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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
+2.65%
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
$1.13B
AUM Growth
+$18.3M
Cap. Flow
-$679M
Cap. Flow %
-60.16%
Top 10 Hldgs %
19.64%
Holding
458
New
61
Increased
55
Reduced
93
Closed
51

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.94M
2
CCI.PRA
Crown Castle International Corp.
CCI.PRA
+$3.87M
3
HBANP
Huntington Bancshars Inc. Pfd Ser A
HBANP
+$3.76M
4
DCUA
DOMINION RESOURCES INC. CORP UNIT 2013 SER A (VA)
DCUA
+$2.7M
5
WELL.PRI
Welltower Inc.
WELL.PRI
+$1.88M

Top Sells

Rank Stock Value
1
GM.PRB
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
+$9.28M
2
MLU
METLIFE, INC. COM EQUITY UNIT
MLU
+$3.63M
3
GT.PRA
GOODYEAR TIRE & RUBR CO PFD CONV (OH)
GT.PRA
+$3.33M
4
BAC.PRL icon
Bank of America Series L
BAC.PRL
+$3.24M
5
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$3.23M

Sector Composition

Rank Sector Weight
1 Financials 3.46%
2 Healthcare 2.81%
3 Technology 2.37%
4 Industrials 2.08%
5 Consumer Discretionary 2.08%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TOL icon
276
Toll Brothers
TOL
$14.5B
– –
-11,427
Closed -$370K
VGK icon
277
Vanguard FTSE Europe ETF
VGK
$31.1B
– –
-30,545
Closed -$1.66M
VSH icon
278
Vishay Intertechnology
VSH
$5.43B
– –
-46,310
Closed -$594K
MDC
279
DELISTED
M.D.C. Holdings, Inc.
MDC
– –
-23,634
Closed -$510K
MTEM
280
DELISTED
Molecular Templates, Inc.
MTEM
– –
-554
Closed -$426K
ETFC
281
DELISTED
E*Trade Financial Corporation
ETFC
– –
-22,840
Closed -$377K
AKRX
282
DELISTED
Akorn Inc
AKRX
– –
-37,965
Closed -$748K
AVEO
283
DELISTED
AVEO Pharmaceuticals, Inc.
AVEO
– –
-18,243
Closed -$375K
MXWL
284
DELISTED
Maxwell Technologies Inc
MXWL
– –
-44,660
Closed -$404K
HZNP
285
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
– –
-122,950
Closed -$411K
PKY
286
DELISTED
Parkway, Inc.
PKY
– –
-31,150
Closed -$553K
SHOR
287
DELISTED
ShoreTel, Inc.
SHOR
– –
-120,825
Closed -$730K
CIE
288
DELISTED
Cobalt International Energy, Inc
CIE
– –
-1,269
Closed -$471K
DANG
289
DELISTED
E-COMMERCE CHINA DANGDANG INC SPNSRD ADS REP COM CL A (CYM)
DANG
– –
-44,240
Closed -$463K
ADT
290
DELISTED
ADT Corp
ADT
– –
-19,064
Closed -$776K
POZN
291
DELISTED
POZEN INC
POZN
– –
-93,245
Closed -$533K
BRCM
292
DELISTED
BROADCOM CORP CL-A
BRCM
– –
-22,931
Closed -$598K
OWW
293
DELISTED
ORBITZ WORLDWIDE, INC
OWW
– –
-38,820
Closed -$374K
RNA
294
DELISTED
PROSENSA HLDGS N V ORD SHS (NLD)
RNA
– –
-26,211
Closed -$170K
ZLC
295
DELISTED
ZALE CORPORATION
ZLC
– –
-29,400
Closed -$447K
MSPD
296
DELISTED
MINDSPEED TECHNOLOGIES INC COM STK
MSPD
– –
-128,100
Closed -$389K
GM.PRB
297
DELISTED
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
– –
-185,030
Closed -$9.28M
ACTV
298
DELISTED
Active Network Inc
ACTV
– –
-40,580
Closed -$580K
KEM
299
DELISTED
KEMET Corporation
KEM
– –
-74,760
Closed -$313K
FCH
300
DELISTED
Felcor Lodging Trust
FCH
– –
-69,270
Closed -$427K
9 10 11
12
13

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VIP
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CHAM
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HTI
Hikari Tsushin Inc Tokyo, Japan $1.45B AUM 3.37% 1-Year Est. Return
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
Lynrock Lake LP Rye Brook, New York $1.46B AUM 17.55% 1-Year Est. Return

SSI Investment Management's Q4 2013 Portfolio in Review

As of Q4 2013, SSI Investment Management held 458 positions worth $1.13B, up 1.6% from $1.11B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

SSI Investment Management withdrew a net $679M in Q4 2013, closing 51 positions and reducing 93 holdings. Its most notable exit was GENERAL MTRS CO JR PFD CONV SER B (DE), an estimated $9.28M position sold in full.

By sector, the portfolio is most concentrated in Financials at 3.5% of assets, up from 2.7% a quarter earlier, followed by Healthcare and Technology.

Against the trend, SSI Investment Management opened a new position in Crown Castle International Corp. worth $3.83M.

  • SSI Investment Management's largest Q4 2013 buy was Crown Castle International Corp.: 38,467 shares worth $3.83M.
  • SSI Investment Management added most to State Street SPDR S&P 500 ETF Trust in Q4 2013, an estimated $8.94M increase.
  • SSI Investment Management's biggest Q4 2013 reduction was METLIFE, INC. COM EQUITY UNIT, cutting an estimated $3.63M.
  • SSI Investment Management fully exited GENERAL MTRS CO JR PFD CONV SER B (DE) in Q4 2013, selling an estimated $9.28M.
  • SSI Investment Management's ten largest holdings make up 20% of its $1.13B portfolio in Q4 2013.
  • SSI Investment Management opened 61 new positions and closed 51 in Q4 2013.
  • SSI Investment Management's portfolio value rose 1.6% quarter-over-quarter to $1.13B.

Based on SSI Investment Management's 13F filing for Q4 2013, filed 7 Feb 2014.