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Sonora Investment Management Portfolio holdings

AUM $798M
1-Year Est. Return 17.61%
This Fund
S&P 500
This Quarter Est. Return
+6.94%
1 Year Est. Return
+17.61%
3 Year Est. Return
+32.82%
5 Year Est. Return
+55.86%
10 Year Est. Return
–
AUM
$1.21B
AUM Growth
+$126M
Cap. Flow
+$41.6M
Cap. Flow %
3.45%
Top 10 Hldgs %
19.08%
Holding
1,962
New
108
Increased
215
Reduced
241
Closed
206

Top Buys

Rank Stock Value
1
MET.PRF icon
MetLife Inc 4.75% Series F Preferred Stock
MET.PRF
+$12.4M
2
DLR.PRL icon
Digital Realty Trust 5.200% Series L Preferred Stock
DLR.PRL
+$4.46M
3
USB icon
US Bancorp
USB
+$3.2M
4
KO icon
Coca-Cola
KO
+$2.67M
5
AMZN icon
Amazon
AMZN
+$2.52M

Top Sells

Rank Stock Value
1
MET.PRE icon
MetLife Inc 5.625% Series E Preferred Stock
MET.PRE
+$10.7M
2
INTC icon
Intel
INTC
+$1.13M
3
KMI icon
Kinder Morgan
KMI
+$773K
4
SRNE
Sorrento Therapeutics, Inc.
SRNE
+$689K
5
TFC.PRH
Truist Financial Corporation Depositary Shares, each representing a 1/1,000th interest in a share of
TFC.PRH
+$607K

Sector Composition

Rank Sector Weight
1 Miscellaneous 53.02%
2 Technology 13.33%
3 Consumer Staples 6.13%
4 Industrials 5.32%
5 Healthcare 5.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBL
1076
DELISTED
Noble Energy, Inc.
NBL
– –
-200
Closed -$2K
KTP
1077
DELISTED
Structured Products CorTS J.C. Penney Debs, 7 5/8% Cert.
KTP
$0 ﹤0.01%
700
– –
DF
1078
DELISTED
Dean Foods Company
DF
– –
-300
Closed –
MFGP
1079
DELISTED
Micro Focus International plc. American Depositary Shares, each representing One Ordinary Share
MFGP
– –
-170
Closed -$1K
AKAO
1080
DELISTED
Achaogen Inc
AKAO
$0 ﹤0.01%
1,000
– –
SODA
1081
DELISTED
SodaStream International Ltd
SODA
$0 ﹤0.01%
200
– –
ACTA
1082
DELISTED
Actua Corp
ACTA
$0 ﹤0.01%
1
– –
CRC
1083
DELISTED
California Resources Corporation
CRC
– –
-12
Closed –
WAVX
1084
DELISTED
WAVE SYS CORP CL A NEW COM STK (DE)
WAVX
$0 ﹤0.01%
1
– –
OUBS
1085
DELISTED
USB AG (NEW)
OUBS
– –
-551
Closed -$6K
ECTY
1086
DELISTED
ECOTALITY INC COMMON STOCK (NV)
ECTY
$0 ﹤0.01%
833
– –
HDY
1087
DELISTED
HYPERDYNAMICS CORP (NEW)
HDY
$0 ﹤0.01%
13
– –
KRY
1088
DELISTED
CRYSTALLEX INTERNATIONAL CP
KRY
$0 ﹤0.01%
+50
New –
TELOZ
1089
DELISTED
TEL OFFSHORE TRUST UBI
TELOZ
$0 ﹤0.01%
7
– –
NT
1090
DELISTED
NORTEL NETWORKS CRP(HLDG CO) NEW
NT
$0 ﹤0.01%
10
– –
TMA
1091
DELISTED
THORNBURG MTG INC COM NEW (MD)
TMA
$0 ﹤0.01%
105
– –
HLT
1092
DELISTED
HILTON HOTELS CORP
HLT
– –
-24
Closed -$2K
VASO
1093
DELISTED
VASOMEDICAL INC
VASO
$0 ﹤0.01%
2,000
– –
AEB
1094
DELISTED
Aegon NV 5.29964% Floating Rate Perpetual Capital Securities
AEB
– –
-64
Closed -$2K
NLY.PRD
1095
DELISTED
Annaly Capital Management, Inc. 7.50% Series D Cumulative Redeemable Preferred Stock
NLY.PRD
– –
-980
Closed -$25K
SAN.PRB
1096
DELISTED
Banco Santander, S.A. Floating Rate Non-cumulative Series 6 Guaranteed Preferred Securities
SAN.PRB
– –
-431
Closed -$10K
UN
1097
DELISTED
Unilever NV New York Registry Shares
UN
– –
-382
Closed -$23K
STL
1098
DELISTED
Sterling Bancorp
STL
– –
-198
Closed -$2K
40 41 42 43
44

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KFM
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Sonora Investment Management's Q4 2020 Portfolio in Review

As of Q4 2020, Sonora Investment Management held 1,962 positions worth $1.21B, up 12% from $1.08B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Sonora Investment Management deployed $41.6M of net new capital in Q4 2020, opening 108 new positions and adding to 215 existing holdings. Its largest new stake was Fifth Third Bancorp Depositary Shares 4.95% Preferred Stock Series K: 84,885 shares worth $2.35M.

By sector, the portfolio is most concentrated in Miscellaneous at 53% of assets, down from 57% a quarter earlier, followed by Technology and Consumer Staples.

On the sell side, the largest reduction was Intel, an estimated $1.13M trimmed.

  • Sonora Investment Management's largest Q4 2020 buy was Fifth Third Bancorp Depositary Shares 4.95% Preferred Stock Series K: 84,885 shares worth $2.35M.
  • Sonora Investment Management added most to MetLife Inc 4.75% Series F Preferred Stock in Q4 2020, an estimated $12.4M increase.
  • Sonora Investment Management's biggest Q4 2020 reduction was Intel, cutting an estimated $1.13M.
  • Sonora Investment Management fully exited MetLife Inc 5.625% Series E Preferred Stock in Q4 2020, selling an estimated $10.7M.
  • Sonora Investment Management's ten largest holdings make up 19% of its $1.21B portfolio in Q4 2020.
  • Sonora Investment Management opened 108 new positions and closed 206 in Q4 2020.
  • Sonora Investment Management's portfolio value rose 12% quarter-over-quarter to $1.21B.

Based on Sonora Investment Management's 13F filing for Q4 2020, filed 13 Jan 2021.