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SSI Investment Management Portfolio holdings

AUM $1.72B
1-Year Est. Return 7.09%
This Fund
S&P 500
This Quarter Est. Return
-0.77%
1 Year Est. Return
+7.09%
3 Year Est. Return
+15.65%
5 Year Est. Return
+16.94%
10 Year Est. Return
+34.3%
AUM
$1.49B
AUM Growth
-$101M
Cap. Flow
-$1.14B
Cap. Flow %
-76.74%
Top 10 Hldgs %
25.08%
Holding
302
New
5
Increased
60
Reduced
18
Closed
18

Top Buys

Rank Stock Value
1
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$15.2M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$14.9M
3
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$3.43M
4
IBB icon
iShares Biotechnology ETF
IBB
+$2.68M
5
NEE.PRQ
NextEra Energy, Inc. 6.219% Corporate Units
NEE.PRQ
+$1.98M

Top Sells

Rank Stock Value
1
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$28.3M
2
KKR.PRC
KKR & Co. Inc. 6.00% Series C Mandatory Convertible Preferred Stock
KKR.PRC
+$8.55M
3
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$7.16M
4
IYW icon
iShares US Technology ETF
IYW
+$4.85M
5
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$4.55M

Sector Composition

Rank Sector Weight
1 Technology 0.75%
2 Healthcare 0.46%
3 Financials 0.45%
4 Consumer Discretionary 0.31%
5 Communication Services 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RCA
26
DELISTED
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
$2.16M 0.14%
86,500
+25,000
+41% +$629K
GOOGL icon
27
Alphabet (Google) Class A
GOOGL
$4.37T
$2.15M 0.14%
22,452
+12
+0.1% +$1.33K
FLG.PRU
28
Flagstar Bank National Association Bifurcated Option Note Unit Securities
FLG.PRU
$118M
$2.02M 0.14%
47,157
– –
AMZN icon
29
Amazon
AMZN
$3T
$1.89M 0.13%
16,714
+24
+0.1% +$3.03K
NEE.PRQ
30
DELISTED
NextEra Energy, Inc. 6.219% Corporate Units
NEE.PRQ
$1.83M 0.12%
+37,780
New +$1.98M
XLE icon
31
State Street Energy Select Sector SPDR ETF
XLE
$39.3B
$1.78M 0.12%
49,348
-51,764
-51% -$1.96M
XLU icon
32
State Street Utilities Select Sector SPDR ETF
XLU
$22.4B
$1.71M 0.11%
52,152
+124
+0.2% +$4.54K
RBCP
33
DELISTED
RBC Bearings Incorporated 5.00% Series A Mandatory Convertible Preferred Stock
RBCP
$1.62M 0.11%
15,750
+6,000
+62% +$684K
AQNU
34
DELISTED
Algonquin Power & Utilities Corp Units
AQNU
$1.31M 0.09%
35,000
– –
UNH icon
35
UnitedHealth
UNH
$371B
$1.12M 0.08%
2,215
+5
+0.2% +$2.63K
JPM icon
36
JPMorgan Chase
JPM
$956B
$1.09M 0.07%
10,453
+12
+0.1% +$1.38K
BRK.B icon
37
Berkshire Hathaway Class B
BRK.B
$1.14T
$1.06M 0.07%
3,972
– –
KMB icon
38
Kimberly-Clark
KMB
$35.9B
$977K 0.07%
8,685
– –
JNJ icon
39
Johnson & Johnson
JNJ
$631B
$953K 0.06%
5,823
+6
+0.1% +$1.01K
PG icon
40
Procter & Gamble
PG
$340B
$843K 0.06%
6,679
+12
+0.2% +$1.71K
PFE icon
41
Pfizer
PFE
$154B
$805K 0.05%
18,413
+52
+0.3% +$2.53K
TSLA icon
42
Tesla
TSLA
$1.31T
$799K 0.05%
3,016
+7
+0.2% +$1.96K
IYR icon
43
iShares US Real Estate ETF
IYR
$4.52B
$763K 0.05%
9,371
+15
+0.2% +$1.42K
BAC icon
44
Bank of America
BAC
$447B
$699K 0.05%
23,164
+30
+0.1% +$1K
L icon
45
Loews
L
$23.3B
$659K 0.04%
13,232
– –
META icon
46
Meta Platforms (Facebook)
META
$1.52T
$623K 0.04%
4,581
+4
+0.1% +$648
V icon
47
Visa
V
$675B
$620K 0.04%
3,491
+8
+0.2% +$1.63K
NVDA icon
48
NVIDIA
NVDA
$5.27T
$610K 0.04%
50,140
+50
+0.1% +$790
COST icon
49
Costco
COST
$423B
$602K 0.04%
1,278
– –
IWD icon
50
iShares Russell 1000 Value ETF
IWD
$84.2B
$555K 0.04%
4,077
– –
1
2
3 4 5

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WJA
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OMC
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CC
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II
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RIA
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PAIM
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VCM
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SSI Investment Management's Q3 2022 Portfolio in Review

As of Q3 2022, SSI Investment Management held 302 positions worth $1.49B, down 6.4% from $1.59B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

SSI Investment Management withdrew a net $1.14B in Q3 2022, closing 18 positions and reducing 18 holdings. Its most notable exit was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A, an estimated $28.3M position sold in full.

By sector, the portfolio is most concentrated in Technology at 0.75% of assets, up from 0.75% a quarter earlier, followed by Healthcare and Financials.

Against the trend, SSI Investment Management opened a new position in iShares Biotechnology ETF worth $2.52M.

  • SSI Investment Management's largest Q3 2022 buy was iShares Biotechnology ETF: 21,577 shares worth $2.52M.
  • SSI Investment Management added most to Wells Fargo 7.5% Non Cumv Perp Conv in Q3 2022, an estimated $15.2M increase.
  • SSI Investment Management's biggest Q3 2022 reduction was KKR & Co. Inc. 6.00% Series C Mandatory Convertible Preferred Stock, cutting an estimated $8.55M.
  • SSI Investment Management fully exited Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A in Q3 2022, selling an estimated $28.3M.
  • SSI Investment Management's ten largest holdings make up 25% of its $1.49B portfolio in Q3 2022.
  • SSI Investment Management opened 5 new positions and closed 18 in Q3 2022.
  • SSI Investment Management's portfolio value fell 6.4% quarter-over-quarter to $1.49B.

Based on SSI Investment Management's 13F filing for Q3 2022, filed 4 Nov 2022.