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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
SPY icon
1
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$790B
$20.2M 3.52%
120,000
+100,000
+500% +$16.8M
OCR.PRB
2
DELISTED
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
$16.6M 2.9%
243,712
+29,222
+14% +$1.92M
BZT
3
DELISTED
BEAZER HOMES USA, INC. TANGIBLE EQUITY UNIT
BZT
$4.94M 0.86%
170,110
-38,267
-18% -$1.1M
SPY icon
4
State Street SPDR S&P 500 ETF Trust
SPY
$790B
$4.2M 0.73%
25,000
– –
WELL icon
5
PUT
Welltower
WELL
$169B
$3.12M 0.54%
+50,000
New +$3.18M
ZAIS
6
DELISTED
ZAIS Group Holdings, Inc.
ZAIS
$3.04M 0.53%
300,000
+50,000
+20% +$508K
HPAC
7
DELISTED
HYDE PK ACQUISITION CORP II COM STK (DE)
HPAC
$2.56M 0.45%
250,000
– –
CACG
8
DELISTED
CHART ACQUISITION CORP COM
CACG
$2.49M 0.43%
250,000
– –
LIND icon
9
Lindblad Expeditions
LIND
$1.94B
$2.42M 0.42%
+250,000
New +$2.44M
EPR.PRC icon
10
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
$148M
$2.11M 0.37%
+100,000
New +$2.2M
KOL
11
CALL
DELISTED
VanEck Vectors Coal ETF
KOL
$1.9M 0.33%
+10,000
New +$1.87M
RPT.PRD
12
DELISTED
RPT Realty 7.25% Series D Cumulative Convertible Perpetual Preferred Shares of Beneficial Interest
RPT.PRD
$1.81M 0.32%
31,161
+29,986
+2,552% +$1.75M
MWRX
13
DELISTED
MEDWORTH RX CORP COM STK (DE)
MWRX
$1.63M 0.28%
+201,107
New +$1.61M
AAPL icon
14
Apple
AAPL
$4.54T
$1.17M 0.2%
68,600
+63,000
+1,125% +$1.04M
VRSN icon
15
PUT
VeriSign
VRSN
$26.2B
$1.02M 0.18%
+20,000
New +$966K
WELL.PRI
16
DELISTED
Welltower Inc.
WELL.PRI
$1M 0.18%
+17,490
New +$1.04M
CONN
17
DELISTED
Conn's Inc.
CONN
$1M 0.17%
+20,000
New +$1.18M
BMR
18
CALL
DELISTED
BIOMED REALTY TRUST INC
BMR
$930K 0.16%
+50,000
New +$981K
SITC icon
19
CALL
SITE Centers
SITC
$225M
$786K 0.14%
+38,805
New +$822K
IVR icon
20
CALL
Invesco Mortgage Capital
IVR
$759M
$770K 0.13%
+5,000
New +$791K
EPR icon
21
EPR Properties
EPR
$4.76B
$739K 0.13%
15,169
-26,000
-63% -$1.31M
LRCX icon
22
Lam Research
LRCX
$367B
$732K 0.13%
143,000
– –
CALY
23
PUT
Callaway Golf Company
CALY
$3.32B
$712K 0.12%
100,000
– –
VOLC
24
PUT
DELISTED
VOLCANO CORPORATION COM STK
VOLC
$599K 0.1%
+25,000
New +$532K
NLY icon
25
CALL
Annaly Capital Management
NLY
$17.1B
$579K 0.1%
+12,500
New +$588K
1
2 3 4

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AIC
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CWA
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SP
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SCA
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LN
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UWP
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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.