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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
SPWR
276
DELISTED
SunPower Corporation Common Stock
SPWR
– –
-31,609
Closed -$429K
RAD
277
DELISTED
Rite Aid Corporation
RAD
– –
-6,458
Closed -$369K
AJRD
278
DELISTED
Aerojet Rocketdyne Holdings
AJRD
– –
-24,450
Closed -$398K
FOE
279
DELISTED
Ferro Corporation
FOE
– –
-55,920
Closed -$388K
MXIM
280
DELISTED
Maxim Integrated Products
MXIM
– –
-29,421
Closed -$817K
TUES
281
DELISTED
Tuesday Morning Corp
TUES
– –
-32,930
Closed -$341K
JCP
282
DELISTED
J.C. Penney Company, Inc.
JCP
– –
-16,930
Closed -$289K
USG
283
DELISTED
Usg
USG
– –
-18,300
Closed -$422K
ELLI
284
DELISTED
Ellie Mae Inc
ELLI
– –
-47,724
Closed -$1.1M
SNDK
285
DELISTED
SANDISK CORP
SNDK
– –
-8,193
Closed -$501K
MTSN
286
DELISTED
MATTSON TECHNOLOGY INC
MTSN
– –
-181,490
Closed -$398K
DMND
287
DELISTED
DIAMOND FOODS, INC.
DMND
– –
-18,870
Closed -$391K
BMR
288
DELISTED
BIOMED REALTY TRUST INC
BMR
– –
-27,015
Closed -$546K
DYAX
289
DELISTED
DYAX CORPORATION
DYAX
– –
-125,110
Closed -$434K
HME
290
DELISTED
HOME PROPERTIES, INC
HME
– –
-20,782
Closed -$1.35M
DTV
291
DELISTED
DIRECTV COM STK (DE)
DTV
– –
-7,099
Closed -$437K
KRFT
292
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
– –
-18,003
Closed -$1.01M
GTAT
293
DELISTED
GT ADVANCED TECHNOLOGIES INC COM STK (DE)
GTAT
– –
-70,030
Closed -$290K
SPRD
294
DELISTED
SPREADTRUM COMMUNICATIONS INC ADS (CAYMAN ISLANDS)
SPRD
– –
-29,244
Closed -$768K
VELT
295
DELISTED
VELTI PLC, ST HELIER ORDINARY SHARES (JERSEY)
VELT
– –
-271,130
Closed -$379K
TSRX
296
DELISTED
TRIUS THERAPEUTICS INC COM STK (DE)
TSRX
– –
-46,840
Closed -$379K
APA.PRD
297
DELISTED
APACHE CORP DEP SHS REPSTG 1/20TH PFD CONV (DE)
APA.PRD
– –
-47,068
Closed -$2.25M
HBANP
298
DELISTED
Huntington Bancshars Inc. Pfd Ser A
HBANP
– –
-3,000
Closed -$3.65M
ESV
299
DELISTED
Ensco Rowan plc
ESV
– –
-3,202
Closed -$746K
STEC
300
DELISTED
STEC INC COM STK
STEC
– –
-60,090
Closed -$404K
9 10 11
12
13

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SIA
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L7C
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SWP
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WBC
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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.