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
EFC
151
Ellington Financial
EFC
$1.37B
$70K 0.01%
4,483
-12,173
-73% -$190K
WMT icon
152
Walmart
WMT
$797B
$69K 0.01%
3,006
-2,373
-44% -$54.5K
AIC
153
DELISTED
Arlington Asset Investment Corp.
AIC
$67K 0.01%
3,000
– –
KB icon
154
KB Financial Group
KB
$28.5B
$66K 0.01%
1,859
-2,976
-62% -$106K
BLX icon
155
Foreign Trade Bank of Latin America
BLX
$1.72B
$63K 0.01%
2,138
-4,997
-70% -$147K
TEVA icon
156
Teva Pharmaceuticals
TEVA
$21.5B
$62K 0.01%
1,706
-1,940
-53% -$70.5K
COF icon
157
Capital One
COF
$141B
$60K 0.01%
692
-377
-35% -$32.7K
ACGL icon
158
Arch Capital
ACGL
$34.1B
$59K 0.01%
+2,049
New +$59K
KEP icon
159
Korea Electric Power
KEP
$17.2B
$59K 0.01%
3,168
-7,421
-70% -$138K
CTB
160
DELISTED
Cooper Tire & Rubber Co.
CTB
$58K 0.01%
1,496
-4,912
-77% -$190K
DE icon
161
Deere & Co
DE
$128B
$57K 0.01%
+558
New +$57K
UNH icon
162
UnitedHealth
UNH
$286B
$57K 0.01%
355
-280
-44% -$45K
NAVI icon
163
Navient
NAVI
$1.35B
$56K 0.01%
3,392
-14,462
-81% -$239K
NVS icon
164
Novartis
NVS
$251B
$55K 0.01%
846
-221
-21% -$14.4K
PNC icon
165
PNC Financial Services
PNC
$80.3B
$55K 0.01%
+469
New +$55K
APO icon
166
Apollo Global Management
APO
$74.9B
$53K 0.01%
2,750
-2,175
-44% -$41.9K
IVZ icon
167
Invesco
IVZ
$9.74B
$53K 0.01%
+1,750
New +$53K
MFIC icon
168
MidCap Financial Investment
MFIC
$1.21B
$53K 0.01%
+3,000
New +$53K
PBCTP
169
DELISTED
People's United Financial, Inc. Perpetual Preferred Series A Fixed-to-floating Rate
PBCTP
$52K 0.01%
+2,000
New +$52K
BAC.PRC
170
DELISTED
Bank of America Corporation Depositary Shares, each representing a 1/1,000th interest in a share of
BAC.PRC
$52K 0.01%
1,900
– –
BPOP icon
171
Popular Inc
BPOP
$8.45B
$51K 0.01%
1,170
-281
-19% -$12.2K
EEFT icon
172
Euronet Worldwide
EEFT
$3.72B
$51K 0.01%
706
-180
-20% -$13K
IBM icon
173
IBM
IBM
$231B
$51K 0.01%
323
-1,163
-78% -$184K
VOD icon
174
Vodafone
VOD
$28.5B
$51K 0.01%
2,102
-4,074
-66% -$98.8K
CIM
175
Chimera Investment
CIM
$1.18B
$49K 0.01%
953
-693
-42% -$35.6K
5 6
7
8 9