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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
FINL
176
DELISTED
Finish Line
FINL
– –
-10,500
Closed -$230K
CVO
177
DELISTED
Cenevo, Inc.
CVO
– –
-2,693
Closed -$46K
OME
178
DELISTED
Omega Protein
OME
– –
-10,157
Closed -$91K
SCLN
179
DELISTED
Sciclone Pharmaceuticals Inc
SCLN
– –
-12,255
Closed -$61K
PPP
180
DELISTED
Primero Mining Corp
PPP
– –
-10,162
Closed -$45K
PWE
181
DELISTED
Penn West Energy Petroleum Ltd
PWE
– –
-27,700
Closed -$293K
BAA
182
DELISTED
Banro Corporation Common Stock
BAA
– –
-4,330
Closed -$33K
CBR
183
DELISTED
CIBER Inc.
CBR
– –
-14,696
Closed -$49K
HNR
184
DELISTED
Harvest Natural Resources
HNR
– –
-7,875
Closed -$98K
CRDC
185
DELISTED
CARDICA INC COM NEW (DE)
CRDC
– –
-1,085
Closed -$12K
UNIS
186
DELISTED
Unilife Corporation
UNIS
– –
-1,180
Closed -$37K
MTSN
187
DELISTED
MATTSON TECHNOLOGY INC
MTSN
– –
-10,671
Closed -$23K
TSYS
188
DELISTED
TELECOMMUNICATIONS SYS INC "A"
TSYS
– –
-25,719
Closed -$60K
NES
189
DELISTED
NUVERRA ENVIRONMENTAL INC NEW COM STK (DE)
NES
– –
-2,080
Closed -$60K
RBY
190
DELISTED
RUBICON MENERALS CORP (F)
RBY
– –
-14,300
Closed -$18K
OWW
191
DELISTED
ORBITZ WORLDWIDE, INC
OWW
– –
-12,988
Closed -$104K
MEA
192
DELISTED
METALICO INC
MEA
– –
-26,494
Closed -$32K
MCGC
193
DELISTED
MCG CAP CORP
MCGC
– –
-13,700
Closed -$71K
SUTR
194
DELISTED
Sutor Technology Group Limited Common Stock
SUTR
– –
-13,772
Closed -$21K
GFIG
195
DELISTED
GFI GROUP INC
GFIG
– –
-23,287
Closed -$91K
SIMG
196
DELISTED
SILICON IMAGE INC
SIMG
– –
-10,400
Closed -$61K
BPZ
197
DELISTED
BPZ RESOURCES INC COM STK
BPZ
– –
-15,277
Closed -$27K
WTSL
198
DELISTED
WET SEAL INC CL-A
WTSL
– –
-12,900
Closed -$61K
AZC
199
DELISTED
AUGUSTA RESOURCE CORP
AZC
– –
-11,200
Closed -$24K
CWTR
200
DELISTED
COLDWATER CREEK INC COM STK NEW (DE)
CWTR
– –
-10,052
Closed -$25K
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.