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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
+0.15%
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
$1.09B
AUM Growth
-$38.4M
Cap. Flow
-$748M
Cap. Flow %
-68.49%
Top 10 Hldgs %
21.3%
Holding
319
New
17
Increased
22
Reduced
88
Closed
17

Top Buys

Rank Stock Value
1
LMBS icon
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
+$3.52M
2
ARNC.PRB
Arconic Inc.
ARNC.PRB
+$2.84M
3
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$2.53M
4
KEY.PRG
KeyCorp Pfd
KEY.PRG
+$2.36M
5
BKLN icon
Invesco Senior Loan ETF
BKLN
+$2.33M

Top Sells

Rank Stock Value
1
FTRPR
Frontier Communications Corporation 11.125% Series A Mandatory Convertible Preferred Stock
FTRPR
+$6.97M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$3.44M
3
CCI.PRA
Crown Castle International Corp.
CCI.PRA
+$3.25M
4
FCAM
Fiat Chrysler Automobiles N.V.
FCAM
+$2.96M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$2.89M

Sector Composition

Rank Sector Weight
1 Financials 0.81%
2 Industrials 0.55%
3 Healthcare 0.53%
4 Technology 0.52%
5 Communication Services 0.47%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NXPI icon
126
NXP Semiconductors
NXPI
$60.4B
$214K 0.02%
2,194
-4
-0.2% -$397
EOG icon
127
EOG Resources
EOG
$70.7B
$212K 0.02%
2,076
-3
-0.1% -$292
IBM icon
128
IBM
IBM
$224B
$208K 0.02%
+1,315
New +$200K
IP icon
129
International Paper
IP
$22B
$207K 0.02%
+4,124
New +$191K
BKNG icon
130
Booking.com
BKNG
$161B
$206K 0.02%
3,600
– –
EG icon
131
Everest Group
EG
$14.4B
$206K 0.02%
+945
New +$195K
LMT icon
132
Lockheed Martin
LMT
$136B
$204K 0.02%
+818
New +$204K
LOW icon
133
Lowe's Companies
LOW
$125B
$202K 0.02%
2,858
-2,391
-46% -$169K
ON icon
134
ON Semiconductor
ON
$31.6B
$201K 0.02%
15,831
-27
-0.2% -$322
NKE icon
135
Nike
NKE
$61.9B
$200K 0.02%
3,939
-7
-0.2% -$359
F icon
136
Ford
F
$55.7B
$154K 0.01%
+12,794
New +$155K
XRX icon
137
Xerox
XRX
$425M
$126K 0.01%
5,505
-10
-0.2% -$249
ALL icon
138
Allstate
ALL
$67.5B
– –
-3,125
Closed -$216K
EA
139
DELISTED
Electronic Arts
EA
– –
-2,624
Closed -$225K
FPX icon
140
First Trust US Equity Opportunities ETF
FPX
$1.49B
– –
-47,602
Closed -$2.58M
GLD icon
141
SPDR Gold Trust
GLD
$142B
– –
-8,491
Closed -$1.06M
GM icon
142
General Motors
GM
$76.8B
– –
-9,072
Closed -$288K
HYG icon
143
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.9B
– –
-460,000
Closed -$40.1M
KR icon
144
Kroger
KR
$34.8B
– –
-6,762
Closed -$200K
MCK icon
145
McKesson
MCK
$101B
– –
-1,982
Closed -$333K
MDLZ icon
146
Mondelez International
MDLZ
$79.9B
– –
-5,437
Closed -$239K
SPY icon
147
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$810B
– –
-15,000
Closed -$3.24M
TLT icon
148
iShares 20+ Year Treasury Bond ETF
TLT
$40.9B
– –
-25,013
Closed -$3.44M
YUM icon
149
Yum! Brands
YUM
$41.1B
– –
-3,092
Closed -$201K
ARE.PRD
150
DELISTED
Alexandria Real Estate Equities Inc 7.00% Series D Preferred Stock
ARE.PRD
– –
-75,000
Closed -$2.67M
3 4 5
6
7

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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 2016 Portfolio in Review

As of Q4 2016, SSI Investment Management held 319 positions worth $1.09B, down 3.4% from $1.13B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

SSI Investment Management withdrew a net $748M in Q4 2016, closing 17 positions and reducing 88 holdings. Its most notable exit was iShares 20+ Year Treasury Bond ETF, an estimated $3.44M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.81% of assets, up from 0.62% a quarter earlier, followed by Industrials and Healthcare.

Against the trend, SSI Investment Management opened a new position in First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF worth $3.49M.

  • SSI Investment Management's largest Q4 2016 buy was First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF: 66,971 shares worth $3.49M.
  • SSI Investment Management added most to KeyCorp Pfd in Q4 2016, an estimated $2.36M increase.
  • SSI Investment Management's biggest Q4 2016 reduction was Frontier Communications Corporation 11.125% Series A Mandatory Convertible Preferred Stock, cutting an estimated $6.97M.
  • SSI Investment Management fully exited iShares 20+ Year Treasury Bond ETF in Q4 2016, selling an estimated $3.44M.
  • SSI Investment Management's ten largest holdings make up 21% of its $1.09B portfolio in Q4 2016.
  • SSI Investment Management opened 17 new positions and closed 17 in Q4 2016.
  • SSI Investment Management's portfolio value fell 3.4% quarter-over-quarter to $1.09B.

Based on SSI Investment Management's 13F filing for Q4 2016, filed 10 Feb 2017.