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RCM

Rotella Capital Management Portfolio holdings

AUM $1.47M
1-Year Est. Return 12.32%
This Fund
S&P 500
This Quarter Est. Return
+5.62%
1 Year Est. Return
-12.32%
3 Year Est. Return
+26.58%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$53.7M
AUM Growth
+$22.3M
Cap. Flow
+$20.7M
Cap. Flow %
38.61%
Top 10 Hldgs %
37.68%
Holding
216
New
74
Increased
24
Reduced
29
Closed
83

Top Buys

Rank Stock Value
1
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$1.95M
2
FXI icon
iShares China Large-Cap ETF
FXI
+$1.35M
3
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$1.29M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$1.21M
5
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$1.14M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$1.94M
2
SH icon
ProShares Short S&P500
SH
+$861K
3
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$705K
4
SDS icon
ProShares UltraShort S&P500
SDS
+$654K
5
VXX
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
+$634K

Sector Composition

Rank Sector Weight
1 Healthcare 3.9%
2 Technology 3.02%
3 Industrials 2.51%
4 Financials 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SDS icon
151
ProShares UltraShort S&P500
SDS
$389M
– –
-160
Closed -$654K
SH icon
152
ProShares Short S&P500
SH
$895M
– –
-3,625
Closed -$861K
SNOA icon
153
Sonoma Pharmaceuticals
SNOA
$5.89M
– –
-12
Closed -$28K
SSKN
154
DELISTED
Strata Skin Sciences
SSKN
– –
-48
Closed -$22K
SVM
155
Silvercorp Metals
SVM
$2.41B
– –
-16,500
Closed -$46K
TSEM icon
156
Tower Semiconductor
TSEM
$25B
– –
-11,700
Closed -$56K
UEC icon
157
Uranium Energy
UEC
$5.31B
– –
-31,595
Closed -$57K
VGZ icon
158
Vista Gold
VGZ
$289M
– –
-19,900
Closed -$19K
TEN
159
Tsakos Energy Navigation Ltd
TEN
$1.15B
– –
-7,407
Closed -$177K
CSCI
160
DELISTED
COSCIENS Biopharma Inc. Common Stock
CSCI
– –
-2
Closed -$30K
EGIO
161
DELISTED
Edgio, Inc. Common Stock
EGIO
– –
-558
Closed -$50K
ERF
162
DELISTED
Enerplus Corporation
ERF
– –
-14,305
Closed -$210K
CMLS
163
DELISTED
Cumulus Media Inc. Class A Common Stock
CMLS
– –
-2,545
Closed -$69K
NM
164
DELISTED
Navios Maritime Holdings Inc.
NM
– –
-1,680
Closed -$94K
CGRN
165
DELISTED
Capstone Green Energy Corporation Common Stock
CGRN
– –
-83
Closed -$19K
SJR
166
DELISTED
Shaw Communications Inc.
SJR
– –
-8,900
Closed -$214K
ALR
167
DELISTED
AlerisLife Inc
ALR
– –
-1,300
Closed -$73K
CDR
168
DELISTED
Cedar Realty Trust, Inc
CDR
– –
-1,834
Closed -$63K
AT
169
DELISTED
Atlantic Power Corporation
AT
– –
-24,500
Closed -$96K
OMN
170
DELISTED
OMNOVA Solutions Inc.
OMN
– –
-15,400
Closed -$123K
MNI
171
DELISTED
The McClatchy Company Class A Common Stock
MNI
– –
-1,982
Closed -$45K
CBK
172
DELISTED
Christopher & Banks Corporation
CBK
– –
-11,580
Closed -$78K
NAUH
173
DELISTED
National American University Holdings, Inc.
NAUH
– –
-26,187
Closed -$98K
SNMX
174
DELISTED
Senomyx, Inc.
SNMX
– –
-15,488
Closed -$34K
ELON
175
DELISTED
Echelon Corp
ELON
– –
-1,050
Closed -$22K
5 6
7
8 9

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Rotella Capital Management's Q3 2013 Portfolio in Review

As of Q3 2013, Rotella Capital Management held 216 positions worth $53.7M, up 71% from $31.5M the previous quarter. Its ten largest holdings account for 38% of the portfolio.

Rotella Capital Management deployed $20.7M of net new capital in Q3 2013, opening 74 new positions and adding to 24 existing holdings. Its largest new stake was iShares China Large-Cap ETF: 38,100 shares worth $1.41M.

By sector, the portfolio is most concentrated in Healthcare at 3.9% of assets, up from 3.8% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was Invesco QQQ Trust, an estimated $1.94M trimmed.

  • Rotella Capital Management's largest Q3 2013 buy was iShares China Large-Cap ETF: 38,100 shares worth $1.41M.
  • Rotella Capital Management added most to iShares 1-5 Year Investment Grade Corporate Bond ETF in Q3 2013, an estimated $1.95M increase.
  • Rotella Capital Management's biggest Q3 2013 reduction was Invesco QQQ Trust, cutting an estimated $1.94M.
  • Rotella Capital Management fully exited ProShares Short S&P500 in Q3 2013, selling an estimated $861K.
  • Rotella Capital Management's ten largest holdings make up 38% of its $53.7M portfolio in Q3 2013.
  • Rotella Capital Management opened 74 new positions and closed 83 in Q3 2013.
  • Rotella Capital Management's portfolio value rose 71% quarter-over-quarter to $53.7M.

Based on Rotella Capital Management's 13F filing for Q3 2013, filed 18 Nov 2013.