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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
AHT
201
Ashford Hospitality Trust
AHT
$21M
$416K 0.04%
54
+14
+35% +$104K
HZNP
202
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
$411K 0.04%
+122,950
New +$324K
END
203
DELISTED
ENDEAVOUR INTERNATIONAL CORP NEW (NV)
END
$411K 0.04%
77,010
-29,360
-28% -$143K
PRDO icon
204
Perdoceo Education
PRDO
$2.12B
$410K 0.04%
+149,070
New +$458K
COP icon
205
ConocoPhillips
COP
$141B
$408K 0.04%
5,867
– –
ARWR icon
206
Arrowhead Research
ARWR
$12.4B
$405K 0.04%
+71,210
New +$274K
MXWL
207
DELISTED
Maxwell Technologies Inc
MXWL
$404K 0.04%
+44,660
New +$387K
AMCC
208
DELISTED
Applied Micro Circuits Corporation New
AMCC
$404K 0.04%
31,330
-10,220
-25% -$116K
BCS icon
209
Barclays
BCS
$94.1B
$403K 0.04%
+25,574
New +$400K
CTSH icon
210
Cognizant
CTSH
$26B
$398K 0.04%
9,706
– –
MSPD
211
DELISTED
MINDSPEED TECHNOLOGIES INC COM STK
MSPD
$389K 0.04%
128,100
+4,900
+4% +$15.3K
LEAP
212
DELISTED
LEAP WIRELESS INTERNATIONAL INC NEW
LEAP
$387K 0.03%
24,500
-42,020
-63% -$626K
BKS
213
DELISTED
Barnes & Noble
BKS
$385K 0.03%
+45,475
New +$474K
ESC
214
DELISTED
EMERITUS CORP
ESC
$384K 0.03%
20,780
+4,470
+27% +$100K
LRCX icon
215
Lam Research
LRCX
$390B
$383K 0.03%
+74,830
New +$366K
ETFC
216
DELISTED
E*Trade Financial Corporation
ETFC
$377K 0.03%
22,840
-10,560
-32% -$158K
BONT
217
DELISTED
Bon-Ton Stores Inc/The
BONT
$377K 0.03%
35,730
+16,310
+84% +$251K
AVEO
218
DELISTED
AVEO Pharmaceuticals, Inc.
AVEO
$375K 0.03%
18,243
+2,818
+18% +$64.5K
OWW
219
DELISTED
ORBITZ WORLDWIDE, INC
OWW
$374K 0.03%
+38,820
New +$383K
POR icon
220
Portland General Electric
POR
$5.77B
$372K 0.03%
13,200
-3,893
-23% -$116K
TOL icon
221
Toll Brothers
TOL
$14.5B
$370K 0.03%
+11,427
New +$370K
BIIB icon
222
Biogen
BIIB
$30.7B
$365K 0.03%
1,516
– –
NIHD
223
DELISTED
NII HOLDINGS INC CL B
NIHD
$351K 0.03%
57,800
+90
+0.2% +$607
V icon
224
Visa
V
$677B
$337K 0.03%
7,060
-15,312
-68% -$708K
RSH
225
DELISTED
RADIOSHACK CORP
RSH
$336K 0.03%
+98,170
New +$314K
7 8
9
10 11

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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.