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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
+9.7%
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
$498M
AUM Growth
+$82.8M
Cap. Flow
-$62.1M
Cap. Flow %
-12.47%
Top 10 Hldgs %
60.44%
Holding
91
New
37
Increased
17
Reduced
16
Closed
15

Top Buys

1
HSBC icon
HSBC
HSBC
+$16.2M
2
IBN icon
ICICI Bank
IBN
+$14.4M
3
TSM icon
TSMC
TSM
+$11.8M
4
ISIL
Intersil Corp
ISIL
+$8.29M
5
BHP icon
BHP
BHP
+$7.85M

Top Sells

1
CHAD
Direxion Daily CSI 300 China A Share Bear 1X Shares
CHAD
+$20M
2
EJ
E HOUSE (CHINA) HOLDINGS LIMITED
EJ
+$14.1M
3
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$10.1M
4
AUO
AU Optronics Corp
AUO
+$9.26M
5
MFLX
MULTI-FINELINE ELECTRONIX INC
MFLX
+$5.16M

Sector Composition

1 Technology 22.36%
2 Financials 20.9%
3 Consumer Discretionary 2.83%
4 Materials 2.69%
5 Utilities 1.75%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HYT icon
51
BlackRock Corporate High Yield Fund
HYT
$1.37B
$407K 0.08%
+37,651
New +$404K
DPG
52
Duff & Phelps Utility and Infrastructure Fund
DPG
$535M
$383K 0.08%
+22,400
New +$384K
CHI
53
Calamos Convertible Opportunities and Income Fund
CHI
$1.04B
$362K 0.07%
+35,088
New +$364K
CCD
54
Calamos Dynamic Convertible & Income Fund
CCD
$722M
$353K 0.07%
+19,000
New +$359K
CHY
55
Calamos Convertible and High Income Fund
CHY
$1.06B
$334K 0.07%
+30,350
New +$338K
ETJ
56
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$571M
$327K 0.07%
+34,711
New +$337K
BABA icon
57
PUT
Alibaba
BABA
$282B
$312K 0.06%
+1,020
New +$94.5K
ADX icon
58
Adams Diversified Equity Fund
ADX
$3.21B
$280K 0.06%
+21,260
New +$278K
ISD
59
PGIM High Yield Bond Fund
ISD
$425M
$248K 0.05%
+15,520
New +$247K
BGY icon
60
BlackRock Enhanced International Dividend Trust
BGY
$518M
$194K 0.04%
+32,641
New +$192K
GGN
61
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$753M
$182K 0.04%
+28,500
New +$187K
IGR
62
CBRE Global Real Estate Income Fund
IGR
$712M
$175K 0.04%
+20,883
New +$176K
GAM
63
General American Investors Company
GAM
$1.55B
$173K 0.03%
+5,300
New +$172K
AWF
64
AllianceBernstein Global High Income Fund
AWF
$875M
$159K 0.03%
12,596
-12,104
-49% -$152K
ETY icon
65
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
$2.31B
$151K 0.03%
+14,143
New +$151K
VVR icon
66
Invesco Senior Income Trust
VVR
$459M
$79K 0.02%
18,256
-18,473
-50% -$79.5K
AVK
67
Advent Convertible and Income Fund
AVK
$562M
$62K 0.01%
+4,356
New +$62K
SABA
68
Saba Capital Income & Opportunities Fund II
SABA
$223M
$41K 0.01%
3,291
-14,910
-82% -$190K
PTY icon
69
PIMCO Corporate & Income Opportunity Fund
PTY
$2.52B
$21K ﹤0.01%
1,416
-40,198
-97% -$588K
PTR
70
DELISTED
PETROCHINA COMPANY LIMITED ADS (REP 100 H SHARES)
PTR
$1K ﹤0.01%
7
-49,300
-100% -$3.32M
YDKG
71
Yueda Digital Holding
YDKG
$5.32M
– –
-151
Closed -$1.04M
AOD
72
abrdn Total Dynamic Dividend Fund
AOD
$1.11B
– –
-50,370
Closed -$366K
ATHM icon
73
Autohome
ATHM
$2.51B
– –
-72,200
Closed -$1.45M
BGB
74
Blackstone Strategic Credit 2027 Term Fund
BGB
$506M
– –
-32,400
Closed -$466K
ETG
75
Eaton Vance Tax-Advantaged Global Dividend Income Fund
ETG
$1.77B
– –
-12,900
Closed -$186K
1 2
3
4

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HG
Harbor Group Bedford, New Hampshire $692M AUM 13% 1-Year Est. Return
HA
Harbor Advisors West Palm Beach, Florida $692M AUM 33.65% 1-Year Est. Return
M
MATAURO New York $692M AUM 26.24% 1-Year Est. Return
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 2016 Portfolio in Review

As of Q3 2016, Nine Masts Capital held 91 positions worth $498M, up 20% from $415M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Nine Masts Capital withdrew a net $62.1M in Q3 2016, closing 15 positions and reducing 16 holdings. Its most notable exit was Direxion Daily CSI 300 China A Share Bear 1X Shares, an estimated $20M position sold in full.

By sector, the portfolio is most concentrated in Technology at 22% of assets, up from 20% a quarter earlier, followed by Financials and Consumer Discretionary.

Against the trend, Nine Masts Capital opened a new position in HSBC worth $17.2M.

  • Nine Masts Capital's largest Q3 2016 buy was HSBC: 517,284 shares worth $17.2M.
  • Nine Masts Capital added most to TSMC in Q3 2016, an estimated $11.8M increase.
  • Nine Masts Capital's biggest Q3 2016 reduction was AU Optronics Corp, cutting an estimated $9.26M.
  • Nine Masts Capital fully exited Direxion Daily CSI 300 China A Share Bear 1X Shares in Q3 2016, selling an estimated $20M.
  • Nine Masts Capital's ten largest holdings make up 60% of its $498M portfolio in Q3 2016.
  • Nine Masts Capital opened 37 new positions and closed 15 in Q3 2016.
  • Nine Masts Capital's portfolio value rose 20% quarter-over-quarter to $498M.

Based on Nine Masts Capital's 13F filing for Q3 2016, filed 15 Nov 2016.