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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
HW
176
DELISTED
Headwaters Inc
HW
$514K 0.05%
+57,300
New +$520K
MDC
177
DELISTED
M.D.C. Holdings, Inc.
MDC
$510K 0.05%
+23,634
New +$520K
LDK
178
DELISTED
LDK SOLAR CO LTD.
LDK
$506K 0.05%
262,210
-26,380
-9% -$41.3K
CAT icon
179
Caterpillar
CAT
$387B
$505K 0.05%
+6,028
New +$510K
WELL icon
180
Welltower
WELL
$171B
$499K 0.05%
7,989
– –
PNW icon
181
Pinnacle West Capital
PNW
$12.2B
$482K 0.04%
+8,798
New +$494K
ARAY icon
182
Accuray
ARAY
$34M
$480K 0.04%
+65,110
New +$411K
WEB
183
DELISTED
Web.com Group, Inc.
WEB
$472K 0.04%
+14,565
New +$416K
CIE
184
DELISTED
Cobalt International Energy, Inc
CIE
$471K 0.04%
+1,269
New +$513K
DANG
185
DELISTED
E-COMMERCE CHINA DANGDANG INC SPNSRD ADS REP COM CL A (CYM)
DANG
$463K 0.04%
+44,240
New +$391K
BNY
186
Bank of New York Mellon
BNY
$107B
$459K 0.04%
15,151
-16,566
-52% -$508K
ODP
187
DELISTED
ODP
ODP
$452K 0.04%
9,370
– –
ACN icon
188
Accenture
ACN
$108B
$448K 0.04%
6,079
-57
-0.9% -$4.22K
ZLC
189
DELISTED
ZALE CORPORATION
ZLC
$447K 0.04%
29,400
-13,570
-32% -$148K
SUNE
190
DELISTED
SUNEDISON, INC COM
SUNE
$439K 0.04%
+55,120
New +$457K
BWEN icon
191
Broadwind
BWEN
$109M
$438K 0.04%
+55,850
New +$323K
BCRX icon
192
BioCryst Pharmaceuticals
BCRX
$2.4B
$437K 0.04%
+60,110
New +$305K
MOD icon
193
Modine Manufacturing
MOD
$10.4B
$434K 0.04%
+29,680
New +$388K
OCLR
194
DELISTED
Oclaro Inc.
OCLR
$434K 0.04%
245,120
+230,720
+1,602% +$285K
NAV
195
DELISTED
Navistar International
NAV
$431K 0.04%
11,800
-1,390
-11% -$47.3K
FCH
196
DELISTED
Felcor Lodging Trust
FCH
$427K 0.04%
69,270
+1,970
+3% +$11.8K
MTEM
197
DELISTED
Molecular Templates, Inc.
MTEM
$426K 0.04%
+554
New +$455K
NWY
198
DELISTED
New York & Co Inc
NWY
$424K 0.04%
73,150
+7,550
+12% +$44K
COCO
199
DELISTED
CORINTHIAN COLLEGES INC
COCO
$423K 0.04%
+192,100
New +$445K
PEG icon
200
Public Service Enterprise Group
PEG
$37.7B
$418K 0.04%
12,700
-4,800
-27% -$159K
6 7
8
9 10

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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
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WBC
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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.