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BCM

Basso Capital Management Portfolio holdings

AUM $469M
1-Year Est. Return 32.23%
This Fund
S&P 500
This Quarter Est. Return
+0.52%
1 Year Est. Return
+32.23%
3 Year Est. Return
+85.51%
5 Year Est. Return
+126.61%
10 Year Est. Return
+179.99%
AUM
$573M
AUM Growth
+$38.1M
Cap. Flow
-$424M
Cap. Flow %
-73.91%
Top 10 Hldgs %
47.14%
Holding
131
New
24
Increased
5
Reduced
6
Closed
36

Top Buys

Rank Stock Value
1
LIND icon
Lindblad Expeditions
LIND
+$2.44M
2
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$2.2M
3
OCR.PRB
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
+$1.92M
4
RPT.PRD
RPT Realty 7.25% Series D Cumulative Convertible Perpetual Preferred Shares of Beneficial Interest
RPT.PRD
+$1.75M
5
MWRX
MEDWORTH RX CORP COM STK (DE)
MWRX
+$1.61M

Top Sells

Rank Stock Value
1
DCUB
DOMINION RESOURCES INC CORP UNIT 2013 SER B (VA)
DCUB
+$3.04M
2
DCUA
DOMINION RESOURCES INC. CORP UNIT 2013 SER A (VA)
DCUA
+$2.9M
3
MDVN
MEDIVATION, INC.
MDVN
+$2.17M
4
MNGL
BLUE WOLF MONGOLIA HOLDING CORP (VGB)
MNGL
+$1.93M
5
EPR icon
EPR Properties
EPR
+$1.31M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.6%
2 Technology 0.39%
3 Real Estate 0.13%
4 Financials 0.09%
5 Communication Services 0.04%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JCI icon
51
Johnson Controls International
JCI
$88.8B
– –
-15,280
Closed -$573K
NPO icon
52
PUT
Enpro
NPO
$6.63B
– –
-15,000
Closed -$761K
OXSQ icon
53
PUT
Oxford Square Capital
OXSQ
$163M
– –
-50,000
Closed -$481K
PAA icon
54
Plains All American Pipeline
PAA
$17.3B
– –
-18,140
Closed -$1.01M
RRX icon
55
Regal Rexnord
RRX
$13.7B
– –
-2,400
Closed -$156K
SIRI icon
56
PUT
SiriusXM
SIRI
$9.98B
– –
-25,000
Closed -$838K
SITC icon
57
PUT
SITE Centers
SITC
$225M
– –
-23,283
Closed -$500K
SPXU icon
58
ProShares UltraPro Short S&P 500
SPXU
$406M
– –
-6
Closed -$235K
TROX icon
59
Tronox
TROX
$932M
– –
-4,568
Closed -$91K
UVV icon
60
Universal Corp
UVV
$1.31B
– –
-2,588
Closed -$150K
VSH icon
61
PUT
Vishay Intertechnology
VSH
$5.25B
– –
-100,000
Closed -$1.39M
WY icon
62
PUT
Weyerhaeuser
WY
$18B
– –
-25,000
Closed -$712K
XLF icon
63
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
– –
-39,870
Closed -$681K
XLF icon
64
PUT
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
– –
-170,872
Closed -$2.92M
HA
65
CALL
DELISTED
Hawaiian Holdings, Inc.
HA
– –
-50,000
Closed -$306K
MDRX
66
PUT
DELISTED
Veradigm Inc. Common Stock
MDRX
– –
-50,000
Closed -$647K
RPT
67
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
– –
-9,604
Closed -$149K
NAV
68
PUT
DELISTED
Navistar International
NAV
– –
-50,000
Closed -$1.39M
HIG.WS
69
DELISTED
Hartford Financial Services Grp
HIG.WS
– –
-21,943
Closed -$481K
SN
70
PUT
DELISTED
Sanchez Energy Corporation
SN
– –
-25,000
Closed -$574K
HAR
71
DELISTED
Harman International Industries
HAR
– –
-6,167
Closed -$334K
DCUB
72
DELISTED
DOMINION RESOURCES INC CORP UNIT 2013 SER B (VA)
DCUB
– –
-61,100
Closed -$3.04M
SNDK
73
DELISTED
SANDISK CORP
SNDK
– –
-18,600
Closed -$1.14M
DCUA
74
DELISTED
DOMINION RESOURCES INC. CORP UNIT 2013 SER A (VA)
DCUA
– –
-58,250
Closed -$2.9M
BMR
75
PUT
DELISTED
BIOMED REALTY TRUST INC
BMR
– –
-25,000
Closed -$506K
1 2
3
4

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MGB
Mass General Brigham Somerville, Massachusetts $469M AUM
RGC
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AIC
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CWA
CM Wealth Advisors Beachwood, Ohio $470M AUM 19.08% 1-Year Est. Return
SP
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SCA
Stieven Capital Advisors St. Louis, Missouri $468M AUM 15.94% 1-Year Est. Return
LN
Lightrock Netherlands Utrecht, Netherlands $468M AUM 43.06% 1-Year Est. Return
UWP
Uniting Wealth Partners Mission, Kansas $470M AUM 30.3% 1-Year Est. Return

Basso Capital Management's Q3 2013 Portfolio in Review

As of Q3 2013, Basso Capital Management held 131 positions worth $573M, up 7.1% from $535M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Basso Capital Management withdrew a net $424M in Q3 2013, closing 36 positions and reducing 6 holdings. Its most notable exit was DOMINION RESOURCES INC CORP UNIT 2013 SER B (VA), an estimated $3.04M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.6% of assets, followed by Technology and Real Estate.

Against the trend, Basso Capital Management opened a new position in Lindblad Expeditions worth $2.42M.

  • Basso Capital Management's largest Q3 2013 buy was Lindblad Expeditions: 250,000 shares worth $2.42M.
  • Basso Capital Management added most to OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS in Q3 2013, an estimated $1.92M increase.
  • Basso Capital Management's biggest Q3 2013 reduction was EPR Properties, cutting an estimated $1.31M.
  • Basso Capital Management fully exited DOMINION RESOURCES INC CORP UNIT 2013 SER B (VA) in Q3 2013, selling an estimated $3.04M.
  • Basso Capital Management's ten largest holdings make up 47% of its $573M portfolio in Q3 2013.
  • Basso Capital Management opened 24 new positions and closed 36 in Q3 2013.
  • Basso Capital Management's portfolio value rose 7.1% quarter-over-quarter to $573M.

Based on Basso Capital Management's 13F filing for Q3 2013, filed 13 Nov 2013.