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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
+2.88%
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
$487M
AUM Growth
-$11M
Cap. Flow
-$181M
Cap. Flow %
-37.16%
Top 10 Hldgs %
67.02%
Holding
97
New
20
Increased
18
Reduced
12
Closed
38

Top Buys

1
TFCF
Twenty-First Century Fox, Inc. Class B
TFCF
+$29.4M
2
HAR
Harman International Industries
HAR
+$9.44M
3
ENH
Endurance Specialty Holdings Ltd
ENH
+$5.35M
4
MLCO icon
Melco Resorts & Entertainment
MLCO
+$5.31M
5
VALE icon
Vale
VALE
+$5.09M

Top Sells

1
TSM icon
TSMC
TSM
+$25.5M
2
HSBC icon
HSBC
HSBC
+$17.2M
3
IBN icon
ICICI Bank
IBN
+$14.3M
4
BHP icon
BHP
BHP
+$8.75M
5
IM
Ingram Micro
IM
+$7.46M

Sector Composition

1 Financials 15.45%
2 Technology 14.97%
3 Communication Services 7.32%
4 Consumer Discretionary 1.65%
5 Materials 1.09%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EWJ icon
51
PUT
iShares MSCI Japan ETF
EWJ
$21.5B
$120K 0.02%
+20,000
New +$999K
SPY icon
52
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$777B
$32K 0.01%
+7
New +$1.53K
ADX icon
53
Adams Diversified Equity Fund
ADX
$3.19B
– –
-21,260
Closed -$280K
AVK
54
Advent Convertible and Income Fund
AVK
$555M
– –
-4,356
Closed -$62K
AWF
55
AllianceBernstein Global High Income Fund
AWF
$873M
– –
-12,596
Closed -$159K
BBN icon
56
BlackRock Taxable Municipal Bond Trust
BBN
$987M
– –
-98,809
Closed -$2.37M
BHP icon
57
BHP
BHP
$207B
– –
-285,907
Closed -$8.75M
CCD
58
Calamos Dynamic Convertible & Income Fund
CCD
$710M
– –
-19,000
Closed -$353K
CHI
59
Calamos Convertible Opportunities and Income Fund
CHI
$1.03B
– –
-35,088
Closed -$362K
CHY
60
Calamos Convertible and High Income Fund
CHY
$1.05B
– –
-30,350
Closed -$334K
DPG
61
Duff & Phelps Utility and Infrastructure Fund
DPG
$535M
– –
-22,400
Closed -$383K
EMD
62
Western Asset Emerging Markets Debt Fund
EMD
$618M
– –
-29,335
Closed -$477K
ETJ
63
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$563M
– –
-34,711
Closed -$327K
ETY icon
64
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
$2.29B
– –
-14,143
Closed -$151K
EVV
65
Eaton Vance Limited Duration Income Fund
EVV
$1.08B
– –
-121,989
Closed -$1.67M
FAX
66
abrdn Asia-Pacific Income Fund
FAX
$594M
– –
-19,110
Closed -$587K
FPF
67
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.1B
– –
-143,498
Closed -$3.35M
GAM
68
General American Investors Company
GAM
$1.55B
– –
-5,300
Closed -$173K
GDV icon
69
Gabelli Dividend & Income Trust
GDV
$2.59B
– –
-55,941
Closed -$1.07M
HSBC icon
70
HSBC
HSBC
$345B
– –
-517,284
Closed -$17.2M
HYT icon
71
BlackRock Corporate High Yield Fund
HYT
$1.37B
– –
-37,651
Closed -$407K
IBN icon
72
ICICI Bank
IBN
$106B
– –
-2,068,780
Closed -$14.3M
IGR
73
CBRE Global Real Estate Income Fund
IGR
$721M
– –
-20,883
Closed -$175K
ISD
74
PGIM High Yield Bond Fund
ISD
$422M
– –
-15,520
Closed -$248K
JPC icon
75
Nuveen Preferred & Income Opportunities Fund
JPC
$2.92B
– –
-80,756
Closed -$809K
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
Continental General Insurance Company Austin, Texas $693M AUM 90.58% 1-Year Est. Return
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
Pembroke Management Montreal, Quebec, Canada $691M AUM 27.96% 1-Year Est. Return

Nine Masts Capital's Q4 2016 Portfolio in Review

As of Q4 2016, Nine Masts Capital held 97 positions worth $487M, down 2.2% from $498M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Nine Masts Capital withdrew a net $181M in Q4 2016, closing 38 positions and reducing 12 holdings. Its most notable exit was HSBC, an estimated $17.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 15% of assets, down from 21% a quarter earlier, followed by Technology and Communication Services.

Against the trend, Nine Masts Capital opened a new position in Twenty-First Century Fox, Inc. Class B worth $29.9M.

  • Nine Masts Capital's largest Q4 2016 buy was Twenty-First Century Fox, Inc. Class B: 1,097,588 shares worth $29.9M.
  • Nine Masts Capital added most to Vanguard Short-Term Corporate Bond ETF in Q4 2016, an estimated $2M increase.
  • Nine Masts Capital's biggest Q4 2016 reduction was TSMC, cutting an estimated $25.5M.
  • Nine Masts Capital fully exited HSBC in Q4 2016, selling an estimated $17.2M.
  • Nine Masts Capital's ten largest holdings make up 67% of its $487M portfolio in Q4 2016.
  • Nine Masts Capital opened 20 new positions and closed 38 in Q4 2016.
  • Nine Masts Capital's portfolio value fell 2.2% quarter-over-quarter to $487M.

Based on Nine Masts Capital's 13F filing for Q4 2016, filed 9 Feb 2017.