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NCCM

Nine Chapters Capital Management Portfolio holdings

AUM $45.4M
1-Year Est. Return 14.43%
This Fund
S&P 500
This Quarter Est. Return
+11.53%
1 Year Est. Return
+14.43%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$994M
AUM Growth
+$141M
Cap. Flow
+$74.5M
Cap. Flow %
7.5%
Top 10 Hldgs %
9.68%
Holding
1,123
New
396
Increased
197
Reduced
176
Closed
353

Top Buys

Rank Stock Value
1
PFE icon
Pfizer
PFE
+$11.1M
2
MPC icon
Marathon Petroleum
MPC
+$9.83M
3
JNJ icon
Johnson & Johnson
JNJ
+$9.56M
4
RL icon
Ralph Lauren
RL
+$7.95M
5
BIDU icon
Baidu
BIDU
+$7.42M

Top Sells

Rank Stock Value
1
AET
Aetna Inc
AET
+$8.06M
2
NBIS
Nebius Group N.V.
NBIS
+$7.6M
3
C icon
Citigroup
C
+$6.63M
4
NE
Noble Corporation
NE
+$6.19M
5
M icon
Macy's
M
+$6.05M

Sector Composition

Rank Sector Weight
1 Industrials 15.23%
2 Technology 14.15%
3 Financials 13.92%
4 Energy 10.25%
5 Consumer Discretionary 10.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SMA
1076
DELISTED
SYMMETRY MEDICAL INC
SMA
– –
-18,200
Closed -$149K
KMP
1077
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
– –
-30,100
Closed -$2.4M
QRE
1078
DELISTED
QR ENERGY LP UNIT LTD PARTNERSHIP INT (DE)
QRE
– –
-24,200
Closed -$394K
QCOR
1079
DELISTED
QUESTCOR PHARMA INC
QCOR
– –
-7,100
Closed -$412K
GA
1080
DELISTED
GIANT INTERACTIVE GROUP INC ADR (CAYMAN ISLANDS)
GA
– –
-19,500
Closed -$178K
FRX
1081
DELISTED
FOREST LABORATORIES INC
FRX
– –
-56,500
Closed -$2.42M
VOCS
1082
DELISTED
VOCUS INC
VOCS
– –
-14,800
Closed -$138K
KFN
1083
DELISTED
KKR FINANCIAL HOLDINGS LLC COM
KFN
– –
-32,600
Closed -$337K
LEAP
1084
DELISTED
LEAP WIRELESS INTERNATIONAL INC NEW
LEAP
– –
-16,500
Closed -$261K
AH
1085
DELISTED
Accretive Health
AH
– –
-10,400
Closed -$95K
PATH
1086
DELISTED
NUPATHE INC COM STK
PATH
– –
-14,900
Closed -$36K
CEC
1087
DELISTED
CEC ENTERTAINMENT INC
CEC
– –
-9,600
Closed -$440K
MKTG
1088
DELISTED
RESPONSYS INC COM STK (CA)
MKTG
– –
-10,100
Closed -$167K
SNTS
1089
DELISTED
SANTARUS INC
SNTS
– –
-46,900
Closed -$1.06M
ELN
1090
DELISTED
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
– –
-312,800
Closed -$4.87M
PSE
1091
DELISTED
PIONEER SOUTHWEST ENERGY PARTNERS LP
PSE
– –
-9,400
Closed -$416K
BRY
1092
DELISTED
BERRY PETROLEUM CO CL A
BRY
– –
-45,200
Closed -$1.95M
ACTV
1093
DELISTED
Active Network Inc
ACTV
– –
-33,700
Closed -$482K
NYX
1094
DELISTED
NYSE EURONEXT INC
NYX
– –
-69,500
Closed -$2.92M
STP
1095
DELISTED
SUNTECH POWER HOLDINGS CO., LTD
STP
– –
-25,900
Closed -$44K
OPTR
1096
DELISTED
OPTIMER PHARMACEUTICALS, INC. COM STK
OPTR
– –
-135,700
Closed -$1.71M
WMS
1097
DELISTED
WMS INDS INC
WMS
– –
-10,000
Closed -$260K
CNH
1098
DELISTED
CNH GLOBAL N.V. (NEW)
CNH
– –
-37,842
Closed -$473K
BTM
1099
DELISTED
OI S.A. SPON ADR REPSTG 3 PFD SHS (BRA)
BTM
– –
-18,700
Closed -$34K
NBG
1100
DELISTED
NATIONAL BANK OF GREECE SA ADR REPSTG 1 SHARE (NEW)
NBG
– –
-24,700
Closed -$100K
41 42 43
44
45

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A
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Nine Chapters Capital Management's Q4 2013 Portfolio in Review

As of Q4 2013, Nine Chapters Capital Management held 1,123 positions worth $994M, up 17% from $853M the previous quarter. Its ten largest holdings account for 9.7% of the portfolio.

Nine Chapters Capital Management deployed $74.5M of net new capital in Q4 2013, opening 396 new positions and adding to 197 existing holdings. Its largest new stake was Pfizer: 382,391 shares worth $11.1M.

By sector, the portfolio is most concentrated in Industrials at 15% of assets, up from 15% a quarter earlier, followed by Technology and Financials.

On the sell side, the largest reduction was Aetna Inc, an estimated $8.06M trimmed.

  • Nine Chapters Capital Management's largest Q4 2013 buy was Pfizer: 382,391 shares worth $11.1M.
  • Nine Chapters Capital Management added most to Ralph Lauren in Q4 2013, an estimated $7.95M increase.
  • Nine Chapters Capital Management's biggest Q4 2013 reduction was Aetna Inc, cutting an estimated $8.06M.
  • Nine Chapters Capital Management fully exited Noble Corporation in Q4 2013, selling an estimated $6.19M.
  • Nine Chapters Capital Management's ten largest holdings make up 9.7% of its $994M portfolio in Q4 2013.
  • Nine Chapters Capital Management opened 396 new positions and closed 353 in Q4 2013.
  • Nine Chapters Capital Management's portfolio value rose 17% quarter-over-quarter to $994M.

Based on Nine Chapters Capital Management's 13F filing for Q4 2013, filed 14 Feb 2014.