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SIM

SSI Investment Management Portfolio holdings

AUM $1.45B
1-Year Est. Return 5.8%
This Fund
S&P 500
This Quarter Est. Return
+1.97%
1 Year Est. Return
+5.8%
3 Year Est. Return
+11.81%
5 Year Est. Return
+13.07%
10 Year Est. Return
+29.97%
AUM
$1.11B
AUM Growth
+$88.6M
Cap. Flow
-$614M
Cap. Flow %
-55.33%
Top 10 Hldgs %
18.88%
Holding
446
New
65
Increased
51
Reduced
104
Closed
64

Top Buys

Rank Stock Value
1
WELL.PRI
Welltower Inc.
WELL.PRI
+$15.1M
2
WY.PRA
WEYERHAEUSER COMP PREF CONV SER A (WA)
WY.PRA
+$3.87M
3
NEE.PRO
NEXTERA ENERGY INC UNITS EXPIRING 09/01/2015 (FL)
NEE.PRO
+$3.77M
4
VGK icon
Vanguard FTSE Europe ETF
VGK
+$1.6M
5
TFCFA
Twenty-First Century Fox, Inc. Class A
TFCFA
+$1.53M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$16.4M
2
HBANP
Huntington Bancshars Inc. Pfd Ser A
HBANP
+$3.65M
3
OCR.PRB
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
+$3.18M
4
BAC.PRL icon
Bank of America Series L
BAC.PRL
+$2.87M
5
MLU
METLIFE, INC. COM EQUITY UNIT
MLU
+$2.79M

Sector Composition

Rank Sector Weight
1 Healthcare 2.71%
2 Financials 2.68%
3 Technology 2.61%
4 Consumer Discretionary 2.04%
5 Industrials 1.77%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GT icon
251
Goodyear
GT
$1.85B
– –
-20,835
Closed -$318K
HBI
252
DELISTED
Hanesbrands
HBI
– –
-62,408
Closed -$803K
HIMX
253
Himax Technologies
HIMX
$2.55B
– –
-166,295
Closed -$867K
IVR icon
254
Invesco Mortgage Capital
IVR
$805M
– –
-5,529
Closed -$914K
JBL icon
255
Jabil
JBL
$35.8B
– –
-40,328
Closed -$820K
KMI icon
256
Kinder Morgan
KMI
$68.7B
– –
-12,076
Closed -$459K
LLY icon
257
Eli Lilly
LLY
$1.06T
– –
-9,708
Closed -$476K
LUMN icon
258
Lumen
LUMN
$6.44B
– –
-17,446
Closed -$615K
MCHP icon
259
Microchip Technology
MCHP
$46B
– –
-39,848
Closed -$743K
MGM icon
260
MGM Resorts International
MGM
$11.2B
– –
-26,555
Closed -$392K
MOS icon
261
The Mosaic Company
MOS
$7.33B
– –
-12,204
Closed -$658K
MTB icon
262
M&T Bank
MTB
$36.2B
– –
-6,032
Closed -$674K
PH icon
263
Parker-Hannifin
PH
$135B
– –
-7,389
Closed -$705K
RAIL icon
264
FreightCar America
RAIL
$260M
– –
-23,300
Closed -$396K
RL icon
265
Ralph Lauren
RL
$23.6B
– –
-5,442
Closed -$947K
TER icon
266
Teradyne
TER
$59.3B
– –
-37,585
Closed -$661K
TGT icon
267
Target
TGT
$68B
– –
-14,885
Closed -$1.03M
TMO icon
268
Thermo Fisher Scientific
TMO
$220B
– –
-9,743
Closed -$824K
TRV icon
269
Travelers Companies
TRV
$80.2B
– –
-8,495
Closed -$678K
TSN icon
270
Tyson Foods
TSN
$20.4B
– –
-34,282
Closed -$880K
UPS icon
271
United Parcel Service
UPS
$88.9B
– –
-9,205
Closed -$796K
X
272
DELISTED
US Steel
X
– –
-22,640
Closed -$397K
XOMA
273
DELISTED
Xoma
XOMA
– –
-3,714
Closed -$270K
GAP
274
The Gap Inc
GAP
$7.37B
– –
-16,581
Closed -$692K
MRO
275
DELISTED
Marathon Oil Corporation
MRO
– –
-9,290
Closed -$322K
9 10
11
12 13

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CHAM
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HTI
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SIA
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L7C
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SWP
Strategic Wealth Partners Independence, Ohio $1.44B AUM 21.2% 1-Year Est. Return
WBC
Westpac Banking Corp Sydney, Australia $1.44B AUM 28.5% 1-Year Est. Return
LLL
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SSI Investment Management's Q3 2013 Portfolio in Review

As of Q3 2013, SSI Investment Management held 446 positions worth $1.11B, up 8.7% from $1.02B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

SSI Investment Management withdrew a net $614M in Q3 2013, closing 64 positions and reducing 104 holdings. Its most notable exit was Huntington Bancshars Inc. Pfd Ser A, an estimated $3.65M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 2.7% of assets, up from 2.4% a quarter earlier, followed by Financials and Technology.

Against the trend, SSI Investment Management opened a new position in Welltower Inc. worth $14.7M.

  • SSI Investment Management's largest Q3 2013 buy was Welltower Inc.: 254,750 shares worth $14.7M.
  • SSI Investment Management added most to Foot Locker in Q3 2013, an estimated $1.39M increase.
  • SSI Investment Management's biggest Q3 2013 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $16.4M.
  • SSI Investment Management fully exited Huntington Bancshars Inc. Pfd Ser A in Q3 2013, selling an estimated $3.65M.
  • SSI Investment Management's ten largest holdings make up 19% of its $1.11B portfolio in Q3 2013.
  • SSI Investment Management opened 65 new positions and closed 64 in Q3 2013.
  • SSI Investment Management's portfolio value rose 8.7% quarter-over-quarter to $1.11B.

Based on SSI Investment Management's 13F filing for Q3 2013, filed 12 Nov 2013.