CPP

Crow Point Partners Portfolio holdings

AUM $58.8M
1-Year Return 32.62%
This Quarter Return
+0.37%
1 Year Return
+32.62%
3 Year Return
+55.82%
5 Year Return
–
10 Year Return
–
AUM
$614M
AUM Growth
-$24.4M
Cap. Flow
-$28.8M
Cap. Flow %
-4.68%
Top 10 Hldgs %
41.12%
Holding
382
New
55
Increased
11
Reduced
121
Closed
81

Top Buys

1
CME icon
CME Group
CME
$14.7M
2
SOJA
The Southern Company Series 2015A 6.25% Junior Subordinated Notes due October 15, 2075
SOJA
$10.4M
3
SAB.CL
Saratoga Investment Corp. 6.75% Notes due 2023 Called
SAB.CL
$5.17M
4
RILYL
B. Riley Financial, Inc. 7.50% Senior Notes
RILYL
$2.56M
5
MDLX
Medley LLC 6.875% Senior Notes due 2026
MDLX
$2.41M

Top Sells

1
SYNT
Syntel Inc
SYNT
$23.4M
2
LUMN icon
Lumen
LUMN
$11.7M
3
GMRE
Global Medical REIT
GMRE
$7.23M
4
SOJB
The Southern Company Series 2016A 5.25% Junior Subordinated Notes due October 1, 2076
SOJB
$4.15M
5
DTJ
DTE Energy Company 2016 Series B 5.375% Junior Subordinated Debentures due 2076
DTJ
$3.66M

Sector Composition

1 Utilities 47.54%
2 Communication Services 12.87%
3 Financials 7.7%
4 Real Estate 7.4%
5 Energy 2.52%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
RDS.A
276
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
– –
-162
Closed -$8K
COF.PRG
277
DELISTED
Capital One Financial Corporation
COF.PRG
– –
-5,000
Closed -$127K
SOJB
278
DELISTED
The Southern Company Series 2016A 5.25% Junior Subordinated Notes due October 1, 2076
SOJB
– –
-164,000
Closed -$4.15M
WFC.PRX
279
DELISTED
Wells Fargo & Company Depositary Shares, each representing a 1/1,000th interest in a share of Non-Cu
WFC.PRX
– –
-6,000
Closed -$154K
CTAA
280
DELISTED
Qwest Corporation 7% Notes due 2056
CTAA
– –
-3,670
Closed -$100K
LMHB
281
DELISTED
Legg Mason, Inc. 5.45% Junior Subordinated Notes due 2056
LMHB
– –
-4,000
Closed -$100K
MS.PRG.CL
282
DELISTED
MORGAN STANLEY 6.625% Called for Redemption
MS.PRG.CL
– –
-5,311
Closed -$148K
BBT.PRH
283
DELISTED
BB&T Corporation
BBT.PRH
– –
-11,021
Closed -$292K
JPM.PRE.CL
284
DELISTED
JPMORGAN CHASE & CO. Depositary Shares, each representing a 1/400th interest in a share of 6.30% Non
JPM.PRE.CL
– –
-5,973
Closed -$166K
TMK.PRC
285
DELISTED
Torchmark Corporation
TMK.PRC
– –
-8,338
Closed -$228K
SYNT
286
DELISTED
Syntel Inc
SYNT
– –
-557,482
Closed -$23.4M
SPIL
287
DELISTED
Siliconware Precision Industries Co Ltd
SPIL
– –
-976
Closed -$7K
MENT
288
DELISTED
Mentor Graphics Corp
MENT
– –
-8,520
Closed -$210K
ENH
289
DELISTED
Endurance Specialty Holdings Ltd
ENH
– –
-2,649
Closed -$174K
NCT.PRB
290
DELISTED
Newcastle Investment Corp
NCT.PRB
– –
-6,375
Closed -$166K
IEH
291
DELISTED
INTEGRYS ENERGY GROUP INC 6% JR SUB NT DUE 8-1-2073 (WI)
IEH
– –
-25,050
Closed -$685K
SI
292
DELISTED
SIEMENS AKTIENGESELLSCHAFT ADS
SI
– –
-128
Closed -$15K
NSANY
293
DELISTED
NISSAN MOTOR CO LTD SPONS ADR
NSANY
– –
-737
Closed -$14K
NPSN
294
DELISTED
NASPERS LTD
NPSN
– –
-1,611
Closed -$28K
DFT.PRC
295
DELISTED
DuPont Fabros Technology, Inc.
DFT.PRC
– –
-3,118
Closed -$87K
CEO
296
DELISTED
CNOOC Limited
CEO
– –
-57
Closed -$7K
NLY.PRD
297
DELISTED
Annaly Capital Management, Inc. 7.50% Series D Cumulative Redeemable Preferred Stock
NLY.PRD
– –
-2,746
Closed -$69K
EAB
298
DELISTED
Entergy Arkansas, LLC First Mortgage Bonds, 4.90% Series due December 1, 2052
EAB
– –
-1,074
Closed -$28K
AHL.PRB.CL
299
DELISTED
ASPEN Insurance Holding Limited
AHL.PRB.CL
– –
-6,080
Closed -$157K
WNR
300
DELISTED
Western Refining Inc
WNR
– –
-10,059
Closed -$255K
9 10 11
12
13