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SI

SII Investments Portfolio holdings

AUM $965M
1-Year Est. Return 15.44%
This Fund
S&P 500
This Quarter Est. Return
+5.34%
1 Year Est. Return
+15.44%
3 Year Est. Return
+24.3%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$422M
AUM Growth
-$42M
Cap. Flow
-$61.1M
Cap. Flow %
-14.48%
Top 10 Hldgs %
24.45%
Holding
420
New
35
Increased
131
Reduced
136
Closed
93

Top Buys

Rank Stock Value
1
COLE
COLE REAL ESTATE INVESTMENTS, INC COM
COLE
+$5.76M
2
BSV icon
Vanguard Short-Term Bond ETF
BSV
+$5.3M
3
BNDX icon
Vanguard Total International Bond ETF
BNDX
+$5.09M
4
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$3.54M
5
BSJI
Invesco BulletShares 2018 High Yield Corporate Bond ETF
BSJI
+$3.36M

Top Sells

Rank Stock Value
1
COP icon
ConocoPhillips
COP
+$6M
2
PSX icon
Phillips 66
PSX
+$4.25M
3
PWV icon
Invesco Large Cap Value ETF
PWV
+$4.24M
4
VUG icon
Vanguard Morningstar Growth ETF
VUG
+$3.88M
5
KMP
KINDER MORGAN ENER PNTRS L.P.
KMP
+$3.61M

Sector Composition

Rank Sector Weight
1 Energy 9.29%
2 Industrials 6.75%
3 Healthcare 5.31%
4 Financials 5.27%
5 Consumer Staples 4.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
INFN
401
DELISTED
Infinera Corporation Common Stock
INFN
– –
-12,350
Closed -$128K
MMP
402
DELISTED
Magellan Midstream Partners, L.P.
MMP
– –
-4,014
Closed -$219K
LSI
403
DELISTED
Life Storage, Inc.
LSI
– –
-15,600
Closed -$669K
SDRL
404
DELISTED
Seadrill Limited Common Stock
SDRL
– –
-125
Closed -$1.35M
NAVB
405
DELISTED
Navidea Biopharmaceuticals Inc.
NAVB
– –
-2,521
Closed -$134K
AET
406
DELISTED
Aetna Inc
AET
– –
-3,217
Closed -$206K
AGU
407
DELISTED
Agrium
AGU
– –
-11,571
Closed -$1.01M
PNRA
408
DELISTED
Panera Bread Co
PNRA
– –
-1,148
Closed -$213K
PWE
409
DELISTED
Penn West Energy Petroleum Ltd
PWE
– –
-29,631
Closed -$309K
SQNM
410
DELISTED
SEQUENOM INC NEW
SQNM
– –
-19,800
Closed -$82K
LINE
411
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
– –
-24,605
Closed -$820K
ARG
412
DELISTED
Airgas Inc
ARG
– –
-2,095
Closed -$200K
ALU
413
DELISTED
Alcatel-Lucent
ALU
– –
-12,360
Closed -$21K
MTS
414
DELISTED
MONTGOMERY STR INCOME SECS
MTS
– –
-33,675
Closed -$545K
KRFT
415
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
– –
-14,610
Closed -$860K
KMP
416
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
– –
-41,991
Closed -$3.61M
PDLI
417
DELISTED
PDL BioPharma, Inc.
PDLI
– –
-11,121
Closed -$86K
IRY
418
DELISTED
SPDR S&P International Health Care Sector
IRY
– –
-10,855
Closed -$436K
HYF
419
DELISTED
MANAGED HIGH YLD PLUS FD INC
HYF
– –
-11,441
Closed -$23K
BONO
420
DELISTED
MARKET VECTORS LATAM AGGREGATE BD ETF (DE)
BONO
– –
-32,960
Closed -$781K
13 14 15 16
17

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SII Investments's Q3 2013 Portfolio in Review

As of Q3 2013, SII Investments held 420 positions worth $422M, down 9.1% from $464M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

SII Investments withdrew a net $61.1M in Q3 2013, closing 93 positions and reducing 136 holdings. Its most notable exit was Invesco Large Cap Value ETF, an estimated $4.24M position sold in full.

By sector, the portfolio is most concentrated in Energy at 9.3% of assets, down from 11% a quarter earlier, followed by Industrials and Healthcare.

Against the trend, SII Investments opened a new position in COLE REAL ESTATE INVESTMENTS, INC COM worth $6.22M.

  • SII Investments's largest Q3 2013 buy was COLE REAL ESTATE INVESTMENTS, INC COM: 507,221 shares worth $6.22M.
  • SII Investments added most to Vanguard Short-Term Bond ETF in Q3 2013, an estimated $5.3M increase.
  • SII Investments's biggest Q3 2013 reduction was ConocoPhillips, cutting an estimated $6M.
  • SII Investments fully exited Invesco Large Cap Value ETF in Q3 2013, selling an estimated $4.24M.
  • SII Investments's ten largest holdings make up 24% of its $422M portfolio in Q3 2013.
  • SII Investments opened 35 new positions and closed 93 in Q3 2013.
  • SII Investments's portfolio value fell 9.1% quarter-over-quarter to $422M.

Based on SII Investments's 13F filing for Q3 2013, filed 14 Nov 2013.