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CIM

Confluence Investment Management Portfolio holdings

AUM $6.4B
1-Year Est. Return 9.79%
This Fund
S&P 500
This Quarter Est. Return
+6.69%
1 Year Est. Return
+9.79%
3 Year Est. Return
+34.83%
5 Year Est. Return
+43.81%
10 Year Est. Return
+168.7%
AUM
$1.81B
AUM Growth
+$194M
Cap. Flow
+$94.1M
Cap. Flow %
5.2%
Top 10 Hldgs %
20.73%
Holding
272
New
18
Increased
142
Reduced
83
Closed
17

Top Buys

Rank Stock Value
1
NTRS icon
Northern Trust
NTRS
+$16.8M
2
CVX icon
Chevron
CVX
+$12.6M
3
IJK icon
iShares S&P Mid-Cap 400 Growth ETF
IJK
+$11.3M
4
NXPI icon
NXP Semiconductors
NXPI
+$9.92M
5
RYN icon
Rayonier
RYN
+$8.28M

Top Sells

Rank Stock Value
1
RLI icon
RLI Corp
RLI
+$21.2M
2
DJP icon
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
+$10.6M
3
JNK icon
State Street SPDR Bloomberg High Yield Bond ETF
JNK
+$7.59M
4
LDR
Landauer Inc
LDR
+$7.53M
5
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$7.53M

Sector Composition

Rank Sector Weight
1 Financials 21.26%
2 Industrials 12.98%
3 Healthcare 8.69%
4 Technology 8.3%
5 Energy 5.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XOP icon
251
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.5B
$211K 0.01%
+770
New +$210K
FSP
252
Franklin Street Properties
FSP
$48.6M
$131K 0.01%
11,000
– –
BP icon
253
BP
BP
$108B
– –
-13,317
Closed -$458K
DECK icon
254
Deckers Outdoor
DECK
$13.6B
– –
-397,584
Closed -$4.37M
DJP icon
255
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$785M
– –
-285,512
Closed -$10.6M
DXJ icon
256
WisdomTree Japan Hedged Equity Fund
DXJ
$7.36B
– –
-4,542
Closed -$218K
FAX
257
abrdn Asia-Pacific Income Fund
FAX
$598M
– –
-11,486
Closed -$418K
FCG icon
258
First Trust Natural Gas ETF
FCG
$615M
– –
-2,538
Closed -$237K
FDUS icon
259
Fidus Investment
FDUS
$782M
– –
-103,443
Closed -$2.01M
FXA icon
260
Invesco CurrencyShares Australian Dollar Trust
FXA
$97.6M
– –
-2,302
Closed -$215K
IGSB icon
261
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
– –
-19,080
Closed -$1M
IMO icon
262
Imperial Oil
IMO
$61.1B
– –
-9,599
Closed -$422K
NEM icon
263
Newmont
NEM
$112B
– –
-11,559
Closed -$325K
PSEC icon
264
Prospect Capital
PSEC
$1.11B
– –
-19,539
Closed -$218K
RLI icon
265
RLI Corp
RLI
$5.82B
– –
-968,516
Closed -$21.2M
WMT icon
266
Walmart Inc
WMT
$894B
– –
-125,775
Closed -$3.1M
DEL
267
DELISTED
Deltic Timber
DEL
– –
-5,549
Closed -$361K
BTU
268
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
– –
-1,242
Closed -$321K
MUAC
269
DELISTED
ISHARES TR 2014 AMT-FREE MUN TERM ETF
MUAC
– –
-9,357
Closed -$483K
7 8 9 10
11

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Confluence Investment Management's Q4 2013 Portfolio in Review

As of Q4 2013, Confluence Investment Management held 272 positions worth $1.81B, up 12% from $1.61B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Confluence Investment Management deployed $94.1M of net new capital in Q4 2013, opening 18 new positions and adding to 142 existing holdings. Its largest new stake was Northern Trust: 293,257 shares worth $18.1M.

By sector, the portfolio is most concentrated in Financials at 21% of assets, down from 21% a quarter earlier, followed by Industrials and Healthcare.

On the sell side, the largest reduction was State Street SPDR Bloomberg High Yield Bond ETF, an estimated $7.59M trimmed.

  • Confluence Investment Management's largest Q4 2013 buy was Northern Trust: 293,257 shares worth $18.1M.
  • Confluence Investment Management added most to Chevron in Q4 2013, an estimated $12.6M increase.
  • Confluence Investment Management's biggest Q4 2013 reduction was State Street SPDR Bloomberg High Yield Bond ETF, cutting an estimated $7.59M.
  • Confluence Investment Management fully exited RLI Corp in Q4 2013, selling an estimated $21.2M.
  • Confluence Investment Management's ten largest holdings make up 21% of its $1.81B portfolio in Q4 2013.
  • Confluence Investment Management opened 18 new positions and closed 17 in Q4 2013.
  • Confluence Investment Management's portfolio value rose 12% quarter-over-quarter to $1.81B.

Based on Confluence Investment Management's 13F filing for Q4 2013, filed 4 Feb 2014.