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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
+13.55%
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
$116M
AUM Growth
-$9.98M
Cap. Flow
-$29.9M
Cap. Flow %
-25.66%
Top 10 Hldgs %
97.37%
Holding
53
New
9
Increased
2
Reduced
3
Closed
37

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$15.8M
2
RYAAY icon
Ryanair
RYAAY
+$12.7M
3
DSAC
Duddell Street Acquisition Corp. Class A Ordinary Shares
DSAC
+$9.87M
4
BHP icon
BHP
BHP
+$7.59M
5
CONXU
CONX Corp. Unit
CONXU
+$6.09M

Top Sells

Rank Stock Value
1
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$25.6M
2
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$24.5M
3
KT icon
KT
KT
+$18M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$4.35M
5
JD icon
JD.com
JD
+$3.46M

Sector Composition

Rank Sector Weight
1 Communication Services 33.21%
2 Industrials 20.76%
3 Consumer Discretionary 11.76%
4 Technology 9.08%
5 Materials 7.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IWM icon
26
iShares Russell 2000 ETF
IWM
$80.4B
– –
-2,292
Closed -$343K
JD icon
27
JD.com
JD
$42.9B
– –
-45,618
Closed -$3.46M
JNJ icon
28
CALL
Johnson & Johnson
JNJ
$643B
– –
-40,000
Closed -$268K
JNJ icon
29
PUT
Johnson & Johnson
JNJ
$643B
– –
-40,000
Closed -$179K
KO icon
30
CALL
Coca-Cola
KO
$380B
– –
-100,000
Closed -$134K
KO icon
31
PUT
Coca-Cola
KO
$380B
– –
-100,000
Closed -$189K
MA icon
32
CALL
Mastercard
MA
$497B
– –
-20,000
Closed -$291K
MA icon
33
PUT
Mastercard
MA
$497B
– –
-20,000
Closed -$272K
MMM icon
34
CALL
3M
MMM
$94.1B
– –
-41,860
Closed -$210K
MMM icon
35
PUT
3M
MMM
$94.1B
– –
-41,860
Closed -$305K
MRK icon
36
CALL
Merck
MRK
$326B
– –
-60,470
Closed -$95K
MRK icon
37
PUT
Merck
MRK
$326B
– –
-60,470
Closed -$160K
MSFT icon
38
CALL
Microsoft
MSFT
$2.92T
– –
-45,500
Closed -$442K
MSFT icon
39
PUT
Microsoft
MSFT
$2.92T
– –
-45,500
Closed -$512K
MUFG icon
40
Mitsubishi UFJ Financial
MUFG
$253B
– –
-410,878
Closed -$1.62M
NOC icon
41
CALL
Northrop Grumman
NOC
$78B
– –
-15,000
Closed -$81K
NOC icon
42
Northrop Grumman
NOC
$78B
– –
-3,055
Closed -$964K
NOC icon
43
PUT
Northrop Grumman
NOC
$78B
– –
-15,000
Closed -$317K
NTES icon
44
NetEase
NTES
$81.5B
– –
-23,500
Closed -$2.09M
ORCL icon
45
CALL
Oracle
ORCL
$346B
– –
-100,000
Closed -$191K
ORCL icon
46
PUT
Oracle
ORCL
$346B
– –
-100,000
Closed -$212K
QQQ icon
47
Invesco QQQ Trust
QQQ
$445B
– –
-15,668
Closed -$4.35M
SMFG icon
48
Sumitomo Mitsui Financial
SMFG
$163B
– –
-4,437,941
Closed -$24.5M
UMC icon
49
United Microelectronic
UMC
$43.6B
– –
-10,800
Closed -$53K
XLE icon
50
CALL
State Street Energy Select Sector SPDR ETF
XLE
$38.3B
– –
-400,000
Closed -$314K
1
2
3

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CL
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CPA
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IIC
Ironwood Investment Counsel Scottsdale, Arizona $694M AUM 16.84% 1-Year Est. Return
MCM
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SSA
South Street Advisors New York $690M AUM 39.17% 1-Year Est. Return
WC
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WIM
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Nine Masts Capital's Q4 2020 Portfolio in Review

As of Q4 2020, Nine Masts Capital held 53 positions worth $116M, down 7.9% from $126M the previous quarter. Its ten largest holdings account for 97% of the portfolio.

Nine Masts Capital withdrew a net $29.9M in Q4 2020, closing 37 positions and reducing 3 holdings. Its most notable exit was Sumitomo Mitsui Financial, an estimated $24.5M position sold in full.

By sector, the portfolio is most concentrated in Communication Services at 33% of assets, down from 58% a quarter earlier, followed by Industrials and Consumer Discretionary.

Against the trend, Nine Masts Capital opened a new position in Alibaba worth $13.7M.

  • Nine Masts Capital's largest Q4 2020 buy was Alibaba: 57,058 shares worth $13.7M.
  • Nine Masts Capital added most to Infosys in Q4 2020, an estimated $4.09M increase.
  • Nine Masts Capital's biggest Q4 2020 reduction was Alphabet (Google) Class A, cutting an estimated $25.6M.
  • Nine Masts Capital fully exited Sumitomo Mitsui Financial in Q4 2020, selling an estimated $24.5M.
  • Nine Masts Capital's ten largest holdings make up 97% of its $116M portfolio in Q4 2020.
  • Nine Masts Capital opened 9 new positions and closed 37 in Q4 2020.
  • Nine Masts Capital's portfolio value fell 7.9% quarter-over-quarter to $116M.

Based on Nine Masts Capital's 13F filing for Q4 2020, filed 16 Feb 2021.