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NMC

Nine Masts Capital Portfolio holdings

AUM $693M
1-Year Est. Return 31.93%
This Fund
S&P 500
This Quarter Est. Return
+3.75%
1 Year Est. Return
+31.93%
3 Year Est. Return
+76.49%
5 Year Est. Return
+38.28%
10 Year Est. Return
+77.77%
AUM
$675M
AUM Growth
-$165M
Cap. Flow
-$377M
Cap. Flow %
-55.8%
Top 10 Hldgs %
83.35%
Holding
283
New
105
Increased
21
Reduced
27
Closed
112

Top Buys

1
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$82.8M
2
AABA
Altaba Inc
AABA
+$22.5M
3
VALE.P
Vale S A
VALE.P
+$8M
4
ZTO icon
ZTO Express
ZTO
+$6.28M
5
NTES icon
NetEase
NTES
+$5.69M

Top Sells

1
TSM icon
TSMC
TSM
+$63.2M
2
FXI icon
iShares China Large-Cap ETF
FXI
+$44.5M
3
VALE icon
Vale
VALE
+$21.1M
4
IBN icon
ICICI Bank
IBN
+$14.3M
5
PRXL
Parexel International Corp
PRXL
+$12.5M

Sector Composition

1 Communication Services 30.46%
2 Technology 14.71%
3 Financials 7.46%
4 Consumer Discretionary 4.37%
5 Industrials 3.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
STX icon
251
Seagate
STX
$178B
– –
-77,475
Closed -$2.63M
STX icon
252
PUT
Seagate
STX
$178B
– –
-2,600
Closed -$691K
TGT icon
253
Target
TGT
$63.4B
– –
-182,666
Closed -$10.2M
TPR icon
254
Tapestry
TPR
$28.6B
– –
-8,500
Closed -$402K
TSM icon
255
TSMC
TSM
$2.05T
– –
-1,808,684
Closed -$63.2M
TT icon
256
Trane Technologies
TT
$104B
– –
-681
Closed -$62K
TT icon
257
PUT
Trane Technologies
TT
$104B
– –
-42
Closed -$4K
UL icon
258
Unilever
UL
$134B
– –
-173,244
Closed -$10.5M
URI icon
259
PUT
United Rentals
URI
$65.4B
– –
-800
Closed -$242K
VALE icon
260
Vale
VALE
$60.3B
– –
-2,415,425
Closed -$21.1M
VVR icon
261
Invesco Senior Income Trust
VVR
$457M
– –
-231,600
Closed -$1.06M
WDC icon
262
Western Digital
WDC
$164B
– –
-34,329
Closed -$2.28M
X
263
DELISTED
US Steel
X
– –
-169,764
Closed -$4.15M
CTR
264
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
– –
-1,200
Closed -$77K
CEM
265
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
– –
-8,400
Closed -$641K
MGI
266
DELISTED
MoneyGram International, Inc. New
MGI
– –
-425,417
Closed -$7.34M
PTR
267
DELISTED
PETROCHINA COMPANY LIMITED ADS (REP 100 H SHARES)
PTR
– –
-7,040
Closed -$431K
PCI
268
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
– –
-110,400
Closed -$2.46M
VTA
269
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
– –
-54,500
Closed -$655K
MIE
270
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
– –
-10,100
Closed -$110K
SDRL
271
PUT
DELISTED
Seadrill Limited Common Stock
SDRL
– –
-35,483
Closed -$14.9M
GMZ
272
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
– –
-1,100
Closed -$74K
ESRX
273
DELISTED
Express Scripts Holding Company
ESRX
– –
-11,200
Closed -$715K
ESRX
274
PUT
DELISTED
Express Scripts Holding Company
ESRX
– –
-1,000
Closed -$60K
PRXL
275
DELISTED
Parexel International Corp
PRXL
– –
-143,311
Closed -$12.5M
8 9 10
11
12

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HG
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HA
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M
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HI
Hoey Investments Coatesville, Pennsylvania $693M AUM 34.99% 1-Year Est. Return
CGIC
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CL
CIM LLC Albany, New York $692M AUM 22.9% 1-Year Est. Return
CPA
Capital Planning Advisors Roseville, California $692M AUM 21.81% 1-Year Est. Return
PM
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Nine Masts Capital's Q3 2017 Portfolio in Review

As of Q3 2017, Nine Masts Capital held 283 positions worth $675M, down 20% from $840M the previous quarter. Its ten largest holdings account for 83% of the portfolio.

Nine Masts Capital withdrew a net $377M in Q3 2017, closing 112 positions and reducing 27 holdings. Its most notable exit was TSMC, an estimated $63.2M position sold in full.

By sector, the portfolio is most concentrated in Communication Services at 30% of assets, up from 13% a quarter earlier, followed by Technology and Financials.

Against the trend, Nine Masts Capital opened a new position in Vale S A worth $7.98M.

  • Nine Masts Capital's largest Q3 2017 buy was Vale S A: 853,100 shares worth $7.98M.
  • Nine Masts Capital added most to Alphabet (Google) Class A in Q3 2017, an estimated $82.8M increase.
  • Nine Masts Capital's biggest Q3 2017 reduction was ICICI Bank, cutting an estimated $14.3M.
  • Nine Masts Capital fully exited TSMC in Q3 2017, selling an estimated $63.2M.
  • Nine Masts Capital's ten largest holdings make up 83% of its $675M portfolio in Q3 2017.
  • Nine Masts Capital opened 105 new positions and closed 112 in Q3 2017.
  • Nine Masts Capital's portfolio value fell 20% quarter-over-quarter to $675M.

Based on Nine Masts Capital's 13F filing for Q3 2017, filed 13 Nov 2017.