
 

 

1

THE ADVISORS’ INNER CIRCLE FUND    A LPHA O NE  M ICRO  C AP  E QUITY  F UND
     J ANUARY  31, 2014  (Unaudited)
      

 

 

 

Cl   –   Class
†     At January 31, 2014, the tax basis cost of the Fund’s investments was $123,816,807, and the unrealized appreciation and depreciation were $26,169,035 and ($4,275,264) respectively.

As of January 31, 2014, all of the Fund’s investments in securities were considered Level 1, in accordance with the authoritative guidance on fair value measurements and disclosure under U.S. GAAP.

For the period ended January 31, 2014, there have been no transfers between Level 1 and Level 2 assets and liabilities.

For information on the Fund’s policy regarding valuation of investments, fair value hierarchy levels, and other significant accounting policies, please refer to Note 2 of the Fund’s most recent annual or semi-annual financial statements.

ACP-QH-001-0600

 

 

2

Item 2. Controls and Procedures

(a) The registrant’s principal executive and principal financial officers, or persons performing similar functions, have concluded that the Registrant’s disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940 (the “1940 Act”)) are effective, based on the evaluation of these controls and procedures required by Rule 30a-3(b) under the 1940 Act and Rules 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934 as of a date within 90 days of the filing date of this report.

(b) There were no significant changes in the registrant’s internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act) that occurred during the registrant’s last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrant’s internal control over financial reporting.

 

Item 3. Exhibits.

(a) A separate certification for the principal executive officer and the principal financial officer of the registrant as required by Rule 30a-2(a) under the Investment Company Act of 1940, as amended (17 CFR 270.30a-2(a)), are filed herewith.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

(Registrant)       The Advisors’ Inner Circle Fund
By (Signature and Title)      

/s/ Michael Beattie

      Michael Beattie
      President

Date: March 31, 2014

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 (Signature and Title)      

/s/ Michael Beattie

      Michael Beattie
      President

Date: March 31, 2014

 

By (Signature and Title)      

/s/ Michael Lawson

      Michael Lawson
      Treasurer, Controller & CFO

Date: March 31, 2014

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